2. OVERVIEW OF TRADEMARK PROTECTION IN THE UNITED STATES AND ABROAD Scott Baldwin, Attorney Global Intellectual Property Academy July 18, 2012 9:30 a.m. – 11:00 a.m. Central

3. Speaker Biography Scott Baldwin is an Attorney in the Global Intellectual Property Academy (GIPA) at the United States Patent and Trademark Office (USPTO). Prior to this position, Scott served as a Trademark Attorney with the USPTO’s Office of Policy and External Affairs (OPEA) where he handled policy matters relating to trademark issues in the United States and abroad, and provided technical assistance to foreign governments that wanted to develop or improve their trademark systems. Scott was also a Trademark Examining Attorney at the USPTO for over nine years. Scott also worked as an Attorney with the law firm of Fulbright & Jaworski in Washington, D.C.

4. Learning Objectives 1)Understand the benefits of selecting “strong” trademarks. 2)Understand that trademark rights in U.S. come from priority of “use.” 3)Realize that trademark registration provides valuable benefits. 4)Understand when to use “TM” and ® symbols. 5)How to navigate the federal trademark application/registration process. 6)Know that trademark rights are “territorial” -> must be protected country-by-country. 7)Understand the threat of “trademark squatting” and how easily it can happen. 8)Make use of trademark resources available.

5. Life of a Trademark I CREATION –Choosing a trademark or service mark. II. SCREENING and CLEARANCE –Making sure the proposed mark is available. III. PROTECTION –Seeking protection, country-by-country. IV. MAINTENANCE –Renewing trademark registrations.

6. CREATION Part I: LIFE OF A TRADEMARK

7. Definition of a Trademark TRIPS Any sign, or any combination of signs, capable of distinguishing the goods or services of one undertaking from those of other undertakings, shall be capable of constituting a trademark. Such signs, in particular words including personal names, letters, numerals, figurative elements and combinations of colours as well as any combination of such signs, shall be eligible for registration as trademarks. …Members may require, as a condition of registration, that signs be visually perceptible. TRIPS Article 15 U.S. Law “Any word, name, symbol, or device, (or any combination thereof) used to identify and distinguish goods or services and to indicate their source.” Section 45 of the Trademark Act 15 U.S.C. §1127

8. Types of Trademarks Word Marks KODAK Design Marks Composite Marks containing both words and design Slogans WE BRING GOOD THINGS TO LIFE

9. Unusual Trademarks Shape: Bottle shape for soda pop Color: Pink color for insulation Sound: Drums, trumpets and strings for entertainment / motion picture films Scent: Plumeria flower blossom scent for sewing thread Motion:Flying pegasus for movie studios 

10. 9 Trademark Continuum Source Indicating Capacity No Source Identifying Capacity Not Inherently Distinctive – but may acquire. Inherently Distinctive Generic soda Suggestive VERICHECK Arbitrary APPLE Merely Descriptive COASTER-CARDS Fanciful EXXON

11. Part II: LIFE OF A TRADEMARK SCREENING and CLEARANCE

12. Common Law – unregistered; derived from use. “TM” State Registration – the “truly local.” Registered with one or more U.S. states Federal Registration® - interstate commerce or between the U.S. and another country. Other Federal Statutes –Smokey Bear –Woodsy Owl Types of Trademark Protection in the U.S.

13. SCREENING and CLEARANCE in the U.S. USPTO DATABASE –Federally registered trademarks and pending applications for registration STATE TRADEMARK REGISTRIES DOMAIN NAME SEARCH –Generic Top Level Domains (gTLDs) –Country Code Top Level Domains (ccTLDs) COMMON LAW SEARCH –The Web, trade names, trade directories, etc. Obtaining a “full search” helps to ensure that these other sources of information will be considered in clearing trademarks.

14. 13 Avoid having to change your mark – in every place it appears. Avoid having to recall existing products that bear the infringing mark. Avoid having to destroy existing product with the infringing mark. Avoid being held liable for damages to the owner of the mark – and possibly even for attorney’s fees. Conducting a Search Can Save a Company Time, Money and Grief!

15. PROTECTION (Country-by-Country) PART III: LIFE OF A TRADEMARK

16. Not required, because trademark rights (in the U.S.) arise from use on or in connection with goods or services, BUT… –There are significant advantages to having a federal trademark registration. Does a Company Need to Register its Mark in the U.S.?

17. Public notice of your claim of ownership of the mark; A legal presumption of your ownership of the mark and your exclusive right to use the mark nationwide on or in connection with the goods/services listed in the registration; The ability to bring an action concerning the mark in federal court; The use of the U.S. registration as a basis to obtain registration in foreign countries; The right to use the federal registration symbol ®; Listing in the United States Patent and Trademark Office’s online databases; and Registration may be recorded with U.S. Customs and Border Protection to prevent importation of infringing foreign goods.  The recordation fee for trademarks is US$190 per International Class of goods. Advantages of Federal Registration on Principal Register

18. File an application at the U.S. Patent and Trademark Office. You can complete an application online, check it for completeness, and file it over the Internet using the Trademark Electronic Application System (TEAS).  97.8% of trademark applications were filed electronically in FY 09! Three ways to pay: credit card, automated deposit account or electronic funds transfer. How Do I Get a Federal Trademark Registration?

19. Filing fee for paper filing: ___________ Filing fee for e-filing: Filing Fees $375 per class of goods/services. _________________ $325 per class of goods/services if filed using the “regular” TEAS form. $275 per class of goods/services if filed using the TEAS Plus form.

20. 19 What are the possible legal bases on which I can file an application to register a trademark in the United States? Use of the mark in commerce – bona fide use of a mark in the ordinary course of trade, and not made merely to reserve a right in a mark. A bona fide intention to use the mark in the future –Section 1(b) of the Trademark Act, 15 U.S.C. §1051(b), provides that an applicant may file an application based on a bona fide intention to use a mark in commerce “under circumstances showing the good faith of such person.” Foreign application or registration. Legal Basis to File

21. Examination Process at the USPTO 1. File Application (Current pendency = 3.0 months) 2. Examination by Trademark Examining Attorney  Allowed, Amended, or Refused.  Common grounds for refusal?

22. Examination Process at the USPTO – continued… 3. If Allowed, publication in the Official Gazette and Notice of Allowance (if intent-to-use). 4. If Refused, appeal to the Trademark Trial and Appeal Board (TTAB) 5. If Refusal is affirmed: A) Appeal to a U.S. District Court de novo: or B) Appeal to the United States Court of Appeals for the Federal Circuit (CAFC) on the administrative record.

23. Examination Process at the USPTO – continued. 6. After Publication, Opposition period. Both parties (Opposer and Applicant) have right to appeal the TTAB decision. 7. If no Opposition, Registration issues. 8. Cancellation proceeding available to cancel a registration. Both parties (Petitioner and Registrant) have right to appeal the TTAB decision. In general, the USPTO is not involved in inter partes appeals of TTAB decisions.

24. Examination:3.0 months from filing to examination. Registration:10.7 months after filing. * Figures are approximate, and based on Q2 FY 2012 performance. Trademark Timeline*

25. ® TRADEMARK REGISTRATION CERTIFICATE Congratulations!

26. No. Trademark rights are territorial: rights in particular trademarks exist only within the country whose laws granted those rights. Is Federal Registration Valid Outside the United States?

27. Be proactive in protecting trademarks! Have you considered registering your mark in countries in which: –Your goods or services are marketed; –Products or parts for your products are manufactured; –Research and development facilities are located; –Your products are trans-shipped; –You might expand your business in the future; or –Counterfeiting is likely to be a problem. Protecting Trademarks Abroad

28. MAINTENANCE PART IV: LIFE OF A TRADEMARK

29. Maintain Registrations! In The U.S. –Evidence of continued use: submitted between 5 th and 6 th year. –Renewal: submitted between 9 th and 10 th year. –Electronic forms can be completed very easily; much of the data is entered automatically.

30. Be Alert! Read every piece of IP correspondence Carefully! –Trademark filing information is public. –USPTO neither requires nor is affiliated with any trademark monitoring services. –An entity doing business as the "United States Trademark Protection Agency" is NOT affiliated with the United States Patent and Trademark Office.

31. Trademark Registration Information on uspto.gov

32. 31 The STOPFakes.gov Website

33. 32 The STOPFakes.gov Website Some Highlights: STOP HOTLINE: 1-866-999-HALT (or web form) IPR Country Toolkits DHS – Customs Recordation Tool “International IPR Advisory Program” with American Bar Association (ABA) (1-hour free consultation with expert attorney) for certain countries. A list of “Who’s Who” in the U.S. Govt. involved in IP: http://www.stopfakes.gov/sf_who.asp

34. Thank You! Scott.Baldwin@uspto.gov 571-272-9300 (main)