International Registration of Trademarks via The Madrid Protocol: Practice Tips for Avoiding Common Mistakes

Size: px

Start display at page:

Download "International Registration of Trademarks via The Madrid Protocol: Practice Tips for Avoiding Common Mistakes"

Jade Hopkins
6 years ago
Views:

2 Internatinal Registratin f Trademarks via The Madrid Prtcl: Practice Tips fr Aviding Cmmn Mistakes Attiya Malik, Staff Attrney United States Patent and Trademark Office Trademark Examinatin Legal Plicy, Office f Cmmissiner fr Trademarks

3 Tpics Review Basic Recrds Methds f Filing Internatinal Applicatin Madrid Prcessing Unit Certificatin and Denial f Certificatin f Internatinal Applicatin Key Elements f Internatinal Applicatin fr Certificatin Other Cnsideratins fr Internatinal Applicatin Irregularities Issued by IB After Registratin 3

4 It s All Abut Ducks Get yur ducks in a rw BEFORE filing internatinal applicatin (IA) Clean up all basic applicatins/registratins befre filing IA 4

5 Get Yur Ducks in a Rw Review infrmatin in each basic applicatin/registratin and ensure it is crrect Mistakes and inaccuracies shuld be fixed befre IA is filed TSDR Data: When filling ut IA, use basic recrd data shwn in Trademark Status and Dcument Retrieval (TSDR) system and nt the Trademark Electrnic Search System (TESS) 5

6 Get Yur Ducks in a Rw Fixing Mistakes and Inaccuracies in Basic Recrd Amend Basic Applicatin If assigned t examining attrney cntact examiner t request necessary amendment(s) If nt assigned t examining attrney may file vluntary amendment Amend Basic Registratin File 7 amendment with USPTO Pst Registratin Unit. 37 C.F.R ; TMEP Filing Assignment in Basic Applicatin/Registratin May file assignment with USPTO Assignment Recrdatin Branch using the USPTO Electrnic Trademark Assignment System (ETAS). See TMEP Chapter 500 6

7 Methds f Filing IAs Electrnic: Trademark Electrnic Applicatin Submissin Internatinal System (TEASi) frms n USPTO website Pre-Ppulated Frm: One US base applicatin/registratin Free-Text Frm: Mre than ne US base applicatins/registratins Paper: Must be submitted t USPTO n fficial WIPO MM2 frm, available n WIPO website Must use WIPO MM2 frm WIPO MM2 must be typewritten; n handwritten frm accepted 7

8 Methds f Filing IAs Pre-Ppulated Frm Autmatically lads with infrmatin already in USPTO database fr ne US basic applicatin r registratin number If n changes t any data autmatically certified and transmitted t IB. N independent/human review f data at all If changes t any t data independent review by Madrid Prcessing Unit (MPU) befre certified and frwarded t IB 8

9 Methds f Filing IAs Pre-Ppulated Frm If there are mistakes in basic mistakes will be in IA, will be in internatinal registratin (IR), and cannt be crrected Examples: hyphens, punctuatin, wrng type f mark This may affect prtectin in designated cuntries Clr image but n clr claim will generate a black and white mark image Assignment f change f wnership did nt autmatically uplad check assignment recrd 9

10 Methds f Filing IAs Free-Text Frm Use when Mre than ne US basic applicatins/registratins serve as basis fr IA; r US basic applicatin nt yet upladed in USPTO database as f filing f IA Infrmatin NOT autmatically pre-ppulated; must be manually entered IA nt autmatically certified ruted t MPU fr independent/human review Because frm must be manually cmpleted, if data f basic recrd is nt replicated exactly as required, IA may be denied certificatin 10

11 Madrid Prcessing Unit (MPU) Staff 1 Supervisr + 1 lead + number f specialists All are nn-attrneys All are specially trained and have prductin requirements Prviders f custmer service fr Madrid infrmatin and main pints f cntact t internal and external users Staff attrney liaisns t MPU t prvide legal plicy and petitin guidance Duties Review IAs Review subsequent designatins Review applicants respnses t ntices f irregularities Issue ntices f ceasing f effect f basic applicatins/registratins that serve as bases f IAs/IRs Perfrm variety f ther Madrid Prtcl-related tasks 11

12 Madrid Prcessing Unit (MPU) Review IA Review IA fr minimum filing requirements cmpare data in IA with data in each basic recrd. TMEP If requirements met certify and frward IA t IB If requirements nt met deny and ntify applicant Infrmatin in IA must be same as infrmatin in each basic recrd Gds/Services in IA must be same as r narrwer than gds/services in each basic recrd 12

13 Madrid Prcessing Unit (MPU) Review IA IA must be in cnditin t certify as submitted r will be denied MPU must certify r deny IA within 2 mnths f date f receipt f IA in USPTO Generally reviewed within 2 business days Dcuments nt retained Scanned and frwarded t IB r returned t applicant 13

14 Denial f Certificatin f IA by MPU If IA des nt meet filing requirements MPU denies certificatin MPU sends letter t applicant infrming f reasns fr denial MPU decisin t deny certificatin is final Applicant cannt respnd t MPU s denial n back and frth Applicant cannt amend IA 14

15 Denial f Certificatin f IA - Petitin Applicant s nly recurse after MPU denies certificatin file a petitin t the Directr f USPTO. 37 C.F.R. 7.40; TMEP (a) Petitins regarding denials are expedited t meet the 2-mnth deadline If denial due t USPTO errr petitin fee refunded If denial due t applicant errr petitin fee nt refunded Cntact USPTO Petitins Office at with questins and guidance befre filing IA 15

16 Transmissin f Infrmatin Between USPTO and IB Frm USPTO t IB USPTO sends transactins t IB every day in a batch file (nt individually) USPTO sends fees t IB nce a week Frm IB t USPTO USPTO receives transactins frm IB nce a week every Thursday USPTO receives fees frm IB nce a mnth 16

17 Befre Filing IA Get Yur Ducks in a Rw Key Elements f IA fr Certificatin Ownership: Name, Entity, and Citizenship Reprductin f Mark (Drawing) Descriptin f Mark Identificatin and Classificatin f Gds/Services Entitlement 17

18 Key Elements Ownership Owner Name, Entity, and Citizenship Must be same in IA and in each basic recrd. Cmmn Regs., Rule 9(4)(a)(i) Fixing wnership issues in basic applicatin/registratin Amend basic recrd, r file assignment If assignment filed within days f filing IA: Wait until Assignment Recrdatin Branch has recrded it befre filing IA t ensure that crrect wner appears in USPTO recrds Example: Mistake in wner name r legal entity may r may nt be crrectible. See TMEP (c) 18

19 Key Elements Ownership Owner Address If applicant s current address is utside f US must prvide address f US dmicile r establishment 19

Key Elements Reprductin f Mark (Drawing) Must be same in IA and in each basic applicatin/registratin Basic B&W / N Clr: If basic mark is depicted in black and white but n clr is claimed

20 Key Elements Reprductin f Mark (Drawing) Must be same in IA and in each basic applicatin/registratin Basic B&W / N Clr: If basic mark is depicted in black and white but n clr is claimed mark image in IA must be black and white Basic Clr: If basic mark is depicted in clr and regardless f if clr is claimed mark image in IA must be clr Cmmn Regs., Rule 9(4)(a)(v)-(viibis) 20

21 Key Elements Reprductin f Mark (Drawing) Old US Registratins Fr ld US registratins with black and white mark and lining statements Basic B&W / Clr: If basic mark is depicted in black and white and clr is claimed IA must cntain bth black and white and clr images 21

22 Key Elements Reprductin f Mark (Drawing) Clr intended in IA Clr Claim TEASi Frms If basic mark depicted in clr but n clr claim must use free-text TEASi frm t uplad clr image in IA Using pre-ppulated TEASi frm will generate black and white image in IA, resulting in denial f certificatin as marks are nt same Clr nt intended in IA If basic mark depicted in clr but n clr claim must amend basic mark t black and white befre filing IA 22

23 Key Elements Reprductin f Mark (Drawing) Paper IA: Mark must appear and fit in Bx 7 n WIPO MM2 frm Special Types f Marks: Check bx in IA t indicate if basic mark is Three-Dimensinal mark: Trade dress (e.g., prduct design r packaging, interir/exterir f buildings) Sund mark Cllective mark r certificatin mark Cmmn Regs., Rules 9(4)(a)(viii)-(x); 37 C.F.R. 7.11(a)(6); TMEP (l) 23

Key Elements Descriptin f Mark Must be same as in each basic applicatin/registratin even if descriptin f mark in basic recrd is inaccurate r incmplete. Cmmn Regs.

24 Key Elements Descriptin f Mark Must be same as in each basic applicatin/registratin even if descriptin f mark in basic recrd is inaccurate r incmplete. Cmmn Regs., Rule 9(4)(a)(xi) Nature f mark Standard character: Are legally equivalent t typed drawings Nn-standard character: Clr claim, clr lcatin statement, and/r descriptin f mark USPTO des nt send ntificatins f mark changes t IB Clr claim and clr lcatin statements must be included, if clr is claimed in each basic applicatin/registratin List f clrs claimed in mark Explanatin f where each clr appears in mark 24

Key Elements Identificatin f Gds/Services Must be same as r narrwer than gds/services in basic applicatin/registratin If gds/services are nt the same fr each designated cuntry include a limitatin in

25 Key Elements Identificatin f Gds/Services Must be same as r narrwer than gds/services in basic applicatin/registratin If gds/services are nt the same fr each designated cuntry include a limitatin in IA List specific gds/services that apply t each designated cuntry Ensure limited gds/services are within scpe f basic gds/services Cmmn Regs., Rule 9(4)(a)(xiii); 37 C.F.R. 7.11(a)(7); TMEP (f); see als TMEP

26 Key Elements Classificatin f Gds/Services MPU des nt certify classificatin stated in IA. TMEP (g) IB determines prper classificatin, based n Nice principles Applicant must use editin f Nice Agreement in effect as f filing date f IA If classificatin incrrect IB will issue ntice f irregularity and require applicant t re-classify and pay any fees due, if apprpriate Applicant may add, delete, r change classificatin but nly in accrdance with the Nice Agreement. TMEP (g)-(g)(i) Example: Applicant may delete gds/services instead f adding class and/r paying mre fees 26

27 Key Elements Entitlement Applicant must specify entitlement grunds, i.e., applicant: Is a natinal f (citizen f) US; Has dmicile in US must indicate US address f the claimed entitlement; r Has real and effective cmmercial r industrial establishment in US must indicate US address f the claimed entitlement Cmmn Regs., Rule 9(5)(b); 37 C.F.R. 7.11(a)(11); TMEP (j) 27

Key Elements Entitlement United States includes and embraces all territry under US jurisdictin and cntrl Includes: 50 states, District f Clumbia, cmmnwealths (Puert Ric, Nrthern Mariana Islands), and

28 Key Elements Entitlement United States includes and embraces all territry under US jurisdictin and cntrl Includes: 50 states, District f Clumbia, cmmnwealths (Puert Ric, Nrthern Mariana Islands), and territries and pssessins f the US (Guam, U.S. Virgin Islands, American Sama) Natinal has same meaning as in Article 2 f Paris Cnventin. Can be natinal citizenship f an individual r jurisdictin f frmatin r incrpratin f a legal entity Questin f whether a natural persn r a legal entity is a natinal f r has a dmicile in a particular cuntry is a matter f law f each designated cuntry 28

29 Key Elements Entitlement Real and effective industrial r cmmercial establishment is taken frm Article 3 f Paris Cnventin Need nt be the principal place f business, but must be real, i.e., nt fraudulent r fictitius N case law exists relating t Madrid filings, but same meaning f real and effective industrial r cmmercial establishment that applies in 44 filings applies t Madrid entitlement. Sectin 44 is based n Paris Cnventin and Madrid incrprates prvisins f Paris Cnventin Establishing cuntry f rigin. TMEP The presence f an applicant s whlly wned subsidiary in a cuntry des nt, by itself, establish cuntry f rigin. In re Aktieblaget Electrlux, 182 USPQ 255 (TTAB 1974) Fact that applicant is whlly wned by a freign cmpany des nt establish cuntry f rigin. Karsten Mfg. Crp. v. Edity AG, 79 USPQ2d 1783 (TTAB 2006) USPTO cannt advise abut entitlement An enterprise may have several real and effective industrial r cmmercial establishments in different cuntries that are party t the Madrid Prtcl and, thus, may have ptin f several cuntries f rigin 29

30 Other Cnsideratins fr IA Marks n Supplemental Register Additinal Infrmatin in IA: Translatin and Disclaimer Dependence 30

31 Other Cnsideratins Marks n Supplemental Register Marks applied fr r registered in US n USPTO Supplemental Register may be used as basic applicatin/registratin Substantive refusals in US basic applicatin/registratin Example: If mark is fund descriptive in US des nt mean it will be fund descriptive in ther designated cuntries 31

32 Other Cnsideratins Additinal Infrmatin in IA Infrmatin may be prvided in IA t avid a requirement by a designated cuntry. Examples: Translatin f elements f mark int English, French, r Spanish. Cmmn Regs., Rule 9(4)(b)(iii); TMEP Indicatin that terms in mark have n meaning and cannt be translated Disclaimer f any part f mark. Cmmn Regs., Rule 9(4)(b)(v); TMEP Just because disclaimer exists in basic applicatin/registratin, it is nt required t be included in IA 32

33 Other Cnsideratins Dependence IR is dependent n basic applicatin/registratin fr 5 years Any extensin f prtectin granted in a designated cuntry is als dependent n basic applicatin/registratin fr 5 years Within 5-year perid USPTO must ntify IB t restrict r cancel IR, either ttally r partially: if basic applicatin abandns, registers, r is divided; r if basic registratin cancels r is divided IB will restrict r cancel IR accrdingly and ntify all designated cuntries Cmmn Regs., Rule 22(2)(b); TMEP ,

34 Other Cnsideratins Dependence USPTO bligatin t ntify IB f utcme f basic applicatin/registratin extends nly t: Registratin f basic applicatin all r sme gds/services prtected in US Abandnment f basic applicatin n gds/services prtected in US Cancellatin f the basic registratin gds/services n lnger prtected in US Ceasing f effect infrming IB f specific gds/services prtected in US Changes in basic recrd t drawing, descriptin, translatin, wner, and address are nt ntified t IB End f 5 Years: IR and every extensin f prtectin becmes independent f basic applicatin/registratin 34

35 Other Cnsideratins Cautin Abut Dependency Changes in basic recrd during prsecutin r after registratin may have unintended negative cnsequences in IR Mark may be different by the time basic applicatin registers Example: Basic mark filed as RIGHT-ON. IA mark registers as RIGHT-ON. Basic mark registers as RIGHT ON (n hyphen). N prvisin in Madrid rules t change mark in IR t RIGHT ON Gds/Services may be different by the time basic applicatin registers Example: In respnse t USPTO refusal, headgear in Class 025 is amended t mtrcycle helmets in Class 9. USPTO will ntify IB that headgear in Class 25 has ceased t have effect in US Applicants encuraged t wait until at least USPTO issues first Office actin Pririty may be claimed if IA is filed within 6 mnths f filing date f US basic applicatin If changes in basic recrd IR nly updated with final basic gds/services May result in IR prtecting ne type f mark and/r gds/services and basic registratin prtecting different type f mark and/r gds/services 35

36 Irregularities Issued By IB 36

37 Ntice f Irregularity Issued by IB When examining IA, IB may issue 1 r mre irregularity if there are deficiencies in IA Irregularities may be issued fr any reasn, e.g.,: Classificatin f gds/services Identificatin f gds/services Fees 37 C.F.R. 7.14; TMEP

38 Respnse t Ntice f Irregularity Sme irregularities remedied by USPTO, e.g., missin f drawing r USPTO signature Other irregularities remedied by applicant directly with IB, e.g., fees Yet ther irregularities remedied by applicant thrugh USPTO and frwarded t IB, e.g., amending gds/services Classificatin f gds/services nt prper. Cmmn Regs., Rule 12 Identificatin f gds/services is t vague fr purpses f classificatin, incmprehensible, r linguistically incrrect. Cmmn Regs., Rule 13 Applicant s respnse deadline is generally 3 mnths frm the date f ntice Suggest filing respnse with USPTO at least 1 mnth befre deadline t allw review MPU will nt prcess respnse received after IB s respnse deadline 38

39 Applicant s Respnse t Ntice f Irregularity Gds/Services MPU will review gds/services in respnse t ensure they are within scpe f basic gds/services at the time respnse is reviewed If basic gds/services were amended since the date IA was filed gds/services in respnse must be within scpe f amended gds/services If gds/services in respnse exceed scpe f basic gds/services as amended MPU will nt frward respnse t IB and will ntify applicant that prpsed amendment des nt cnfrm t basic gds/services If respnse deadline nt expired applicant may submit new respnse and, if acceptable, MPU will frward t IB 39

40 Applicant s Respnse t Ntice f Irregularity Gds/Services If gds/services are nt amended t remedy the irregularity within IB s respnse deadline and all ther IA requirements are met, IB will: Include the unacceptable wrding/terms in gds/services in IR with indicatin that IB cnsiders such wrding/terms t be unacceptable, if classificatin f prblem wrding/terms was specified in IA; r Delete the unacceptable wrding/terms and ntify bth USPTO and applicant, if classificatin f prblem wrding/terms was nt specified in IA Cmmn Regs., Rule 13(2)(b) 40

41 After Registratin Maintaining Internatinal Registratin Changes t Internatinal Registratin Maintaining Extensin f Prtectin t the United States 41

42 Maintaining Internatinal Registratin IR is valid fr 10 years May be renewed fr 10 years Must be renewed directly with IB n WIPO MM11 frm and with payment f renewal fee USPTO will nt prcess r frward request fr renewal f IR t IB If nt renewed IR will be cancelled and IB will ntify all designated cuntries See Madrid Prtcl, Articles 6(a), 7(1); Cmmn Regs., 20-31; 37 C.F.R. 7.41; TMEP

43 Changes t Internatinal Registratin Changes t IR must be filed directly with IB Change in wner/hlder name, entity, citizenship, and address Change in name and/r address wner/hlder representative Limitatins f gds/services Renunciatin f a designated cntracting party Cancellatin f IR Madrid Prtcl, Articles 9, 9bis; Cmmn Regs., Rule 25; TMEP WIPO ffers fficial frms fr filing these changes 43

44 Changes t Internatinal Registratin Change in Owner Name, Entity, Citizenship, and Address Change in Ownership: T recrd a change due t transfer f prperty frm ne legal entity t anther, r a change in the nature f legal entity use WIPO MM5 frm IB des nt require evidence f change in wnership, s supprting dcuments shuld NOT be sent t IB (e.g., cpies f deed f assignment r ther cntract) Change in Name and/r Address: T recrd a change in name and/r address nly (including address fr crrespndence) use WIPO MM9 frm 44

45 Maintaining US Registratin 71 Affidavit Must maintain the registered extensin f prtectin t the US (i.e., USPTO 66(a) registratin) Owner/Hlder f US 66(a) registratin must file affidavit f use in cmmerce r excusable nnuse ( 71 affidavit ) directly with USPTO during designated time perids Use was nt required t btain US registratin but use is required t maintain US registratin Hlder may sign up fr USPTO electrnic reminder ntificatins 45

46 Maintaining US Registratin 71 Affidavit Hlder natural r juristic persn in whse name IR is recrded with IB If timely and acceptable 71 affidavit nt filed USPTO will cancel registratin and ntify IB IB will invalidate prtectin in US Changing hlder may nly be dne directly with IB and nt USPTO Hlder cannt file assignment with the Assignment Recrdatin Branch f USPTO Actual evidence cannt be submitted t USPTO t establish wnership 46

47 Maintaining US Registratin 71 Affidavit Time Perids fr Filing Between 5 th and 6 th year f the date USTPO issued certificate f registratin Between 9 th and 10 th year f the date USTPO issued certificate f registratin Each successive 10-year f the date USTPO issued certificate f registratin Sectin 71 declaratin itself One specimen, per class Fee, per class Filing Requirements 47

48 Imprtant Trademark Cntact Infrmatin Assignments Recrdatin Branch (M-F 8:30am-5pm ET) Madrid Prcessing Unit (MPU) (M-F 8:30am-5pm ET) r MPU@uspt.gv Petitins Office (M-F 9am-5pm ET) TEAS and TEASi nline frms technical difficulties TEAS@uspt.gv (M-F 8am-8pm ET) Trademark Assistance Center (TAC) call (M-F 8:30am-8pm ET) r TrademarkAssistanceCenter@uspt.gv 48

49 Resurces Guide t the Internatinal Registratin f Marks under the Madrid Agreement and the Madrid Prtcl, Chapter II cncerns internatinal prcedure US Rules f Practice in Trademark Cases, 37 C.F.R gvern internatinal applicatins Trademark Manual f Examining Prcedure Chapter 1900 cncerns Madrid Prtcl: Sectin 1902 discusses internatinal applicatins Sectin 1904 discusses requests fr extensin f prtectin t the US Madrid Highlights Madrid Infrmatin Ntices WIPO ROMARIN and USPTO website t check status f applicatin/registratin 49

50 THANK YOU Attiya Malik USPTO Staff Attrney

DEVELOPMENT APPLICATION

DEVELOPMENT APPLICATION FOR CITY STAFF ONLY PROJECT NUMBER: DATE RECEIVED: RECEIVED BY: NAME OF SUBDIVISION AND/OR PROJECT: Revised April 2018 ITEMS SUBMITTED: Filing Fee* Filing Fee* Land Study/Cncept