Empirical Research

New Paper Alert: An Empirical Evaluation of the Trademark Modernization Act

Flow Chart of TMA Petitions

I’ve just posted to SSRN a preprint of my forthcoming article reporting the first empirical analysis of the Trademark Modernization Act’s new ex parte reexamination and expungement proceedings. The paper is accompanied by a new open-access, original dataset on all TMA dockets to date. Here’s the abstract:

The Trademark Modernization Act of 2020 (“TMA”) created two new forms of administrative proceeding designed to clear spurious trademarks from the federal register. Congress’s hope for these new proceedings was that they would “respond to concerns that registrations persist on the trademark register despite a registrant not having made proper use of the mark covered by the registration” by “allow[ing] for more efficient, and less costly and time consuming” means of removing them. This article subjects that policy to empirical examination, disclosing and analyzing a newly constructed dataset covering the dockets of all TMA proceedings (and petitions for proceedings) to date.

The results are not encouraging. Petitions to institute TMA proceedings are seldom filed, proceedings on those petitions are only sometimes instituted, the number of proceedings initiated by the United States Patent and Trademark Office (“USPTO”) sua sponte is relatively small, and the time it takes to progress from institution of a proceeding to a cancellation order is substantial. In a system where random audits of the most recently renewed registrations suggest an overall non-use rate of between 10 and 50 percent, the machinery of third-party petitions (subject to a filing fee) and ex parte review (subject to the USPTO’s overall resource constraints) appear to be a particularly inefficient means of preventing clutter on the trademark register. Based on the analysis presented herein, TMA proceedings seem, at best, to be a fairly reliable and moderately expeditious administrative pathway for clearing previously identified spurious applications from the register, but they are not likely to be a useful tool for combatting at scale the type of bad-faith trademark applications and registrations that have become so common in our age of automated, algorithmic e-commerce.

The paper, which was an invited contribution to the 2024 University of Houston Law Center Institute for Intellectual Property & Information Law National Conference in Santa Fe, is forthcoming in the Houston Law Review and available now in preprint form at SSRN. The dataset is available at Zenodo.

An Empirical Evaluation of the Trademark Modernization Act at Houston/IPIL Santa Fe

This weekend I presented an updated empirical analysis of Trademark Modernization Act expungement and reexamination proceedings at the Annual University of Houston Institute for Intellectual Property and Information Law National Conference in Santa Fe. Many thanks to Professor Greg Vetter for the invitation, and to my co-presenters and other participants for their feedback. The final version of my findings will be published this fall in the Houston Law Review. In the meantime, here is the slide deck from my presentation, with some of the highlights from the paper.

New and Improved: The Canada Trademarks Dataset 2.0

Today I released a revised and updated version of the Canada Trademarks Dataset (v.2.0): an open-access, individual-application-level dataset including records of all applications for registered trademarks in Canada since approximately 1980, and of many preserved applications and registrations dating back to the beginning of Canada’s trademark registry in 1865, totaling over 1.9 million application records.

The original dataset, released on March 2, 2021 and described in my article in the Journal of Empirical Legal Studies, was constructed from the historical trademark applications backfile of the Canada Intellectual Property Office, current through October 4, 2019, and comprising 1.6 million application records. The revised dataset represents a substantial advancement over this original dataset. In particular, I have rewritten the code used to construct the dataset, which will now build and maintain a mySQL database as a local repository of the dataset’s contents. This local database can be periodically updated and exported to .csv and/or .dta files as users see fit, using the python scripts accompanying the dataset release. Interested users can thus keep their installation of the dataset current with weekly updates from the Canada Intellectual Property Office. The .csv, .dta, and .sql files published in the new release include these weekly updates since the closing date of the historical backfile, and are current through January 24, 2023.

Full details are available at the Version 2.0 release page on Zenodo.

The Canada Trademarks Dataset

I’m happy to announce the publication (on open-access terms) of a new dataset I’ve been constructing over the past few months. The Canada Trademarks Dataset is now available for download on Zenodo, and a pre-publication draft of the paper describing it (forthcoming in the Journal of Empirical Legal Studies) is available on SSRN.

As I’m not the first to point out, doing any productive scholarly work during the pandemic has been hard, especially while caring for two young kids and teaching a combination of hastily-designed remote classes and in-person classes under disruptive public health restrictions. I have neglected other, more theoretical projects during the past year and a half because I simply could not find the sustained time for contemplation and working out of big, complex problems that such projects require. But building a dataset like this one is not a big complex problem so much as a thousand tiny puzzles, each of which can be worked out in a relatively short burst of effort. In other words, it was exactly the kind of project to take on when you could never be assured of having more than a 20 minute stretch of uninterrupted time to work. I’m very grateful to JELS for publishing the fruits of these fleeting windows of productivity.

More generally, the experience of having to prioritize certain research projects over others in the face of external constraints has made me grateful that I can count myself among the foxes rather than the hedgehogs of the legal academy. Methodological and ideological omnivorousness (or, perhaps, promiscuity) may not be the best way to make a big name for yourself as a scholar–to win followers and allies, to become the “go-to” person on a particular area of expertise, or to draw the attention of rivals and generate productive controversy. But it does help smooth out the peaks and troughs of professional life for those of us who just want to keep pushing our stone uphill using what skills we possess, hopeful that in the process we will leave behind knowledge from which others may benefit. That’s always been my preferred view of what I do for a living anyway: Il faut cultiver notre jardin.

Trademark Clutter at Northwestern Law REMIP

I’m in Chicago at Northwestern Law today to present an early-stage empirical project at the Roundtable on Empirical Methods in Intellectual Property (#REMIP). My project will use Canada’s pending change to its trademark registration system as a natural experiment to investigate the role national IP offices play in reducing “clutter”–registrations for marks that go unused, raising clearance costs and depriving competitors and the public of potentially valuable source identifiers.

Slides for the presentation are available here.

Thanks to Dave Schwartz of Northwestern, Chris Buccafusco of Cardozo, and Andrew Toole of the US Patent and Trademark Office for organizing this conference.

The Japan Trademarks Dataset: Presentation Slides

The Institute of Intellectual Property has graciously allowed me to share the slide deck from my summer research project on Japan’s trademark registration system. The slide deck includes the text of the presentation in the presenter notes, and you can download it here.

The photo leading this post was taken during my presentation at IIP in Tokyo. It shows me with my favorite visual aid: a bottle of (excellent) mirin bearing one of the contenders for Japan’s oldest registered trademark, Kokonoe Sakura.

Home Stretch

Today was the deadline for me to submit a draft presentation on the research I’ve been doing in Japan for the past six weeks. The deadline pressure explains why I haven’t posted here in a while. The good news is that I was able to browbeat my new (and still growing) dataset into sufficient shape to generate some interesting insights, which I will share with my generous sponsors here at the Institute for Intellectual Property next week, before heading home to New York.

I am not at liberty to share my slide deck right now, but I can’t help but post on a couple of interesting tidbits from my research. The first is a follow-up on my earlier post about the oldest Japanese trademark. I had been persuaded that the two-character mark 重九 was in fact a form of the three-character mark (大重九) a brand of Chinese cigarette. Turns out I was wrong. It is, in fact, the brand of a centuries-old brewer of mirin–a sweet rice wine used in cooking. (The cigarette brand is also registered in Japan, as of 2007–which says something about the likelihood-of-confusion standard in Japanese trademark law). And as I found out, there’s some question as to whether this mark (which, read right to left, reads “Kokonoe”) really is the oldest Japanese trademark. There’s competition from the hair-products company, Yanagiya, which traces its lineage back 400 years to the court physician of the first Tokugawa Shogun; and also from a sake brewer from Kobe prefecture who sells under the “Jukai” label. Which is the oldest depends on how you count: by registration number, by registration date, or by application date. Anyway all of them would have taken a backseat to that historic American brand, Singer–but the company allowed its oldest Japanese trademark registration to lapse six years ago.

The other tidbit is my first attempt at a map-based data visualization, which I built using Tableau, a surprisingly handy software tool with a free public build. I used it to visualize how trademark owners from outside Japan try to protect their marks in Japan–specifically, whether they seek registrations via Japan’s domestic registration system, or via the international registration system established by the Madrid Protocol. Here’s what I’ve found:

MadridMap
The size of each circle represents an estimate of the number of applications for Japanese trademark registrations from each country between 2001 and 2014. The color represents the proportion of those applications that were filed via the Madrid Protocol (dark blue is all Madrid Protocol; dark red is all domestic applications; paler colors are a mix). The visualization isn’t perfect because not all countries acceded to the Madrid Protocol at the same time–some acceded in the middle of the data collection period, and many have never acceded. (When I have more time maybe I’ll try to figure out how to add a time-lapse animation to bring an extra dimension to the visualization.) Still, it’s a nice, rich, dense presentation of a large and complex body of data.

 

Turning a Corner

It has been a rough week of coding, processing, and de-bugging. But at long last, tonight I’m running the last two scripts I need to run to parse the last of the 330+ Gigabytes of data I received three weeks ago, and I’ve already tested them so I’m pretty confident they’ll work. By tomorrow, if all goes as planned, I’ll have all the data I’m going to be using on this project (a lean 60 GB or so) imported into Stata, where I can slice and dice it however I please. At exactly the halfway point of my residency in Tokyo, this is a major milestone.

The next step is some finer-grained cleaning and de-duplicating of this data, followed by some additional coding to structure it in a useful way (as you can see in the photo, I’ve already started sketching out my file trees). Then I’ll be able to describe and analyze what I’ve built. All of this will take time–the most primitive observation identifier in my data is the individual trademark application number, and it looks like I’ll be dealing with about 4.5 million of them, give or take. And each application number will have multiple records associated with it to capture lots of nitty-gritty trademark-y information like changing ownership and legal representation, renewals, divisional applications, goods and services classifications, foreign and international priority claims, and so on. Processing all that information takes time, and requires a lot of attention to detail. But today I’m feeling good. Today, I feel as confident as I ever have that this project is going to succeed.

So here is a first fruit of my research. The data I’m working with only goes back 15 years, but for any trademark registrations that have still been in force during those past 15 years, I have a fair amount of historical data. The earliest application date I’ve found in the data I’ve imported so far is July 31, 1890. That application– which became Japan Trademark Registration Number 521–is for the mark “重九”, which means literally nothing to me. But I asked around the office, and fortunately I have a colleague from Beijing here in Tokyo, who tells me 重九 is actually a Chinese brand–for cigarettes:

http://www.etmoc.com/eWebEditor/2011/2011090515413693.jpg

重九 translates roughly to “double-nine”, and the additional character (which apparently always accompanies the mark in its current use) translates roughly to “big” (i.e., “Big Double-Nine” Cigarettes). The mark was last renewed in Japan on March 28, 2015. Given that I’m here to study international aspects of intellectual property as they pertain to Japan, the fact that the earliest mark on record appears to be foreign is an interesting development.

Now You’re Just Messing With Me

At some point in 2014, without any warning so far as I can tell, the Japan Patent Office changed the file-naming convention for their digital archives. Whereas before the archives would be stored under a filename such as “T2014-20(01-01)20150114.ISO”, hereafter they will be stored under a file name such as “T2014-21(01_01)20150121.ISO”.

Screen Shot 2016-07-06 at 10.05.29 AMCatch the difference?  Yeah, I didn’t either. Until I let my code–which was based on the old naming convention–run all day. Then I found out the last two years’ data had corrupted all my output files, wiping out 7 GB of data. More fun after the jump…
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