China Trademark Records: Retention and Public Access

Every step of a China trademark case leaves a record — and those records have rules of their own

A foreign brand working through a Chinese trademark case leaves documents behind at every step: the application itself, responses in refusal review, opposition papers, renewal forms, the contract behind an assignment or a licence. Where those documents go after the case closes, how long they are kept, and who may ask to read them are governed by the Measures for the Administration of Trademark Registration Archives, published by CNIPA on 20 August 2020 in Announcement No. 370 and in force from the date of publication. The office released the Measures together with explanatory notes that set out why they were written the way they were. The two documents describe a system in transition — paper files giving way to electronic ones, storage giving way to access — and they contain several details that are easy to miss from outside. Three questions matter to anyone holding registrations in China: what ends up in the archive, how long it stays there, and who can read it.

What counts as a trademark archive — and what does not

The Measures define trademark registration archives as records of preservation and use value, in any form or on any medium, formed in the course of trademark registration applications, oppositions, cancellations, reviews and invalidations. The scope is set out by business type, in six categories: application and subsequent-business files, opposition files, cancellation files, review files, invalidation files, and a sixth residual category for other materials.

Not everything a case generates is archived. The schedule of filing categories expressly lists materials that need not be archived, among them documents issued for certified copies of the registration, reissued registration certificates, and reissued certificates of change, assignment or renewal. A reissued certificate, in other words, is evidence drawn from the archive rather than a new entry in it.

The condition of the documents matters. Archived materials are generally originals; where an original cannot be obtained, a copy verified against the original may be filed in its place, and the reason must be noted. Once a case closes, the business department that handled it organises the documents for archiving promptly and in line with the archiving requirements, and the archive department reviews the quality: files that meet the requirements are accepted through a handover procedure, files that do not are returned for re-organisation. The business department is responsible for keeping the archive systematic, complete and accurate.

Files are kept as volumes. Each volume is organised by business type under the application number or the registration number of the case, and the archive is built up through classification, grouping, arrangement, numbering, binding and cataloguing, so that the classification is clear, the order coherent and the catalogue accurate.

How long each file stays — and what happens when the term ends

Retention is where the design shows. Files that directly reflect the establishment and change of the exclusive right to a mark are kept permanently. Files that record only one stage in the course of establishing that right are given fixed terms: five years or ten years, set out category by category in the attached table of filing categories and retention periods.

The end of a retention term is not an automatic deletion. Files reaching the end of their term are appraised first. Those found to have no preservation value are destroyed in accordance with the relevant provisions; those still judged to have value have their retention extended and are kept. Destruction is a procedure with its own checks, not a calendar event.

One further arrangement is easy to overlook from abroad: permanently retained archives are transferred to the national archives in accordance with the relevant state provisions. The trademark archive is therefore not an internal working file only; its permanent core eventually moves into the national archival system, under the same rules that govern permanent records elsewhere in the state apparatus.

Electronic archives: the metadata travels with the file

The explanatory notes describe a deliberate shift: archive management moving from paper-based to electronic, in step with the wider facilitation of trademark registration. The Measures give that shift operational content. Electronic registration files are archived according to the national standards for electronic records management. They must be stored in a file format suitable for long-term preservation, and they are archived together with their metadata, with a durable and effective association established between the two — the descriptive data that makes a record searchable is treated as part of the record itself, not as an appendix that can drift away from it.

Storage may be online or offline, and backups are made at regular intervals. The same quality discipline applies as for paper: the archive department reviews what is handed over, and only files that meet the requirements are accepted.

Who may read a China trademark archive

The third theme in the explanatory notes is a shift of purpose, from keeping archives towards using them. To make things easier for parties and improve services, the Measures state that, except where state secrets, commercial secrets or personal privacy are involved, any person may consult and copy trademark registration archives in accordance with the relevant provisions. Where an archive does involve such content, its keeping and use are handled under the relevant national laws and regulations.

The consultation record behind the Measures is itself public: a draft was opened for comment from 10 to 25 April 2020, drawing 14 comments from organisations and individuals, which the office says it studied before finalising the text. The Measures run to 18 numbered provisions, with the schedule of filing categories and retention periods attached, and they replaced interim rules that had been in place since 1987. The drafting began in May 2017 at the trademark office of the former State Administration for Industry and Commerce, continued after the institutional restructuring under CNIPA, and was settled in repeated exchanges with the National Archives Administration.

Frequently asked questions

Does every document from my case end up in the archive?

No. Archiving covers the six listed business categories, and the schedule expressly lists materials that need not be archived, including documents issued for certified copies of the registration, reissued registration certificates, and reissued certificates of change, assignment or renewal. Archived materials are generally originals; where an original cannot be obtained, a copy verified against it may be filed with the reason noted. Files are organised as volumes under the application or registration number once the case closes.

How long does CNIPA keep trademark registration files?

Files that directly reflect the establishment and change of the exclusive right are kept permanently. Files recording only one stage in establishing that right are kept for five years or ten years, as set out in the attached table of filing categories and retention periods. Permanently retained archives are in due course transferred to the national archives under the relevant state provisions.

What happens when a retention period runs out?

The term ending does not mean the file disappears. Archives reaching the end of their retention term are appraised. Those found to have no preservation value are destroyed in accordance with the relevant provisions; those still judged to have value have their retention extended and continue to be kept.

Can anyone read the file for my Chinese registration?

Apart from archives involving state secrets, commercial secrets or personal privacy, any person may consult and copy trademark registration archives in accordance with the relevant provisions. Archives involving such content are kept and used under the relevant national laws and regulations. This openness is one of the stated purposes of the Measures — a shift from storage towards use, intended to make things easier for parties.

Are electronic records treated differently from paper ones?

They are archives on the same footing, with their own technical requirements. Electronic registration files are archived under the national standards for electronic records, in a storage format suitable for long-term preservation, together with their metadata and a durable association between the two. They may be stored online or offline and are backed up at regular intervals.

Official sources

Announcement No. 370: Measures for the Administration of Trademark Registration Archives — CNIPA, 25 August 2020
Explanatory Notes on the Measures for the Administration of Trademark Registration Archives — CNIPA, 27 August 2020