INTELLECTUAL PROPERTY AUDIT REPORT
CONFIDENTIAL
This report contains confidential and privileged information. Distribution is limited to authorized recipients only.
REPORT INFORMATION
| Field | Information |
|---|---|
| Organization: | _________________________________ |
| Audit Period: | From: __________ To: __________ |
| Report Date: | _________________________________ |
| Prepared By: | _________________________________ |
| Audit Team: | _________________________________ |
| Audit Scope: | ☐ Full ☐ Limited (specify): _______ |
| Report Classification: | ☐ Attorney-Client Privilege ☐ Work Product ☐ Confidential |
EXECUTIVE SUMMARY
Purpose of Audit
[Describe the objectives and scope of the IP audit]
_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Key Findings Summary
| Category | Total Assets | Registered | Unregistered | Issues Identified |
|---|---|---|---|---|
| Patents | N/A | |||
| Trademarks | ||||
| Copyrights | ||||
| Trade Secrets | N/A | |||
| Domain Names | N/A | N/A |
Overall Assessment
☐ Excellent: IP portfolio is well-managed with minimal issues
☐ Good: IP portfolio is generally well-managed with some areas for improvement
☐ Fair: IP portfolio requires attention to several significant issues
☐ Poor: IP portfolio has critical issues requiring immediate action
Priority Recommendations
-
Critical (Immediate Action Required):
_____________________________________________________________________________ -
High (Action Required Within 30 Days):
_____________________________________________________________________________ -
Medium (Action Required Within 90 Days):
_____________________________________________________________________________ -
Low (Action Required Within 12 Months):
_____________________________________________________________________________
SECTION 1: PATENT PORTFOLIO AUDIT
1.1 Portfolio Overview
Total Patent Assets:
| Category | U.S. | Foreign | Total |
|---|---|---|---|
| Issued Patents | |||
| Pending Applications | |||
| Provisional Applications | |||
| PCT Applications | |||
| Total |
Patent Age Distribution:
| Years from Filing | Count | Percentage |
|---|---|---|
| 0-5 years | ||
| 5-10 years | ||
| 10-15 years | ||
| 15-20 years | ||
| Expired |
1.2 Ownership Verification
| Finding | Status | Notes |
|---|---|---|
| All patents recorded in organization's name | ☐ Yes ☐ No | |
| Complete chain of title documented | ☐ Yes ☐ No | |
| All inventor assignments executed | ☐ Yes ☐ No | |
| Assignments recorded with USPTO | ☐ Yes ☐ No | |
| No liens or security interests | ☐ Yes ☐ No |
Issues Identified:
| Patent Number | Issue | Severity | Recommended Action |
|---|---|---|---|
| ☐ High ☐ Med ☐ Low | |||
| ☐ High ☐ Med ☐ Low |
1.3 Maintenance and Prosecution Status
Maintenance Fee Status:
| Patent Number | Next Due Date | Amount | Status |
|---|---|---|---|
| ☐ Current ☐ Overdue | |||
| ☐ Current ☐ Overdue |
Pending Application Status:
| Application Number | Status | Next Deadline | Action Required |
|---|---|---|---|
1.4 Portfolio Quality Assessment
Claim Coverage Analysis:
☐ Key products/services adequately covered by patent claims
☐ Gaps identified in claim coverage
☐ Opportunities for continuation applications identified
Prior Art Exposure:
☐ No significant prior art concerns
☐ Some patents may have validity issues
☐ Significant prior art concerns identified
Competitive Position:
☐ Strong defensive portfolio
☐ Moderate patent position
☐ Weak relative to competitors
1.5 License Compliance
| Licensee/Licensor | Agreement Date | Compliance Status | Issues |
|---|---|---|---|
| ☐ Compliant ☐ Non-compliant | |||
| ☐ Compliant ☐ Non-compliant |
1.6 Patent Recommendations
| Priority | Recommendation | Estimated Cost | Timeline |
|---|---|---|---|
| ☐ Critical | |||
| ☐ High | |||
| ☐ Medium | |||
| ☐ Low |
SECTION 2: TRADEMARK PORTFOLIO AUDIT
2.1 Portfolio Overview
Total Trademark Assets:
| Category | U.S. | Foreign | Total |
|---|---|---|---|
| Registered Marks | |||
| Pending Applications | |||
| Common Law Marks | |||
| Domain Names | |||
| Total |
Registration Distribution by Class:
| International Class | Count | Key Goods/Services |
|---|---|---|
2.2 Ownership and Chain of Title
| Finding | Status | Notes |
|---|---|---|
| All registrations in organization's name | ☐ Yes ☐ No | |
| All assignments properly recorded | ☐ Yes ☐ No | |
| No conflicting ownership claims | ☐ Yes ☐ No |
2.3 Registration Status
U.S. Registrations:
| Mark | Reg. No. | Reg. Date | Section 8 Due | Section 9 Due | Status |
|---|---|---|---|---|---|
| ☐ Current ☐ Action Needed | |||||
| ☐ Current ☐ Action Needed |
Maintenance Issues:
| Mark | Issue | Deadline | Action Required |
|---|---|---|---|
2.4 Use Verification
Proper Use Assessment:
| Mark | Proper Use | Specimens Available | Quality Control |
|---|---|---|---|
| ☐ Yes ☐ No | ☐ Yes ☐ No | ☐ Yes ☐ No | |
| ☐ Yes ☐ No | ☐ Yes ☐ No | ☐ Yes ☐ No |
Use Issues Identified:
☐ Marks being used in generic manner
☐ Improper trademark notices
☐ Unauthorized third-party use
☐ Potential abandonment through non-use
☐ Quality control issues with licensees
2.5 Brand Protection Assessment
Enforcement Activities:
| Year | C&D Letters Sent | TTAB Proceedings | Litigation | UDRP/URS |
|---|---|---|---|---|
| 20__ | ||||
| 20__ |
Third-Party Conflicts:
| Third Party | Conflicting Mark | Severity | Status |
|---|---|---|---|
| ☐ High ☐ Med ☐ Low | |||
| ☐ High ☐ Med ☐ Low |
2.6 Domain Name Audit
Domain Portfolio:
| Domain | Registrar | Expiration | Auto-Renew | WHOIS Privacy |
|---|---|---|---|---|
| ☐ Yes ☐ No | ☐ Yes ☐ No | |||
| ☐ Yes ☐ No | ☐ Yes ☐ No |
Domain Issues:
☐ Missing key defensive registrations
☐ Domains expiring soon
☐ Inconsistent registrant information
☐ Inadequate security measures
2.7 Trademark Recommendations
| Priority | Recommendation | Estimated Cost | Timeline |
|---|---|---|---|
| ☐ Critical | |||
| ☐ High | |||
| ☐ Medium | |||
| ☐ Low |
SECTION 3: COPYRIGHT PORTFOLIO AUDIT
3.1 Portfolio Overview
Copyrightable Works:
| Category | Registered | Unregistered | Total |
|---|---|---|---|
| Software/Code | |||
| Documentation | |||
| Marketing Materials | |||
| Website Content | |||
| Publications | |||
| Other | |||
| Total |
3.2 Ownership Verification
Employment/Contractor Agreements:
| Finding | Status | Notes |
|---|---|---|
| All employees signed IP assignment agreements | ☐ Yes ☐ No | |
| All contractors signed work-for-hire/assignment agreements | ☐ Yes ☐ No | |
| Joint authorship situations properly documented | ☐ Yes ☐ No | |
| No unassigned author rights | ☐ Yes ☐ No |
Ownership Issues:
| Work | Issue | Severity | Recommended Action |
|---|---|---|---|
| ☐ High ☐ Med ☐ Low | |||
| ☐ High ☐ Med ☐ Low |
3.3 Registration Status
Registered Works:
| Title | Reg. No. | Reg. Date | Type of Work | Claimant |
|---|---|---|---|---|
Registration Recommendations:
☐ Key works should be registered for enhanced remedies
☐ Software source code should be registered
☐ Marketing materials should be registered
3.4 Open Source Software Compliance
Open Source Components Identified:
| Component | License | Compliance Status | Risk Level |
|---|---|---|---|
| ☐ Compliant ☐ At Risk | ☐ High ☐ Med ☐ Low | ||
| ☐ Compliant ☐ At Risk | ☐ High ☐ Med ☐ Low |
Open Source Issues:
☐ Copyleft exposure (GPL, AGPL components)
☐ Attribution requirements not met
☐ SBOM not maintained
☐ No open source policy in place
☐ No open source review process
3.5 Third-Party Content
Licensed Content:
| Licensor | Content Type | License Terms | Compliance Status |
|---|---|---|---|
| ☐ Compliant ☐ At Risk | |||
| ☐ Compliant ☐ At Risk |
3.6 Copyright Recommendations
| Priority | Recommendation | Estimated Cost | Timeline |
|---|---|---|---|
| ☐ Critical | |||
| ☐ High | |||
| ☐ Medium | |||
| ☐ Low |
SECTION 4: TRADE SECRET AUDIT
4.1 Trade Secret Identification
Trade Secret Categories:
| Category | Inventoried | Value Assessment | Protection Level |
|---|---|---|---|
| Technical Information | ☐ Yes ☐ No | ☐ High ☐ Med ☐ Low | ☐ Strong ☐ Adequate ☐ Weak |
| Business Information | ☐ Yes ☐ No | ☐ High ☐ Med ☐ Low | ☐ Strong ☐ Adequate ☐ Weak |
| Customer/Supplier Data | ☐ Yes ☐ No | ☐ High ☐ Med ☐ Low | ☐ Strong ☐ Adequate ☐ Weak |
| R&D Data | ☐ Yes ☐ No | ☐ High ☐ Med ☐ Low | ☐ Strong ☐ Adequate ☐ Weak |
4.2 Protection Measures Assessment
Physical Security:
| Measure | Implemented | Adequate | Notes |
|---|---|---|---|
| Facility access controls | ☐ Yes ☐ No | ☐ Yes ☐ No | |
| Secure document storage | ☐ Yes ☐ No | ☐ Yes ☐ No | |
| Visitor policies | ☐ Yes ☐ No | ☐ Yes ☐ No | |
| Clean desk policy | ☐ Yes ☐ No | ☐ Yes ☐ No |
Electronic Security:
| Measure | Implemented | Adequate | Notes |
|---|---|---|---|
| Access controls | ☐ Yes ☐ No | ☐ Yes ☐ No | |
| Encryption | ☐ Yes ☐ No | ☐ Yes ☐ No | |
| DLP tools | ☐ Yes ☐ No | ☐ Yes ☐ No | |
| Audit logging | ☐ Yes ☐ No | ☐ Yes ☐ No |
Personnel Security:
| Measure | Implemented | Adequate | Notes |
|---|---|---|---|
| Employee confidentiality agreements | ☐ Yes ☐ No | ☐ Yes ☐ No | |
| DTSA whistleblower notice | ☐ Yes ☐ No | ☐ Yes ☐ No | |
| Exit interview procedures | ☐ Yes ☐ No | ☐ Yes ☐ No | |
| Training programs | ☐ Yes ☐ No | ☐ Yes ☐ No |
Third-Party Relationships:
| Measure | Implemented | Adequate | Notes |
|---|---|---|---|
| NDAs with vendors | ☐ Yes ☐ No | ☐ Yes ☐ No | |
| NDAs with partners | ☐ Yes ☐ No | ☐ Yes ☐ No | |
| Due diligence on third parties | ☐ Yes ☐ No | ☐ Yes ☐ No |
4.3 Reasonable Measures Assessment
Overall "Reasonable Measures" Compliance:
☐ Strong: Comprehensive protection measures in place
☐ Adequate: Most measures in place with minor gaps
☐ Weak: Significant gaps that could jeopardize trade secret status
☐ Insufficient: Protection measures do not meet legal standard
4.4 Trade Secret Recommendations
| Priority | Recommendation | Estimated Cost | Timeline |
|---|---|---|---|
| ☐ Critical | |||
| ☐ High | |||
| ☐ Medium | |||
| ☐ Low |
SECTION 5: IP AGREEMENTS AUDIT
5.1 Agreement Inventory
In-Licenses:
| Licensor | IP Type | Expiration | Renewal | Assignment Rights |
|---|---|---|---|---|
| ☐ Auto ☐ Manual | ☐ Yes ☐ No | |||
| ☐ Auto ☐ Manual | ☐ Yes ☐ No |
Out-Licenses:
| Licensee | IP Type | Expiration | Revenue | Compliance |
|---|---|---|---|---|
| ☐ Verified ☐ Not Verified | ||||
| ☐ Verified ☐ Not Verified |
5.2 Agreement Issues
| Agreement | Issue | Severity | Action Required |
|---|---|---|---|
| ☐ High ☐ Med ☐ Low | |||
| ☐ High ☐ Med ☐ Low |
5.3 Agreement Recommendations
| Priority | Recommendation | Timeline |
|---|---|---|
| ☐ Critical | ||
| ☐ High | ||
| ☐ Medium |
SECTION 6: IP MANAGEMENT PRACTICES
6.1 Organizational Assessment
IP Management Structure:
| Element | Status | Assessment |
|---|---|---|
| Dedicated IP function/team | ☐ Yes ☐ No | ☐ Adequate ☐ Needs Improvement |
| IP policy documented | ☐ Yes ☐ No | ☐ Adequate ☐ Needs Improvement |
| IP budget adequate | ☐ Yes ☐ No | ☐ Adequate ☐ Needs Improvement |
| Outside counsel relationships | ☐ Yes ☐ No | ☐ Adequate ☐ Needs Improvement |
6.2 Process Assessment
| Process | Documented | Followed | Assessment |
|---|---|---|---|
| Invention disclosure | ☐ Yes ☐ No | ☐ Yes ☐ No | ☐ Adequate ☐ Needs Improvement |
| Patent prosecution | ☐ Yes ☐ No | ☐ Yes ☐ No | ☐ Adequate ☐ Needs Improvement |
| Trademark clearance | ☐ Yes ☐ No | ☐ Yes ☐ No | ☐ Adequate ☐ Needs Improvement |
| Open source review | ☐ Yes ☐ No | ☐ Yes ☐ No | ☐ Adequate ☐ Needs Improvement |
| IP docket management | ☐ Yes ☐ No | ☐ Yes ☐ No | ☐ Adequate ☐ Needs Improvement |
SECTION 7: RISK ASSESSMENT
7.1 Risk Matrix
| Risk Category | Likelihood | Impact | Overall Risk | Mitigation Priority |
|---|---|---|---|---|
| IP Ownership Issues | ☐ H ☐ M ☐ L | ☐ H ☐ M ☐ L | ☐ H ☐ M ☐ L | |
| Patent Validity | ☐ H ☐ M ☐ L | ☐ H ☐ M ☐ L | ☐ H ☐ M ☐ L | |
| Trademark Conflicts | ☐ H ☐ M ☐ L | ☐ H ☐ M ☐ L | ☐ H ☐ M ☐ L | |
| Copyright Infringement | ☐ H ☐ M ☐ L | ☐ H ☐ M ☐ L | ☐ H ☐ M ☐ L | |
| Trade Secret Loss | ☐ H ☐ M ☐ L | ☐ H ☐ M ☐ L | ☐ H ☐ M ☐ L | |
| License Non-Compliance | ☐ H ☐ M ☐ L | ☐ H ☐ M ☐ L | ☐ H ☐ M ☐ L | |
| Open Source Exposure | ☐ H ☐ M ☐ L | ☐ H ☐ M ☐ L | ☐ H ☐ M ☐ L |
7.2 Critical Risks Requiring Immediate Attention
- _____________________________________________________________________________
- _____________________________________________________________________________
- _____________________________________________________________________________
SECTION 8: RECOMMENDATIONS AND ACTION PLAN
8.1 Prioritized Recommendations
Critical Priority (Immediate - Within 30 Days):
| # | Recommendation | Responsible Party | Deadline | Est. Cost |
|---|---|---|---|---|
| 1 | ||||
| 2 |
High Priority (Within 90 Days):
| # | Recommendation | Responsible Party | Deadline | Est. Cost |
|---|---|---|---|---|
| 1 | ||||
| 2 |
Medium Priority (Within 6 Months):
| # | Recommendation | Responsible Party | Deadline | Est. Cost |
|---|---|---|---|---|
| 1 | ||||
| 2 |
Low Priority (Within 12 Months):
| # | Recommendation | Responsible Party | Deadline | Est. Cost |
|---|---|---|---|---|
| 1 | ||||
| 2 |
8.2 Budget Summary
| Category | Estimated Cost |
|---|---|
| Patent-related actions | $____________ |
| Trademark-related actions | $____________ |
| Copyright-related actions | $____________ |
| Trade secret improvements | $____________ |
| Process improvements | $____________ |
| Total Estimated Cost | $____________ |
8.3 Implementation Timeline
| Quarter | Actions | Budget |
|---|---|---|
| Q1 | ||
| Q2 | ||
| Q3 | ||
| Q4 |
APPENDICES
Appendix A: Complete Patent List
[Insert detailed patent list]
Appendix B: Complete Trademark List
[Insert detailed trademark list]
Appendix C: Complete Copyright List
[Insert detailed copyright list]
Appendix D: Agreement List
[Insert detailed agreement list]
Appendix E: Supporting Documentation
[Reference supporting documents]
REPORT CERTIFICATION
This IP Audit Report has been prepared based on information provided by [Organization Name] and independent research conducted by the audit team. The findings and recommendations reflect our professional judgment as of the report date.
Lead Auditor:
Signature: _________________________________
Printed Name: _____________________________
Title: ____________________________________
Date: ____________________________________
Reviewed By:
Signature: _________________________________
Printed Name: _____________________________
Title: ____________________________________
Date: ____________________________________
NOTICE: This report template is provided for informational purposes only and does not constitute legal advice. IP audits should be conducted by qualified professionals with expertise in intellectual property law. Consult with qualified legal counsel for interpretation of findings and implementation of recommendations.
About This Template
Jurisdiction-Specific
This template is drafted for general use across all U.S. jurisdictions. State-specific versions with local statutory references are also available.
How It's Made
Drafted using current statutory databases and legal standards for intellectual property. Each template includes proper legal citations, defined terms, and standard protective clauses.
Important Notice
This template is provided for informational purposes. It is not legal advice. We recommend having an attorney review any legal document before signing, especially for high-value or complex matters.
Last updated: February 2026