Source: https://www.uspto.gov/trademarks-getting-started/trademark-basics/certification-mark-applications
Timestamp: 2018-05-28 10:08:47
Document Index: 354750200

Matched Legal Cases: ['§1306', '§1306', '§1306', '§1306', '§2', '§1306', '§1306', '§1104', '§1306', '§1306', '§806', '§1306']

Certification mark applications | USPTO
Certification mark applications
A certification mark is a type of trademark that is used to show consumers that particular goods and/or services, or their providers, have met certain standards. Click on the headings below to learn more.
A certification mark is a type of trademark that is used to show consumers that particular goods and/or services, or their providers, have met certain standards.
Certification marks show that:
1. The goods or services come from a specific geographic region, as shown by the examples of registered certification marks below.1
2. The goods or services meet standards with respect to quality, materials, or how they are manufactured, as shown by the examples of registered certification marks below.2
3. The work or labor on the goods or services was performed by a union member or member of another organization or the provider of those services met certain standards, as shown by the examples of registered certification marks below.3
How does a certification mark differ from a trademark?
A certification mark shows that goods, services, or providers of those goods and/or services have met certain standards. A trademark, however, shows the commercial source or brand of particular goods or services.
For example, if the HOOVER registered trademark below4 appears on a vacuum cleaner, it identifies the commercial source or brand of a particular vacuum cleaner. However, if the U.S. Environmental Protection Agency’s (EPA) ENERGY STAR registered certification mark5 below appears on a vacuum cleaner, it means the EPA certifies that the HOOVER® vacuum cleaner has met certain energy efficiency standards. The EPA is not providing the vacuum cleaner; it is just certifying that the vacuum cleaner met certain standards once it was tested at the HOOVER company’s request. A HOOVER® vacuum cleaner most likely would have both the HOOVER® trademark and the ENERGY STAR® certification mark on it. These two types of marks perform different functions and communicate different kinds of information to a consumer purchasing a vacuum cleaner.
See the EPA’s registered certification mark and the HOOVER company’s trademark below.6
Another difference between a certification mark and a trademark is the person or company that uses it. The certifying organization that owns the certification mark controls who can use the mark, but the certifying organization generally does not use the certification mark with the goods or services. The certifying organization will let providers use its certification mark only if the goods, services, or their providers meet the organization’s standards. In the example above, the EPA owns the ENERGY STAR® certification mark but lets the HOOVER company use the ENERGY STAR® certification mark if the HOOVER® vacuum cleaners meet the EPA standards.
For more information about differences between certification marks and trademarks, see the Trademark Manual of Examining Procedure (TMEP) §§1306.01, 1306.01(a), 1301.06(b).
1Left to right: U.S. Registration Nos. 4970062, 4221402, and 4393128. 2Clockwise from top: U.S. Registration Nos. 4754199, 3715921, and 4204983. 3Left to right: U.S. Registration Nos. 5198466, 3724311, and 3566326. 4U.S. Registration No. 5151320. 5U.S. Registration No. 3569551. 6Left to right: U.S. Registration Nos. 3569551 and 5151320.
Does a certification mark have to include certain wording?
No. Certification marks are not required to be in any specific form or to include any particular wording. However, they often include wording such as “certified,” “approved by,” “inspected,” or “conforming to,” and may show what has been certified about the goods and/or services.
What are the requirements to apply for a certification mark?
A complete certification mark application must include the following:
Your legal name and physical address
Your legal entity type (Are you an individual person, a sole proprietorship, a partnership, a joint venture, a limited liability company, or a corporation?)
Your citizenship or the jurisdiction under whose laws your business is organized (U.S. state or foreign country) NOTE: If you are a U.S. partnership or joint venture, you must specify the names and citizenship or jurisdiction of the general partners of the partnership or active members of the joint venture.
A description of your certification mark (if the mark is stylized and/or has a design)
An English translation or transliteration of foreign wording in your certification mark
A drawing of your certification mark
A filing fee for each class of goods and/or services (see the current fee schedule)
A filing basis (see below, "What is a filing basis?")
A registration basis, if appropriate (see below, "What is the difference between a filing basis and a registration basis?")
A list of the goods and/or services you will be or are certifying
The classification of the goods and/or services being certified. You may choose between U.S. Class A for goods or U.S. Class B for services. These are generally the only classes available for a certification mark.
To satisfy these requirements, you may file a certification mark application form with the United States Patent and Trademark Office (USPTO) online using the Trademark Electronic Application System (TEAS).
See TMEP §1306.02 for useful information about the elements of a complete certification mark application.
What is a “filing basis” and why is it required in a certification mark application?
A filing basis is the basis under federal law for filing an application for registration with the USPTO. You must have at least one filing basis in your application. And each filing basis has different legal requirements.
In your application, you may select from the four possible filing bases listed below; however, the filing bases listed under (3) and (4) are rarely used for certification marks:
1. Use-in-commerce filing basis (under Trademark Act Section 1(a)) – means that at the time the application is filed, you are currently certifying goods/services/providers of one or more of the following:
Goods that have actually been transported or sold commercially
Services that have actually been rendered
Work or labor that has actually been performed.
2. Intent-to-use filing basis (under Section 1(b)) – means that at the time the application is filed you are not yet certifying goods/services/providers, but you have a bona fide intention to do so in the near future.
3. Foreign registration filing basis (under Section 44(e)) – means that at the time the application is filed in the United States, you owned a foreign trademark registration of the same certification mark in your country of origin for the same goods and/or services.
4. Foreign application filing basis (under Section 44(d)) – means that at the time the application is filed in the United States, you owned an earlier-filed foreign trademark application that was filed within six months of the U.S. application for the same certification mark for the same goods and/or services. This filing basis is also called a foreign priority basis because you would be requesting a “priority” filing date for your U.S. application—that is, the same date as the foreign application filing date.
The legal requirements for these four filing bases are specified in the section below called "What are the requirements for each filing basis." This page does not discuss a Section 66(a) filing basis. You cannot amend your application to a Section 66(a) filing basis or combine a Section 66(a) filing basis with any of the bases described above. For more information about a Section 66(a) filing basis, see TMEP §1306.02(a)(v).
Can I have more than one filing basis in my application?
Yes, if you can meet the requirements for each filing basis that you claim. For more information about multiple bases, see the basis webpage and TMEP §§1306.02(d), 1403-1403.07.
Your application must specify at least one of the four filing bases below. Click on each basis to see the application requirements.
Use-in-commerce filing basis
You may file or amend an application to one based on use of the certification mark in commerce under Section 1(a) only if the certification mark is actually used in commerce in connection with all the goods and/or services listed under this filing basis as of the application filing date.
When is a certification mark in use in commerce?
A certification mark is used in commerce for goods when (1) the certifier has certified certain goods; (2) authorized users have placed the certification mark on those goods, packaging for those goods, or displays associated with those goods (including webpage displays) that comply with the certifier’s use requirements; and (3) those certified goods are actually being sold or transported in commerce in the ordinary course of trade.
A certification mark is used in commerce for services when (1) the certifier has certified certain services; (2) authorized users have used the mark in connection with the sale, advertising, or rendering of those services, and the use of the mark complies with the certifier’s use requirements; and (3) those certified services are actually being rendered in commerce in the ordinary course of trade.
To assert a use-in-commerce filing basis, your application or response must include:
a. Applicant is not engaged in the production or marketing of the goods or services to which the mark is applied, except to advertise or promote recognition of the certification program or of the goods or services that meet the certification standards of the applicant.
b. Applicant believes the applicant is the owner of the mark, that the mark is in use in commerce.
c. Applicant is exercising legitimate control over the use of the mark in commerce.
d. To the best of the signatory’s knowledge and belief, no other persons except authorized users have the right to use the mark in commerce, either in the identical form or in such near resemblance as to be likely, when used on or in connection with the goods or services of such other persons, to cause confusion or mistake, or to deceive.
e. The specimen shows the mark as used in commerce by the applicant’s authorized users, and that the facts recited in the application are accurate.
A certification statement specifying all the characteristics or features that you are certifying about the goods and/or services (the statement should begin with the wording “The certification mark, as used by persons authorized by the certifier, certifies that the goods/services provided have”).
The date of first use of the certification mark anywhere by an authorized user in connection with the certified goods and/or services (the date when an authorized user’s goods were first sold or transported, or services were first rendered, under the mark).
The date of first use of the certification mark in commerce by an authorized user in connection with the certified goods and/or services (the date when an authorized user’s goods were first sold or transported, or services were first rendered under the mark in a type of commerce that may be lawfully regulated by the U.S. Congress).
One “specimen” showing how an authorized user uses the mark in commerce with the certified goods and/or services, and, if the specimen was not included in the initial application, the following statement: “The specimen was in use in commerce at least as early as the application filing date.”
A copy of the certification standards governing how the certification mark is used.
Verification, in an affidavit or signed declaration under 37 C.F.R. §2.20, of the above statements in 1.b-1.e, dates of use in 3 and 4, and the specimen statement in 5, if it was not provided with the initial application.
See TMEP §1306.02(a)(i) for useful information about the required elements for the use-in-commerce filing basis.
Intent-to-use filing basis
You may file or amend an application to one based on a bona fide intention to use your certification mark in commerce under Section 1(b). However, this filing basis is not a basis for registration, so your certification mark will not register until the application is properly amended to one based on use in commerce by filing a timely and acceptable allegation of use (amendment to allege use or statement of use), which requires that you establish use in commerce.
You may file or amend an application to one based on a bona fide intention to use your certification mark in commerce under Section 1(b) if you can in good faith agree to the following information and statements, verifying 2.b and 2.c below in an affidavit or declaration, in your application or response:
A certification statement specifying all the characteristics or features that you are certifying about the goods and/or services (the statement should begin with the wording, “The certification mark, as intended to be used by persons authorized by the certifier, is intended to certify that the goods and/or services provided have ”).
a. Applicant will not engage in the production or marketing of the goods or services to which the mark is applied, except to advertise or promote recognition of the certification program or of the goods or services that meet the certification standards of the applicant.
b. Applicant has a bona fide intention, and is entitled, to exercise legitimate control over the use of the mark in commerce.
c. To the best of the signatory’s knowledge and belief, no other persons, except authorized users, have the right to use the mark in commerce, either in the identical form or in such near resemblance as to be likely, when used on or in connection with the goods or services of such other persons, to cause confusion or mistake, or to deceive, and the facts recited in the application are accurate.
For more information about the intent-to-use filing basis, see TMEP §1306.02(a)(ii).
For more information about allegations of use, see TMEP §§1104-1104.11, 1109-1109.18.
For more information about the general requirements for amending an intent-to-use application to use in commerce, see the Intent-to-Use Applications webpage.
Foreign registration filing basis (rarely used for a certification mark)
You may file or amend the U.S. application to one based on a foreign registration under Section 44(e) if, in addition to the requirements under Section 1(b) intent-to-use filing basis above, your application or response includes:
1. A copy of your foreign registration, which is current and in force, for the same certification mark for the same goods and/or services from your “country of origin.”
NOTE: Your country of origin is the country where you live, or, if you are a business, the country where you are incorporated or legally organized or you have a bona fide and effective industrial or commercial business. Your country of origin must also be a party to an international treaty or other international agreement that the United States has signed and agreed to and which extends reciprocal trademark registration rights by law to U.S. nationals.
2. An English translation of the foreign registration if it is not in English, signed by the translator.
See TMEP §1306.02(a)(iv) for useful information about the required elements for the foreign registration filing basis.
Foreign application filing basis (rarely used for a certification mark)
Although you may file an application based on a foreign application and receive a priority filing date, this filing basis is not a basis for registration, so your certification mark will not register until the application is properly amended to one based on use in commerce or a foreign registration basis. For more information on these bases, please see the sections above on requirements for use-in-commerce filing basis and foreign registration filing basis.
You may file or amend the U.S. application to request a priority filing date under Section 44(d) based on an earlier-filed foreign application if, in addition to the requirements under Section 1(b) intent-to-use basis above, your application or response includes:
A "claim of priority,” within six months of the filing date of the foreign application; and
The filing date, serial number, and country name of the first legitimately filed foreign application, or the following statement: “The U.S. application is based upon a subsequent regularly filed application in the same foreign country, and that any earlier-filed application has been withdrawn, abandoned, or otherwise disposed of, without having been laid open to public inspection and without having any rights outstanding, and has not served as a basis for claiming a right of priority.”
See TMEP §1306.02(a)(iii) for useful information about the required elements for a foreign application filing basis.
What is the difference between a filing basis and a registration basis?
A filing basis is the basis under federal law for filing an application for registration with the USPTO. Each application must include at least one filing basis, and each filing basis has different legal requirements. See above for more information about filing bases.
A registration basis is the basis for registering a mark with the USPTO. There are two registration bases – (1) use in commerce under Section 1(a) and (2) a foreign registration under Section 44(e). If you file an application based on Section 1(b), an intent to use the mark in the near future, or Section 44(d), based on a foreign application, then you must also satisfy the requirements for at least a use-in-commerce or Section 44(e) basis before the certification mark may register.
For more information about the difference between these types of bases, see TMEP §§806, 1003.03.
What if I accidentally filed a TEAS application for the wrong type of mark?
If you did not use a certification mark application to apply for registration, you will need to make changes in your application to meet the requirements above. For example, the requirement for specifying a class will need to be fixed because generally you may select only U.S. Class A (for goods) and U.S. Class B (for services) for a certification mark. You can make any applicable corrections to your previous filing by submitting a TEAS Response to Examining Attorney Office Action form online using the TEAS online form instructions below.
For more information about the requirements for a filing basis, see our Trademark Information Network Video, "Filing Basis Information," and TMEP §1306.02(a)-(a)(iv)(A).
Need to respond to an office action about your certification mark?
Respond online using the Trademark Electronic Application System (TEAS). Follow the specific instructions below for certification marks, or get general information about responding to office actions.
To amend application to a use-in-commerce filing basis, Section 1(a)
The instructions below presume that you will use a TEAS form to respond online to more than one issue. To respond using TEAS, you must fill out the form to address all issues in the office action and, at the end of the form, the correct party must properly sign it. It is important that the proper party sign your response, otherwise we may not accept it and you could miss the deadline for responding to an office action. For more information about who may sign a response, please review your office action.
To amend the filing basis to a use-in-commerce basis under Section 1(a), correct classification, add a certification statement, and add certification standards
1. If you are responding to a nonfinal office action, use the TEAS Response to Examining Attorney Office Action form. If you are responding to a final office action, use the TEAS Request for Reconsideration after Final Action form.
2. Answer "Yes" to questions 2 and 3 on the form.
3. Under the heading "Classification and Listing of Goods/Services/Collective Membership Organization," do the following:
a. Check the box next to the following statement: "Check here to modify the current classification number; listing of goods/services/the nature of the collective membership organization; dates of use; and/or filing basis; or to submit a substitute specimen, a foreign registration certificate, or proof of renewal of a foreign registration.”
b. Immediately under “Original International Class,” enter next to “International Class” either A, if you have goods being certified, or B if you have services.
c. Check the box next to "Filing Basis Section 1(a)."
d. Enter dates of first use (anywhere and in commerce) in the two boxes below the “Filing Basis Section 1(a)” statement using the format MM/DD/YYYY.
e. Under “Specimen File,” click the gray button to attach a specimen (attachment may not exceed 5 megabytes).
f. Describe what the specimen consists of in the box below.
g. Check the box next to the following statement below the specimen description: “The substitute (or new, or originally submitted, if appropriate) specimen(s) was/were in use in commerce at least as early as the filing date of the application . . . .”
h. Uncheck the box next to any previous filing basis that was selected (skip this step if not applicable).
4. Under the heading “Additional Statements,” scroll down and check the box for a “Miscellaneous Statement.”
a. Enter a certification statement in the blank text box below the “Miscellaneous Statement.” See immediately above the text box for a suggested format for the certification statement.
b. Click on the gray bar below the “Miscellaneous Statement” text box to attach your certification standards.
For additional information on amending a filing basis, see the USPTO’s TEAS Nuts and Bolts Video, “Filing Basis.”
WARNING: When submitting a verified statement or specimen for this filing basis, the TEAS online form requires two signatures: one in the “Declaration Signature” section and one in the “Response Signature” section. Skipping the declaration in the TEAS online form will likely result in the refusal of your specimen.
To amend application to an intent-to-use filing basis, Section 1(b)
To amend the filing basis to an intent-to-use basis under Section 1(b), correct classification, and add a certification statement:
b. Immediately under “Original International Class,” enter next to “International Class” either A, if you have goods being certified, or B if you have services being certified.
c. Check the box next to “Filing Basis Section 1(b).”
d. Uncheck the box next to any previous filing basis that was selected (skip this step if not applicable).
4. Under the heading “Additional Statements,” scroll down and check the box for a “Miscellaneous Statement.” Then enter a certification statement into the blank text box below. See immediately above the text box for a suggested format for the certification statement.
For additional information on amending a filing basis, see the TEAS Nuts and Bolts Video, “Filing Basis.”
To amend application to a foreign registration filing basis, Section 44(e)
To amend the filing basis to a foreign registration filing basis under Section 44(e), correct classification, and add a certification statement:
a. Check the box next to the following statement: "Check here to modify the current classification number; listing of goods/services/the nature of the collective membership organization; dates of use; and/or filing basis; or to submit a substitute specimen, a foreign registration certificate, or proof of renewal of a foreign registration. If not checked, the changes will be ignored.”
b. Immediately under “Original International Class,” enter next to “International Class,” either A, if you have goods being certified, or B if you have services being certified.
c. Check the box next to “Filing Basis Section 44(e).”
d. Provide the required data regarding the foreign registration in the ensuing boxes and attach a copy of the foreign registration (or proof of its renewal, if appropriate).
e. Uncheck the box next to any previous basis that was selected (skip this step if not applicable).
To amend application to a foreign application filing basis, Section 44(d)
To amend the filing basis to a foreign application basis under Section 44(d), correct classification, and add a certification statement:
c. Check the box next to “Filing Basis Section 44(d).”
d. Provide the required data regarding the foreign application.
e. Uncheck the box next to any previous filing basis that was selected (skip this step if not applicable).
4. Under the heading, “Additional Statements,” scroll down and check the box for a “Miscellaneous Statement.” Then enter a certification statement into the blank text box below. See immediately above the text box for a suggested format for the certification statement.
This page is owned by Trademarks. Published on: Aug 31, 2017 08:15 AM ET Last Modified: Oct 4, 2017 08:21 AM ET