Opinion ID: 774264
Heading Depth: 2
Heading Rank: 3

Heading: Yankee's Claims

Text: 29 On appeal, Yankee argues that the district court erred in several ways. First, Yankee contends that the district court ignored its combination claim defining its trade dress as the combination of its Housewarmer series of labels, its choice of candle sizes and styles, its Vertical Design System, and its catalog layout. By disaggregating the features of its trade dress, says Yankee, the district court failed to analyze the look and feel of the entire Yankee product. Second, Yankee argues that the district court erroneously defined its trade dress as product design/configuration, and in so doing, proceeded directly to the question of secondary meaning without considering that the dress might be inherently distinctive. Third, Yankee argues that it introduced sufficient evidence of secondary meaning to survive summary judgment. Fourth, Yankee argues that it introduced sufficient evidence of likelihood of confusion to survive summary judgment had the district court needed to reach that issue. Although we agree with Yankee that the district court failed to address its combination claim as such and we entertain the possibility that the court incorrectly analyzed Yankee's claims under a product design/configuration rubric, we ultimately reach the same conclusion as the district court and affirm the grant of summary judgment, albeit using a different analysis. Burns v. State Police Ass'n of Mass., 230 F.3d 8, 9 (1st Cir. 2000) (this Court may affirm grant of summary judgment on any ground sufficiently indicated by the record).
30 We begin by sketching Yankee's claimed trade dress, which we read on appeal as defined in two possible ways. First, Yankee suggests that its trade dress is a combination of: (i) the Vertical Display System; 8 (ii) the catalog, with an emphasis on its one fragrance per page layout; (iii) its candle shapes and sizes; (iv) the quantities of candles it sells as a unit; and (v) the Housewarmer labels, specifically their inclusion of (a) a full-bleed photograph, (b) a superimposed title plate with gold edging and lettering on a white background, (c) a rectangular shape, and (d) a reflective border. 9 Alternatively, Yankee describes its trade dress as the elements common to its Housewarmer labels, of which we have provided greater detail in the copyright section of this opinion.
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32 Yankee argues that the distinct combination of elements comprising its candle sizes and shapes, quantities sold, labels, Vertical Design System, and catalog stem from arbitrary choices and are thus inherently distinctive and entitled to trademark protection. See Two Pesos, 505 U.S. at 768 (inherently distinctive marks are entitled to protection). Certain types of trade dress, however, can never be inherently distinctive. Wal-Mart, 529 U.S. at 212-14 (product design/configuration cannot be inherently distinctive); Qualitex Co. v. Jacobson Prods. Co., 514 U.S. 159, 162 (1995) (color cannot be inherently distinctive). We find that Yankee's combination claim falls under the category of product design/configuration, and thus Yankee must prove that the dress has attained secondary meaning in order for it to be protected under the Lanham Act. Wal-Mart, 514 U.S. at 215. 33 Yankee argues that because its products are candles, all the trappings associated with the sale of the candle -- i.e., the candle-holders, the Vertical Display System, the labels, and the catalog -- constitute product packaging, or at the very least a tertium quid . . . akin to product packaging, categories of trade dress that may be inherently distinctive. See Wal-Mart, 529 U.S. at 215 (citing Two Pesos, 505 U.S. at 773). 34 Although, as we explain below, Yankee's Housewarmer labels are product packaging and thus may be inherently distinctive, when combined with actual candle features, candle containers, the catalog, 10 and the in-store display system, the claim is no longer clearly a product-packaging one. Nor can the claim be categorized as product design/configuration, as that term has generally been defined to be limited to features inherent to the actual physical product: here, the candles. See Wal-Mart, 529 U.S. at 212 (describing cocktail shaker shaped as penguin as a product design); Lund, 163 F.3d at 34-36 (kitchen faucets). We also do not see this claim as akin to the restaurant decor upheld as potentially inherently distinctive in Two Pesos, which the Supreme Court later described as a tertium quid that is akin to product packaging. Wal-Mart, 529 U.S. 215; see also Best Cellars Inc. v. Grape Finds at Dupont, Inc., 90 F. Supp. 2d 431, 451-53 (S.D.N.Y. 2000) (finding that the overall layout of a wine store could be, and was, inherently distinctive). Yankee has not made a claim as to the overall appearance of an entire store, but has instead isolated certain characteristics of its candle display in stores. This strikes us as far closer to the design/configuration category. The fact that Yankee points to particular aspects of the candles themselves, namely their shapes and sizes, only confirms our categorization. 35 In Wal-Mart, the Supreme Court instructed us how to deal with claims that were at the margin of product design/configuration: To the extent that there are close cases, we believe that courts should err on the side of caution and classify ambiguous trade dress as product design, thereby requiring secondary meaning. 529 U.S. at 215. We follow that advice here. To prevail on its combination claim, Yankee must show that its trade dress has acquired secondary meaning. 36
37 Yankee also claims that unique features of its Housewarmer labels constitute an inherently distinctive trade dress. The district court found that the labels were also product configuration/design, and thus could not be inherently distinctive as a matter of law. Yankee I, 99 F. Supp. 2d at 153. We disagree. Detachable labels are a classic case of product packaging, and therefore may be inherently distinctive. See, e.g., Fun-Damental Too, 111 F.3d at 1000-01. Although the district court did not determine whether the Housewarmer labels were inherently distinctive, we are convinced that the label elements highlighted by Yankee do not meet the inherent distinctiveness test of Abercrombie & Fitch Co. v. Hunting World, Inc., 537 F.2d 4 (2d Cir. 1976). We therefore uphold the district court's grant of summary judgment on this basis. 38 Under Abercrombie, trademarks are divided into five categories: generic, descriptive, suggestive, arbitrary, and fanciful. Lund, 163 F.3d at 39. If a mark falls into one of the latter three categories, it is deemed to be inherently distinctive. Id. Because the Abercrombie test was first applied to word marks, see Abercrombie, 537 F.2d at 9, it may be difficult to apply to visual marks or trade dress, Lund, 163 F.3d at 39. The Supreme Court, however, has endorsed the use of the Abercrombie test in the evaluation of visual marks, as well as in the assessment of product packaging trade dress claims. Id. (citing Two Pesos, 505 U.S. at 768-69). 39 This Court, however, has noted that [w]e do not believe that the Supreme Court's endorsement of the Abercrombie test in Two Pesos requires a strict application of the Abercrombie test in all contexts . . . . Id. at 40. Instead, we have found it appropriate to supplement the somewhat bare-boned Abercrombie categories with the questions asked in Seabrook Foods, Inc. v. Bar-Well Foods Ltd., 568 F.2d 1342 (C.C.P.A. 1977). In Seabrook, inherent distinctiveness was determined by reference to: (i) whether the design was a common or basic one; (ii) whether it was unique or unusual in the field; (iii) whether it was a refinement of a common form of ornamentation; and (iv) whether it was capable of creating a commercial impression distinct from the accompanying words. 11 Wiley v. Am. Greetings Corp., 762 F.2d 139, 141 (1st Cir. 1985) (quoting Seabrook, 568 F.2d at 1344). In reality [the question is] whether the [dress] is so unique, unusual or unexpected in this market that it will automatically be perceived by customers as an indicator of origin. Lund, 163 F.3d at 40 (citing 1 J. McCarthy, McCarthy on Trademarks and Unfair Competition § 8.13 (4th ed. 1996)); see also McKernan v. Burek, 118 F. Supp. 2d 119, 124 (D. Mass. 2000) (describing this question as the Lund test for inherent distinctiveness). 40 Furthermore, in evaluating the inherent distinctiveness of Yankee's packaging, we must consider the fact that although Yankee's Housewarmer labels have obvious similarities, they also differ significantly from one another, in that they necessarily display different pictures corresponding to their particular candle fragrance. In other words, Yankee seeks to protect features common to a set of labels, as opposed to a specific label common to a host of Yankee goods. A trade dress plaintiff seeking to protect a series or line of products faces a particularly difficult challenge, as it must show that the appearance of the several products is sufficiently distinct and unique to merit protection. Landscape Forms, 113 F.3d at 380; Jeffrey Milstein Inc. v. Gregor, Lawlor, Roth, Inc., 58 F.3d 27, 32-33 (2d Cir. 1995). Moreover, trade dress claims across a line of products present special concerns in their ability to artificially limit competition, as such claims are generally broader in scope than claims relating to an individual item. Landscape Forms, 113 F.3d at 381. 41 Yankee has focused on the arbitrary choices it made in designing its label, and has for this reason introduced into evidence numerous possibilities of alternative label designs. While we appreciate that there are many different potential ways of creating a candle label, we think Yankee's approach ignores the focus of the inherent distinctiveness inquiry. As we detailed in the copyright section of this opinion, Yankee's label is essentially a combination of functional and common features. See Pubs. Int'l, 164 F.3d at 341 (gold coloring is a prime example of aesthetic functionality, because it connotes opulence). Although such a combination may be entitled to protection where secondary meaning is shown, Lund, 163 F.3d at 37, it is less likely to qualify as inherently distinctive, Jeffrey Milstein, 58 F.3d at 32. While the particular combination of common features may indeed be arbitrary, we do not think that any reasonable juror could conclude that these elements are so unique and unusual that they are source-indicative in the absence of secondary meaning. Lund, 163 F.3d at 40.
42 Having concluded that neither trade dress claim made by Yankee qualifies for protection based on its inherent distinctiveness, we next address whether Yankee has introduced sufficient evidence to survive summary judgment on the question of secondary meaning. As evidence of secondary meaning, 12 Yankee points to: (i) its advertising campaign featuring pictures of its products with the claimed trade dress; (ii) its continuous and virtually exclusive use of its trade dress since 1995; (iii) its high sales figures for Housewarmer candles; (iv) evidence from Bridgewater's files indicating that retailers identify a resemblance between Bridgewater's styles and Yankee's; (v) testimony by a Bridgewater's sales agent as to the distinctiveness of the Yankee trade dress; (vi) testimony by Bridgewater and Yankee employees as to the distinctiveness of Yankee's claimed trade dress; (vii) evidence of actual consumer confusion between Bridgewater and Yankee products; and (viii) evidence of intentional copying by Bridgewater. 43 This Court has said that [p]roof of secondary meaning entails vigorous evidentiary requirements. Boston Beer, 9 F.3d at 181 (quoting Perini Corp. v. Perini Constr., 915 F.2d 121, 125 (4th Cir. 1990)). The only direct evidence probative of secondary meaning is consumer surveys and testimony by individual consumers. Id. Although survey evidence is not required, it is a valuable method of showing secondary meaning. Lund, 163 F.3d at 42. Yankee has introduced no survey evidence here. 13 Yankee also cites no evidence that individual consumers associate the particular features at issue with Yankee. 14 44 Secondary meaning may also be proven through circumstantial evidence, specifically the length and manner of the use of the trade dress, the nature and extent of advertising and promotion of the trade dress, and the efforts made to promote a conscious connection by the public between the trade dress and the product's source. See Boston Beer, 9 F.3d at 182. Other factors may include the product's established place in the market and proof of intentional copying. Lund, 163 F.3d at 42. Yankee has introduced substantial evidence that the Housewarmer line of candles and corresponding display have been in circulation since 1995, that Yankee spends significant resources advertising its Housewarmer line, and that sales of Housewarmer candles have been extremely successful. See Yankee I, 99 F. Supp. 2d at 153-54. However, in concluding that Yankee had not made a sufficient evidentiary showing of secondary meaning, the district court focused on the lack of evidence as to advertising of the specific trade dress claimed, as well as the lack of evidence demonstrating a conscious connection by the public between the claimed trade dress and the product's source. 45 We believe the district court emphasized the relevant issues in conducting its analysis of secondary meaning. Proof of secondary meaning requires at least some evidence that consumers associate the trade dress with the source. Although evidence of the pervasiveness of the trade dress may support the conclusion that a mark has acquired secondary meaning, it cannot stand alone. To find otherwise would provide trade dress protection for any successful product, or for the packaging of any successful product. See Seabrook, 568 F.2d at 1344 (evidence of sales volume may be relevant to secondary meaning, but is not necessarily indicative). Such an open standard hardly comports with the vigorous evidentiary showing required by this Court, nor does it comport with the purposes of trade dress protection, namely to protect that which identifies a product's source. Lund, 163 F.3d at 35. In the absence of any evidence that the claimed trade dress actually does identify a product's source, the trade dress should not be entitled to protection. 46 That being said, Yankee argues that, because its advertising contained pictures of its products incorporating the claimed trade dress, it was the type of look-for advertising that can, on its own, support a finding of secondary meaning. See First Brands Corp. v. Fred Meyer, Inc., 809 F.2d 1378, 1383 (9th Cir. 1987). Look-for advertising is such that encourages consumers to identify the claimed trade dress with the particular producer. Thomas & Betts Corp. v. Panduit Corp., 65 F.3d 654, 662 (7th Cir. 1995). In other words, it is advertising that specifically directs a consumer's attention to a particular aspect of the product. To be probative of secondary meaning, the advertising must direct the consumer to those features claimed as trade dress. Id. Merely featuring the relevant aspect of the product in advertising is no more probative of secondary meaning than are strong sales; again, to provide protection based on extensive advertising would extend trade dress protection to the label (or to the combination claim) without any showing that the consumer associated the dress with the product's source. See Int'l Jensen, Inc. v. Metrosound U.S.A., Inc., 4 F.3d 819, 824 (9th Cir. 1993) (While evidence of a manufacturer's sales, advertising and promotional activities may be relevant in determining secondary meaning, the true test of secondary meaning is the effectiveness of this effort to create it.) (emphasis added). The district court found that Yankee's advertising did not emphasize any particular element of its trade dress, and thus could not be probative of secondary meaning. Yankee I, 99 F. Supp. 2d at 154. We agree. 47 We also do not find Yankee's evidence of intentional copying probative of secondary meaning. First, to the extent Yankee seeks to use such evidence as secondary meaning of its combination trade dress, intent plays a particularly minor role in product design/configuration cases. See, e.g., Duraco, 40 F.3d at 1453 ([A]ttempts to copy a product configuration [may] not be probative [because] the copier may very well be exploiting a particularly desirable feature, rather than seeking to confuse consumers as to the source of the product.). Given the highly functional nature of certain elements of Yankee's claimed combination trade dress, see Yankee I, 99 F. Supp. 2d at 151-52, the concern that protection could prevent healthy competition in the scented candle field weighs heavily in this case. 48 The testimony that Bridgewater designers were, at times, told to make the labels look more like Yankee's is more troubling. See Blau Plumbing, Inc. v. S.O.S. Fix-it, Inc., 781 F.2d 604, 611 (7th Cir. 1986) (defendant's belief that trade dress has acquired secondary meaning provides some evidence that it actually has acquired secondary meaning). However, the relevant intent is not just the intent to copy, but to pass off one's goods as those of another. Id. Given that Bridgewater prominently displayed its trade name on its candles, we do not think that the evidence of copying was sufficiently probative of secondary meaning. 49 In sum, Yankee has not introduced any of the direct evidence -- surveys or consumer testimony -- traditionally used to establish secondary meaning. Although it has introduced some of the circumstantial evidence often used to support such a finding, the lack of any evidence that actual consumers associated the claimed trade dress with Yankee, as well as the lack of evidence as to confusion on the part of actual consumers, 15 renders this circumstantial evidence insufficient for a reasonable juror to find that the trade dress had acquired a secondary meaning. Yankee has not made the vigorous evidentiary showing required by this Court. The grant of summary judgment on Yankee's Lanham Act claim is affirmed.