解锁美国商标新法关于使用证据的审查规则

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Examination of Specimens for Use in Commerce

商业使用证据审查

I. INTRODUCTION

  简介

The ongoing issue of applicants submitting specimens that are digitally created/altered, or are mockups, has resulted in the need for the USPTO to focus more attention on whether submitted specimens are real and show the mark as actually used in commerce as required by the Trademark Act.

目前，由于申请人提交经数字合成或数字修改的证据及模型样本的情况增多，根据美国商标法的规定，美国专利商标局（USPTO）要着重关注其提交的使用证据是否真实，能否显示申请商标在商业中的实际使用。

II. DEFINING DIGITALLY CREATED OR ALTERED AND MOCKUP SPECIMENS

  数字合成证据、数字修改证据及模型样本的界定

A digitally created/altered or mockup specimen consists of an image created for the purpose of showing how the mark might be used in connection with the goods or services. Such specimens do not evidence actual use of the mark on goods sold or transported in commerce, or in the case of services, displayed in connection with services actually rendered in commerce, all in the ordinary course of trade, as required by 15 U.S.C. §1127.

数字合成证据、数字修改证据及模型样本包括：为显示商标如何与商品或服务一起使用而创建的图像。根据美国《商业与外贸法》第1127条，这些证据并不能证明商标已使用于商品销售、运输，或者与商业中实际提供的服务相关。

A digitally created specimen comprises a digital drawing of the goods or packaging on which the mark appears.

数字合成的证据包含：带有商标的商品数字绘图，以及数字绘图的包装。

A digitally altered specimen includes a digital alteration of an existing image of goods or packaging for goods, a display associated with goods, or an advertisement or website that purports to show the mark used on the goods or in the sale, performance, or rendering of services.

数字修改的证据是指对以下现有图片的数字修改，包括：商品或商品包装图片、与商品相关的展览，或者自称有显示商标的商品、销售、表演或服务广告或网站。

A mockup specimen comprises a digital or non-digital rendering of what a mark would look like on a product, display, or website; these may be created solely for submission with the application.

产品模型样本包括商标在产品、展览或网站上的数字或非数字呈现；这些模型可能仅为提交申请而制作。

III. IDENTIFYING DIGITALLY CREATED/ALTERED AND MOCKUP SPECIMENS 

 数字合成证据、数字修改证据及模型样本的识别

Digitally created/altered and mockup specimens range from those that are clearly manipulated to those that are more difficult to identify. The following characteristics may indicate a digitally created/altered or mockup specimen.

经数字合成的证据图片，有些很明显，而有些则很难分辨。经过数字合成的证据图片具有以下特征：

The depiction of the product looks like a digital rendering rather than a real product.

图片中的产品像是经过技术渲染，而非真实的产品。

The product, label, or packaging is missing information typically included in the trade.

在贸易中通常出现的产品、标签或包装等信息缺失。

The mark appears to float over the product or container.

商标看似浮于产品或包装箱上。

Features of the item disappear near or around the mark.

商标附近或周围缺少产品的相关特征。

The image includes pixelization around the mark.

商标的像素与周围其他地方的像素不同。

The mark is not applied to the product in a manner consistent with the material composition of the product.

商标使用在商品上的方式与商品的材料成分不一致。

The mark appears on goods known to be marketed under a third-party mark.

商标出现在第三人商标已经在销售的产品之上。

The website screenshot showing the mark includes placeholder text indicating that the website was not in use.

网站截图的占位符号显示商标所在网页并未实际运营。

The website screenshot showing the mark is missing important information such as a URL or browser tab, and is displayed in a way that suggests it is not published (e.g., within other software).

网站截图显示的商标缺少统一资源定位器或浏览器标签等重要信息，表明该网站并未公开运营（如包含在其他软件内）。

Identical images display different marks or do not display any marks.

相同图片显示不同的商标，或图片上并无商标信息。

Features of the goods suggest that the goods are used while the tag or label to which the mark is applied appears new.

商品特征表明产品已投入使用，但带有商标的标签却像是新的。

The labeling appears to be crudely applied to containers or plain boxes.

标签看似简单粗暴地贴于包装箱或包装盒之上。

The mark appears superimposed onto signage or other advertising or marketing materials for services.

商标看似叠加于标牌或其他广告或宣传材料之上。

A webpage for an online marketplace, submitted as a display associated with the goods, includes indicia indicating that the mark is not in use in U.S. commerce or was not in use on the dates of use indicated in the application (e.g., language, currency, price, first available date, ship-to destination).

作为使用证据提交的产品在线销售的网页图片，所含信息显示商品并未在美国投入真正的商业使用，或并未在商标申请信息所提供的使用日期进行使用（如语言、货币、价格、首个使用日期，送货目的地等）。

This list is not exhaustive; other characteristics not listed above also may indicate a specimen does not show use of the mark in commerce. 

以上并非经过数字合成图片的所有特征，未提及的其他特征亦可能表明所提交的证据图片无法显示商标在商业中的实际使用。  

IV. GENERAL EXAMINATION CONSIDERATIONS FOR DIGITALLY CREATED/ALTERED OR MOCKUP SPECIMENS

数字合成证据，数字修改证据及模型样本的一般审查

Examining attorneys must carefully evaluate each specimen for signs indicating that it may have been digitally created/altered or is a mockup. Descriptions of the specimens should be taken into consideration. However, if facts in the record contradict the accuracy of the description of the specimen, these must be considered when determining the acceptability of the specimen.

审查律师必须仔细评估每个样本的商标是否有表明其可能是数字合成/修改或是产品模型。还应考虑对样品的描述。但是，如果记录中的事实与样本描述的准确性相矛盾，在确定是否接受申请商标的使用证据前，必须考虑到这些因素。

A. Retouched Images on White Backgrounds

白色背景上的经修饰的图片

Where the specimen is an image of a product bearing the mark and the image appears to be a retouched image (e.g., on a white background), the examining attorney may conduct research to confirm that a product depicted in the specimen exists. If the examining attorney is able to confirm that the product depicted in the specimen exists and shows use of the mark in commerce, the examining attorney may accept the specimen. In that case, the examining attorney must enter a Note to the File that indicates what resources were checked without including any statements or legal conclusions regarding the use of the mark. The Note to the File may be “checked applicant’s website at [URL of page checked]” or “checked Amazon.com at [URL of page checked].” In instances where the examining attorney confirms that a product exists bearing the mark, but the content of the listing or page where the product is found is suspicious for other reasons that indicate it is very unlikely that products or services offered under the mark have actually been sold or rendered in commerce, the examining attorney may issue requests for information concerning the applicant’s use of the mark.

使用证据是带有商标的产品图片，且图片看起来是修饰过的（例如，有一个白色背景），那么审查员会进行研究来确认使用证据中描述的产品是否属实。如果审查员能够确认使用证据中描述的产品属实并且能显示商标在商业中使用过，则审查员可能接受此使用证据。在这种情况下，审查员必须在文件中予以注释说明，该注释应说明检查了哪些资源，但未包括有关商标使用的任何陈述或法律结论。文件说明可以是申请人的网站[网页的链接]或亚马逊网站[网页的链接]。审查员在确认带有商标的产品时，如发现产品的列表或页面内容因其他原因存在疑问，这些原因表明根据该商标提供的产品或服务实际上不太可能在商业中已被售出，审查员可能会要求申请人就关于商标的实际使用提供更多信息。  

B. Digitally Created/Altered or Mockup Specimens

   数字合成证据、数字修改证据或模型样本

If a specimen appears to be digitally created/altered or otherwise mocked up, the examining attorney must issue a refusal that the specimen does not show actual use of the applied-for mark in commerce.

如果使用证据看似数据合成或编辑或是模型证据，审查员将予以驳回，理由是无法显示商标在商业中的实际使用情况。

The refusal must include an explanation of the reasons the specimen appears to be digitally altered or created. When issuing a refusal because the specimen does not appear to show actual use of the mark in commerce, the examining attorney must also issue a request for information requiring the applicant to provide detailed information about the submitted specimen and other information and documents relevant to aiding a determination as to whether the mark is actually in use in commerce.

驳回必须包括对使用证据似乎进行数据合成或编辑这一判断作出解释。如果由于使用证据没有显示商标在商业中的实际使用而发出驳回，审查员将要求申请人提供有关提交的使用证据的详细信息以及与对确定商标是否实际用于商业有帮助的其他相关信息和文件。

A request may require information regarding: (1) the goods or services for which the specimen was submitted; (2) whether the specimen was created for submission with the application and if so, when; (3) the source of the image depicting goods; (4) how the mark is used on goods in the actual sales environment or in the rendering or performing the services, including representative examples showing such use and URLs and publication dates for web pages; (5) when the goods or services were first available for purchase and whether they are still for sale; (6) proof of sales in commerce with or within the United States for the goods in the specimen and dollar amounts of sales; (7) proof of use for additional goods or services identified in the application; or (8) any other information relevant to a determination regarding actual use of the mark in commerce on or in connection with the identified goods/services.

要求提供的信息包含如下：

（1）确认申请中提交的证据商品的特定名称。

（2）提供的使用证据是否是为了申请拍摄的？如果是，请确定每个商品的拍摄时间。

（3）商品图片的来源。

（4）在实际销售环境中，商标在商品上以何种方式呈现？请举例说明，如果有网页的话，请提供网址链接和发表时间。

（5）商品或服务是什么时候上市的？它们是否还处于销售中？

（6）使用证据中的商品在美国或其他地方的销售证据和销售额。

（7）在申请中其他商品的商标使用证据。

（8）任何可以确定商标是否实际用于商业或关于已提交商品和服务的其他证据。

However, the request for information must be tailored to the particular facts of an application and generally should not seek information that already exists in the record.

但是，提交信息的要求必须根据每个特定申请细节进行修改，且通常不能要求申请人提交已提交的内容。

In almost all cases, requests for additional information should be made only when a refusal of registration for failure to show use in commerce is being made.

几乎在所有情况下，因为未能显示商业中商标的实际使用而驳回时才应补充额外信息。

Only in very limited circumstances where the examining attorney cannot point to indicia on the specimen itself to support a refusal but there is something suspicious about the contents or display of the specimen that suggests that the mark is not in actual use in commerce, and the examining attorney needs more information for proper examination of the issue, may a request for information be issued without also issuing a refusal.

极少情况下，会出现审查员不能直接指出使用证据本身的问题，但一定是审查员对商标是否有在商业中实际使用存有疑问，因此审查员需要更多的信息来帮助合理审查该案，此时审查员可在不作出驳回通知的情况下要求申请人提供相关信息。

In some instances, the record may contain both digitally altered/created or mocked up specimens and specimens that may appear not to be digitally altered/created or mocked up. Because the digitally altered/created specimens raise a question as to whether the other specimens were in use in commerce, in these cases the examining attorney must issue a refusal for failure to show use of the mark in commerce along with a request for information.

某些情况下，提交的使用证据中可能同时包含数字合成或模型样本，以及符合要求的使用证据。此时，数字合成证据或模型样本已经引起审查员对商标是否有在商业中实际的合理怀疑，审查员会以使用证据不合格（无法体现其是否有在商业中实际使用）为由下发驳回，并要求申请人补充新的使用证据。

In all cases, the examining attorney must also include all other relevant specimen-based grounds in the refusal. For example, applications containing digitally created/altered or mockup specimens may not show use of the mark with any of the goods/services listed in the application. Likewise, a digitally created website or advertisement also may not show a direct association between the mark and the goods or services. Additionally, if the specimen fails to show the mark functioning as a mark (e.g., the mark is merely informational or is used in an ornamental manner) the examining attorney must also issue a refusal.

在所有基于使用证据作出的驳回中，审查员必须说明理由。例如，数字合成或模型样本未证明申请商标及其指定的产品或服务有使用。同样，数字合成的网站或广告也未能将申请商标与指定产品或服务间联系起来。此外，如果使用证据未能显示商标应有的功能（例如，商标仅仅是通用性、修饰性的标记)，审查员必须驳回商标的注册申请。

V. EVALUATING RESPONSES

评估答复

If the applicant satisfactorily responds to all requests for information and the original or substitute specimen does not contradict the response, the specimen must be accepted. However, if the applicant does not provide an acceptable specimen and/or fails to respondor provides incomplete or unsatisfactory responses, the examining attorney must carefully evaluate the responses to determine whether a final refusal and/or a final requirement is appropriate.

若申请人提供的答复信息符合要求并且初始或者重新提交的使用证据与答复信息不矛盾，则审查员必须接受该使用证据。然而，若申请人并未提供合格的使用证据，且/或未提交完整或满意的答复，则审查员必须仔细评估该答复意见，并确认是否下发最终审查意见。

VI. GATHERING EVIDENCE

   证据收集来源

Generally, extrinsic evidence is not required to support a first-action refusal for a digitally created/altered or mockup specimen because the specimen itself provides the evidence why it cannot be accepted. Nevertheless, the examining attorney should conduct a search for an image if the examining attorney recognizes the image as appropriated or if there are other signs that the specimen is digitally created/altered or a mockup. Such evidence should be provided to create a more comprehensive record in a final refusal.

因使用证据是数字合成的或是模型样本而下发的第一次审查意见中，对外来证据一般不作要求。因为模型样本本身足以证明其被驳回的理由。然而，若产品图片是被挪用的或者有其他迹象表明使用证据是数字合成或仅为模型样本的，审查员应进一步搜索该图样。并且，审查员需在最终审查意见中附上更全面相关证据记录。

The examining attorney may use free image search and analysis tools available online, such as Google®. When making Google® evidence part of the record, the examining attorney must both (1) provide complete information as to the date the evidence was published or accessed from the Internet and its source (e.g., the complete URL address of the website), and (2) download and attach the evidence to the Office action.Other sources of evidence the examining attorney may consider are Office records such as an X-search record for a registration for the trade dress associated with an appropriated image or a copy of the specimen from the file of the registered mark associated with an appropriated image.

审查员也可以使用免费网络图形检索及分析工具，比如，谷歌。审查员将谷歌搜索结果纳入证据记录时，必须提供有关证据发布到网络的相关日期以及其来源等完整信息（例如，完整的网址），并且需将证据下载并附在审查意见中。审审查员也会将官方记录作为审查使用证据来源的依据，例如，已注册商标的相关图样商业包装或者来源于注册商标申请中的相关使用证据副本的文件搜索记录。