Office Action
If you have received an Office Action from an examining attorney regarding your application, either in the form of a letter or a Priority Action, you must respond within six (6) months of the mailing date of the action, or your application will be abandoned. (If it is a Priority Action, a response within two (2) months will give you priority handling; however, you do have the full six (6) month response period, if necessary). This means that your response must arrive on the USPTO server prior to Midnight, Eastern Standard Time, on the last day of the response period- any problem with transmission will not excuse an untimely response. Should the last day of the response period fall on a Saturday, Sunday or U.S. Federal Holiday, you may then submit your response prior to Midnight, Eastern Standard Time, on the next regular business day. You should respond to each point raised in the Office Action Form fully and completely.
Preliminary Amendment
If, after filing but prior to examination by the assigned attorney, you wish to amend or supplement your original filing, you may submit a preliminary amendment, i.e., preliminary to examination. However, please note that you must wait approximately 15-30 days after your original submission to file the Preliminary Amendment, because the original application data must first be fully loaded into the USPTO's TARR database http://tarr.uspto.gov/
Examiner's Amendment
Whenever possible, the examining attorney will attempt to resolve all issues, but for the payment of fees issue, via a telephone call. If the only remaining issue is the payment issue, you may use the response form to make the proper payment, either by credit card, electronic funds transfer, or through an already-established USPTO deposit account.
Trademark Rule 2.33
Under this rule, "A person who is properly authorized to sign on behalf of the applicant is:
Extend the time limit
The 60-minute period is not an "absolute" period; i.e., you do not have to complete the form, start to finish, within 60 minutes. If the USPTO's server does not detect any activity at all within 60 minutes, it will end your session at the 60-minute point. HOWEVER, at 54 minutes into your session, you will receive a pop-up window warning you that your session will expire in six minutes (it will actually provide the precise "end" time within the window, such as 11:29:14 EST). To "renew" your session, you simply need to click on the "O.K." button at the bottom of the pop-up window, and you will automatically get another 60 minute time period. If you do not click on the button within the remaining six minutes of the session, your session will completely end at the 60-minute mark, and you will be returned directly to the initial form wizard to start the process again.
Serial Number
Enter the 8-digit USPTO assigned serial number; e.g., 78658234.
Previously-saved data
Additional Fee
Each separate international class of goods and/or services requires its own fee, even if the mark is the same. If your goods and/or services are properly placed in more than one international class, but you have not paid the filing fee(s) for all classes, you must now pay the additional fee(s) for all other classes to continue prosecution of those, if you wish to continue prosecution of the other classes. You will be able to designate whether the fee(s) to be paid are at the level for a TEAS Plus application, or a regular TEAS application. You will also be able to pay the required $50 fee per class if the examining attorney has determined that the application filed on the TEAS Plus form did not, in fact, satisfy all of the requirements for that type of application.
Substantative Refusal
If the examining attorney has refused your mark for any substantive legal reason, you are entitled to submit arguments in support of registration. You should simply and completely address the points raised by the examining attorney in the Office Action. You are not required to provide case law support, although you may, as appropriate. If the examining attorney is convinced by your arguments, the examining attorney will withdraw the refusal(s). If not convinced, and assuming there are no other outstanding issues, the examining attorney will issue a final refusal. Your options at that point are 1) appeal to the Trademark Trial and Appeal Board (TTAB), an administrative adjudication board; or 2) not respond, which will lead to abandonment of the application. You may still be entitled to use this mark as your "trademark" or "service mark; however, you would not have the rights associated with a federal registration. You should seek the advice of an attorney experienced in U.S. trademark matters for a more complete explanation of anything in this form you do not understand or for any other legal advice relating to the use and/or registration of your trademark or service mark. The USPTO cannot recommend an individual attorney or law firm.
Attach Evidence
At the proper place in the form, you may attach image files of evidence that support the registrability of your mark; for example, dictionary excerpts, copies of relevant articles, web sites, etc. To attach anything as evidence, you must first scan the evidence into a JPG image file. For technical and security reasons, this is the only format that the Office will accept; attachments in any other format will be rejected. Once this is done, you can then click on the browse button at the appropriate place in the form to select the JPG image file(s) stored on your local drive that contains the piece of evidence. If you are submitting more than one piece of evidence, you must attach a separate file for each additional piece of evidence.
How many individual jpg Image Files
You must specify how many separate image files you need to attach. If you are submitting more than one piece of evidence, you must attach a separate file for each additional piece of evidence.
ADD a new class of goods and/or services
It is appropriate to add a new class of goods and/or services only if the goods and/or services existed in the original application, but were simply included as part of an incorrect class. An entirely new listing cannot be added through this form, because it would exceed the scope of the original filing. Any new class requires the payment of an additional fee of $325.00 per class. E.g., if the original identification was for "shirts, jackets, handkerchiefs" in Class 25, then Class 24, the proper class for "handkerchiefs," could be added.
Change an existing classification number
If the original goods and/or services were listed in the incorrect international class, the overall classification can be changed directly in the form. If the examining attorney has proposed a classification, you should adopt that class. If the number of classes that the examining attorney recommends exceeds the number of fees that have been paid, you must either limit the goods and/or services to the number of classes paid or pay the additional fees. For further information about classification, please see What are the different classes of goods and services? Please note that when a class is changed, and then this information is viewed after validation, e.g., in the input format or text form format, it will be displayed as if the class had first been deleted entirely, and then a new class added (with that "new" class showing the new classification number). However, although displayed as an "added" class, it is not truly considered to be a new class; therefore, no additional fee is required.
Modify listing of goods and/or services
If the original listing of goods and/or services is not correct or is not acceptable to the USPTO, you may enter a new listing of goods and/or services. However, this listing must still fall within the "scope" of the original listing. I.e., you may amend from "clothing" to "shirts and pants," but not to "shirts, pants, and retail clothing stores," because "retail clothing stores" was not within the scope of just "clothing." You must enter the complete listing of Goods/Services, regardless of the extent of changes made from the original listing (i.e., even if only one word has been changed, please repeat the entire listing, with relevant changes incorporated). If the examining attorney has suggested a listing, you should adopt that wording, assuming it is correct. If the examining attorney has not been able to suggest a new listing, perhaps because your original listing was simply too broad, please look for acceptable language for the goods and/or services in the USPTO's on-line Goods and/or Services Manual .
Filing basis
Under certain circumstances, a filing basis may be changed, i.e., either amended, deleted, or added. See TMEP Section 806.03 et seq. and TMEP Section 806.04 et seq. for a complete discussion of the rules regarding changes in filing basis.
Dates of use
If the original application was filed under Section 1(b), Intent to Use, this form is not the correct method for now making use dates of record. You must file an Allegation of Use form. Any addition of, or change to, dates of use must be supported by declaration, signed by someone properly authorized to sign on behalf of the applicant under 37 C.F.R. Section 2.33(a). In an application under Section 1(a) of the Trademark Act, the applicant may not amend to specify a date of use that is later than the filing date of the application. In an application under Section 1(b) of the Act in which an amendment to allege use is filed, the applicant may not amend the dates of use to recite dates of use that are subsequent to the filing of the amendment to allege use. However, the applicant may withdraw the amendment to allege use. In an application under Section 1(b), after the applicant files a statement of use, the applicant may not amend to recite dates of use that are subsequent to the expiration of the statutory deadline for filing a statement of use (i.e., within six months of the mailing date of the notice of allowance or before the expiration of an extension of time for filing a statement of use).
Specimen Image
At the proper place in the form, you may attach, for each international class, specimen(s) showing the mark as used in commerce on or in connection with any item listed in the description of goods and/or services. This may be to replace a specimen already of record, or to submit a new specimen, either because the original application did not include a specimen or because a new class is being added, under a Section 1(a), Use in Commerce, basis. To attach the specimen(s), you will click on the browse button to select the JPG image file (the only image format that may be used for this form) stored on your local drive and that contains the specimen(s). Up to fifty (50) image files may be attached. The images may be in color, and must be in color if color is being claimed as a feature of the mark. NOTE: The specimen image is not simply the same as the image of your actual mark by itself. Instead, you must show how you are actually using the mark in commerce. For example, for goods, acceptable specimens would consist of scanned or digitally photographed tags, labels, instruction manuals, or containers that show the mark on the goods or packaging. Invoices, announcements, order forms, bills of lading, leaflets, brochures, publicity releases and other printed advertising material generally are not acceptable specimens for goods. Examples of acceptable service mark specimens are signs, photographs, brochures or advertisements that show the mark used in the sale or advertising of the services.
Submit a foreign registration certificate
You can attach a scanned image, as multiple JPG image files, of the foreign registration certificate. A certified copy of the foreign registration is not required. If the foreign registration is not in English, you must also provide a translation of the foreign registration with the copy of the foreign registration. The translator should sign the translation, but need not swear to the translation. Submission of the copy of the foreign registration certificate is not required to receive a filing date; however, the foreign registration(s) must be in force at the time of filing of the U.S. application, and must be filed before the application may proceed to registration. I.e., the foreign registration must be "live" at the time the United States issues the registration based on that foreign registration.
Applicant or Entity Information
Use this section to change the applicant's name; the applicant's address; the applicant's phone number; the applicant's entity type; the applicant's state/country of citizenship; and/or enter a new correspondence address or Email address.
Change the Mark
If you want to change your mark, e.g., to correct a typographical error in the original submission, you may submit an amended version of the mark. However, not all proposed corrections are automatically accepted. The examining attorney will only permit the new mark after determining that the change is not a material alteration of the mark as originally filed. If, e.g., a completely "wrong" mark was inadvertently filed, the examining attorney will not accept a totally different mark. Even some minor "typographical" errors cannot be amended, because the nature of the change would still amount to a material alteration.
Submit a better quality image
If the examining attorney has required the submission of a new mark image, answer YES and YES to the form wizard questions, and then attach a JPG image file (the only image file type accepted) showing a better quality image of the mark. Please note the following:
Material Alteration
The examining attorney will determine whether any proposed amendment of the mark is acceptable. A change is not acceptable if it materially alters the character of the mark. The modified mark must contain what is the essence of the original mark, and the new form must create the impression of being essentially the same mark.
As a general rule, the addition of any element that would require a further search to determine whether a confusingly similar mark exists will constitute a material alteration. Also, deletion of matter from the mark can result in a material alteration. However, the deletion of non-distinctive matter may not constitute a material alteration. For example, the deletion of the generic name of the goods or services would not generally constitute a material alteration, unless it was so integrated into the mark that the deletion would alter the commercial impression. In some circumstances, even descriptive or other types of non-distinctive matter may be deleted, if the overall commercial impression is not altered.
You may not amend to a standard character mark if the deletion of a design element or the elimination of the special form would alter the commercial impression. Usually, the mere amendment from stylized lettering to standard character form will not represent a material alteration. An amendment adding an element that the applicant has previously registered for the same goods or services may be permitted. However, the addition of matter that the applicant has previously registered for different goods or services is not permissible. Any proposed amendment to delete previously registered matter from the mark will be evaluated as to whether the deletion would represent a material alteration of the mark, without regard to whether the matter to be deleted is the subject of an existing registration.
These general rules are subject to exceptions. Each case must be decided on its own facts. The controlling question is always whether the new and old form of the marks create essentially the same commercial impression.
Mark Image
If you are using, or intend to use, your mark in a stylized manner or with a design element, you must attach a JPG image file (the only format that TEAS accepts) showing an image of your mark. At the proper place on the form, you will be instructed to click on the 'Browse' button to select from your local drive the JPG image file. The image may be in black-and-white or in color, depending on what type of protection you are seeking. If color is an important feature of the mark that you wish to protect, you must 1) attach an actual color image of the mark; and 2) use the description of the mark field (under the Additional Statement section) to explain where the color(s) appear in the mark (e.g., "The mark consists of a bird with a blue body, a red head, and a yellow beak.").
Additional Statements
More than One Applicant
Normally a trademark application is filed in the name of one party. Historically the Office has been reluctant to accept applications by joint applicants because, superficially at least, ownership by more than one party seems to be contrary to the function of a trademark to indicate singleness of commercial source. However, cases have held that joint applicants could qualify under the trademark statute, where the mark was used in a business in which two parties were both involved actively. While an application by joint applicants is acceptable in appropriate circumstances, the examining attorney will scrutinize such an application carefully to be satisfied, by further inquiry if necessary, that the mark and the business in which it is used are in fact owned by separate parties jointly and cannot be identified correctly in any other way; that is, the parties have not been incorrectly labeled "joint owners" when actually they are members of a partnership or a joint venture or are part of some other type of business entity in whose name application should be made. If the application clearly identifies the applicants as joint applicants, no inquiry is necessary. A joint venture is not in the category of joint applicants. A joint venture is a single applicant, in the same way that a partnership is a single applicant.
All relevant information must be provided for each of the applicants, and an application by joint applicants must be signed by each of the applicants, since they are individual parties and not a single entity. An application which is not properly signed but is signed by a person having "color of authority" will retain its filing date, but the applicant must submit a substitute verification or declaration which is properly signed by all necessary parties before the application will be approved for publication or registration. In order to establish that an application by joint applicants was signed by a person having color of authority, signature by at least one of the joint applicants is sufficient. For further information, see the Trademark Manual of Examining Procedure.
Attorney
If an attorney is filing the Preliminary Amendment, then the attorney should sign the response. Answering "Yes" to this question creates the appropriate signature section at the end of the response. However, this form cannot be used to appoint an attorney or change a previously appointed attorney. An "Attorney Section" will NOT appear in the form if you check "Yes." For further information regarding appointing or changing attorneys, see the Trademark Manual of Examining Procedure Chapter 600 at http://tess2.uspto.gov/tmdb/tmep/pdf/0600.pdf.
Domestic Representative
If the applicant's address is outside the United States, you may wish to designate some person resident in the United States on whom may be served notices or process in proceedings affecting the mark. However, this is no longer required. The designation would serve the purpose of bringing a foreign party who takes advantage of the United States trademark registration system under the jurisdiction of the United States legal system. Any juristic entity may serve as a domestic representative.
Change Of Correspondence Address
Answer YES if you want to change a Correspondence Address, i.e., the postal service address or e-mail address to which the USPTO should send any correspondence. Answer NO if you wish to change either an actual Power of Attorney or Appointment of Domestic Representative, or the physical address of the applicant or owner (which requires a regular amendment). Additionally, answer NO if you wish to change the applicant's name or to transfer ownership of an application or registration from one party to another. Those steps must be done through the Assignments Division. For more information, click here. For an Assignment Recordation Form Cover Sheet (PTO-1594), click here. To access the Change of Correspondence Address Form, click here.
Signed Declaration
A signed declaration is not required when originally filing the application. An application filed without a signature will be given a filing date, provided the minimum filing date requirements have been satisfied, namely, those fields designated with an asterisk on the application form. However, a signed declaration must be provided before the application may be approved for publication. Also, a signed declaration is required when certain changes are made in the application: 1) dates of use are added or modified; 2) a new or additional specimen(s) of use is submitted; 3) a claim of distinctiveness under Section 2(f), based on use, is entered; 4) a claim of distinctiveness under Section 2(f), in part, based on use, is entered; and/or 5) a new filing basis is added (Section 1(b), Section 44(d), and/or Section 44(e)).
Specific Item
You must provide a signed declaration if you are providing any of the following items as part of the preliminary amendment form: NOTE: These items are all highlighted on the response form by a preceding "#" symbol.
Text Form
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(1) e-mailed to the proper signatory as a "hyperlink" (no "downloading" of a portable form is required). The signatory will sign and date the preliminary amendment declaration by affixing the "electronic signature," consisting of an arbitrary alpha-numeric combination placed between two forward slash symbols (e.g., /john smith/). The signed version automatically is returned to the original preparer, who can then complete the submission process to the USPTO.
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(2) printed out and then mailed or faxed to the signatory, who will sign the preliminary amendment declaration in the traditional "pen-and-ink" manner, and then mail or fax the signed form back to the preparer. The handwritten signed version should then be scanned and re-attached as a GIF or JPG image file (the only image formats acceptable) to the original electronic preliminary amendment; the complete preliminary amendment can then be validated and filed electronically.
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Directly
E-Signature
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Handwritten ("pen-and-ink") signature
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Limited purposes:
For a Section 66(a) application, the Preliminary Amendment form may be used to propose only the following changes:
1. Deletion of an existing class or modification of the listing of goods/services within an existing class. You may not propose any of the other changes listed at Question #1 of the form wizard, namely, changing a classification number; adding/modifying dates of use;adding/substituting a specimen; and/or submitting a foreign registration certificate. Nor may you add a class(es) (form wizard question #5).
2. Insertion of an additional statement, for example, a disclaimer, a translation into English, the consent to register an individual's name. Amendment to the Supplemental Register is not permitted, however, even though that option will appear in the Additional Statement section of the form.
3. Submission of a better quality image or submission of a drawing that complies with U.S. drawing requirements. You may not amend the mark, even in a non-material way.
4. Correction of applicant or entity information, e.g., to provide applicant's country of incorporation or organization. You may not change the applicant/holder or address thereof.
5. Payment of additional fee (although the need for this perhaps does not exist, since adding a class(es) is not permitted.
6. Submission of a signed declaration, if you believe the original MM18 form was not properly signed.