Certification mark applications

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 below⁴appears 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.

DISCLAIMER:References to particular trademarks, service marks, certification marks, products, services, companies, and/or organizations appearing on this page are for illustrative and educational purposes only and do not constitute or imply endorsement by the U.S. Government, the U.S. Department of Commerce, the U.S. Patent and Trademark Office, or any other federal agency.

1. The legal name, physical address, and email address for each applicant
2. The legal entity type of each applicant (i.e., is the applicant an individual person, a sole proprietorship, a partnership, a joint venture, a limited liability company, or a corporation?)
3. The citizenship of each applicant or the jurisdiction under whose laws each applicant business is organized (U.S. state or foreign country) NOTE: If an applicant is 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.
4. A description of your certification mark (only if the mark is stylized and/or has a design)
5. An English translation or transliteration of foreign wording in your certification mark
6. A drawing of your certification mark
7. A filing fee for each class of goods and/or services (see the current fee schedule)
8. A filing basis (see below, "What is a filing basis?")
9. A registration basis, if appropriate (see below, "What is the difference between a filing basis and a registration basis?")
10. A list of the goods and/or services you will be or are certifying
11. 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. 
12. If the applicant is, or must be, represented by a U.S.-licensed attorney, the application must include the attorney's name, postal address, email address, and bar information.

To satisfy these requirements, file a certification mark application with the 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.

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.

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.

For more information about the requirements for a filing basis, see TMEP §1306.02(a)-(a)(iv)(A).

The instructions below presume that you will respond to more than one issue. To respond, 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.

The instructions below presume that you will respond to more than one issue. To respond, 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 an intent-to-use basis under Section 1(b), correct classification, and add a certification statement:  

 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 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.”

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.

The instructions below presume that you will respond to more than one issue. To respond, 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 foreign registration filing basis under Section 44(e), correct classification, and add a certification statement:  

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.  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).

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.”

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.

The instructions below presume that you will respond to more than one issue. To respond, 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 foreign application basis under Section 44(d), correct classification, and add a certification statement:  

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. 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(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.

For additional information on amending a filing basis, see the 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.