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Trademark Examination Referenced Items (455, 456, 457, 458, 459, 460, 461, 462, 463, 464, 465)
(465)                          Exam Guide 2-06
                           Geographical Indications
                          Used on Wines and Spirits
                              Issued May 9, 2006

Introduction

   The purpose of this exam guide is to clarify the circumstances under
which an examining attorney must refuse to register a mark for wines or
spirits that includes a geographical indication. This exam guide supersedes
current TMEP Sec. 1210.08.
   Section 2(a) of the Trademark Act, 15 U.S.C. Sec. 1052(a), prohibits
the registration of a designation that includes "a geographical
indication which, when used on or in connection with wines or spirits,
identifies a place other than the origin of the goods."1 The term "spirits"
refers to any distilled alcoholic beverage (e.g., gin, rum, vodka, whiskey,
brandy).2 The procedures set forth below apply if the applicant's
identification of goods 1) specifically includes wines or spirits, or
2) describes the goods using broad terms that could include wines or
spirits (e.g., alcoholic beverages).
   The provision does not apply to geographical indications that the
applicant first used on or in connection with wines or spirits prior to
January 1, 1996, and does not apply to designations used on or in
connection with beer. The provision also does not apply to goods that are
not wines or spirits, but are partially composed of wines or spirits (e.g.,
wine vinegar; wine sauces; wine jelly; rum balls; bourbon chicken).

Examination procedure when the goods do not originate in the named place

   A designation is considered a geographical indication under Sec. 2(a)
if it identifies the applicant's wines or spirits as originating in a
territory known for a given quality, reputation, or other characteristic
associated with wines or spirits.3 A mark for wines or spirits that
includes a geographical indication is unregistrable if 1) purchasers would
erroneously believe the goods originate in the relevant geographic
location; and 2) the quality, reputation, or characteristic associated with
wines or spirits from that location would materially affect the purchaser's
decision to buy the goods.
   To establish a prima facie case for refusal to register a mark under the
"wines and spirits" provision of Sec. 2(a), the following is required:

   (1) the primary significance of the relevant term or design is
   geographic, e.g., a place name, abbreviation, nickname, or symbol; or
   an outline or map of a geographic area (see TMEP Sec. 1210.02(a) and
   Secs. 1210.02(b) et seq.);
   (2) purchasers would be likely to think that the goods originate in the
   geographic place identified in the mark, i.e., purchasers would make
   a goods/place association (see TMEP Secs. 1210.04 et seq.);
   (3) the goods do not originate in the place identified in the mark (see
   TMEP Sec. 1210.03);
   (4) a purchaser's erroneous belief as to the geographic origin of the
   goods would materially affect the purchaser's decision to buy the goods
   (see TMEP Sec. 1210.05(b) et seq.); and
   (5) the mark was first used in commerce by the applicant on or after
   January 1, 1996.

   Section 2(a) is an absolute bar to the registration of false geographical
indications used on wines or spirits on either the Principal Register or
the Supplemental Register. Neither a disclaimer of the geographic term or
design nor a claim that it has acquired distinctiveness under Sec. 2(f) of
the Trademark Act, 15 U.S.C. Sec. 1052(f), can obviate a Sec. 2(a) refusal
if the mark consists of or includes a geographical indication that
identifies a place other than the true origin of the wines or spirits.

Requirement for first use on or after January 1, 1996
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   For all applications filed under Sec.  1(b), Sec.  44, or Sec.  66(a)
of the Trademark Act, 15 U.S.C. Sec. 1051(b), Sec. 1126, or Sec. 1141f(a),
or for applications filed under Sec. 1(a) of the Trademark Act, 15 U.S.C.
Sec. 1051(a), where the application fails to indicate the applicant's date
of first use of the mark in commerce, the examining attorney should presume
that the applicant's first use of the mark in commerce is or will be on or
after January 1, 1996, unless the application record indicates otherwise.
   If the examining attorney determines that a mark featuring a false
geographical indication was in use prior to January 1, 1996, the examining
attorney should refuse registration because the mark is primarily
geographically deceptively misdescriptive under Sec. 2(e)(3) of the
Trademark Act, 15 U.S.C. Sec. 1053(e)(3), and deceptive under Sec. 2(a).
See TMEP Secs. 1210 et seq.

Examination procedure when a geographic term or design is generic for
the goods

   When a geographic term or design in the mark is generic for a type of
wine or spirit, the examining attorney must refuse registration under
Sec. (2)(e)(1) on the Principal Register or Sec. 23 on the Supplemental
Register, as appropriate, because the term or design is generic. See TMEP
Sec. 1209.02. Or, if appropriate, the examining attorney must require a
disclaimer of the generic term or design. See TMEP Secs. 1213 et seq.
   A geographic term or design is considered generic if U.S. consumers
view it as designating the genus of the goods, rather than as a geographic
origin. See TMEP Sec. 1209.01(c) et seq. If a geographic term or design
is used in connection with wines or spirits, the examining attorney may
submit a search request to the Trademark Law Library to determine whether
there is evidence indicating that the term or design is generic for the
applicant's goods.

Examination procedure when the goods originate in the named place

   If the wines or spirits originate in the identified place, and the
primary significance of the mark is a generally known geographic location,
the examining attorney should presume the requisite goods/place
association, and refuse the mark under Sec. 2(e)(2) as geographically
descriptive, or require disclaimer of the geographic term, as appropriate.
See TMEP Sec. 1210.01(a) and TMEP Sec. 1210.06(a).
   Sometimes a geographic term is used to certify the geographic origin of
wines or spirits. If the proposed mark is used to certify the goods, the
applicant may convert the application to one for a certification mark of
regional origin under Sec. 4 of the Trademark Act, 15 USC Sec. 1054. See
TMEP Sec. 1306.06(g)(vi). See also TMEP Sec. 1210.09 and TMEP Sec. 1306.02
et seq. for a discussion of geographic certification marks.

Comparison of refusals

   The following chart highlights the differences between the refusals that
may apply when a geographical indication used on or in connection with
wines and spirits identifies a place other than the true origin of the
goods:

Refusal         Marks it        Standard        Options       Office action
                                applies to                    procedure

Sec. 2(a)       Marks first     1) Primary      Total bar to  If a Sec.2(a)
"wines and      used in         significance    registration  "wines and
spirits"        commerce        is geographic;  on Principal  spirits"
                on or after     2) the goods do or Supplemen- refusal is
                1/1/96.         not originate   tal Register. issued, then
                                in the place;   Disclaimer    Sec. 2(a)
                                3) purchasers   is not an     deceptive and
                                would believe   option.       Sec. 2(e)(3)
                                the goods come                refusals are
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                                from the place;               not necessary.
                                and
                                4) the origin
                                of the goods
                                would be a
                                material factor
                                in the purchasing
                                decision.

Sec. 2(a)       All marks.      Same as above.  Total bar to  If a Sec. 2(a)
deceptive                                       registration  "wines and
                                                on Principal  spirits"
                                                or Supplemen- refusal is
                                                tal Register. inapplicable
                                                Disclaimer    because the
                                                is not an     mark was first
                                                option.       used prior to
                                                              1/1/96, then
                                                              Sec. 2(a)
                                                              deceptive and
                                                              Sec. 2(e)(3)
                                                              refusals may
                                                              be issued, if
                                                              applicable.

2(e)(3)         All marks.      Same as above.  Total bar to  Same as above.
primarily                                       registration, If the
geographically                                  unless the    applicant
deceptively                                     applicant     has use in
misdescriptive                                  alleges use   commerce
                                                in commerce   before
                                                before        12/8/93, and
                                                12/8/93       amends to the
                                                and amends    Supplemental
                                                to the Supp-  Register, or
                                                lemental Reg- establishes
                                                ister, or     that the
                                                establishes   mark acquired
                                                that the mark distinctive-
                                                acquired dis- ness before
                                                tinctiveness  12/8/93, then
                                                under Sec.    the Sec.
                                                2(f) before   2(e)(3)
                                                12/8/93.      refusal will
                                                              be withdrawn,
                                                              but the Sec.
                                                              2(a) deceptive
                                                              refusal will
                                                              be continued.
                                                              TMEP Sec.
                                                              1210.05(a).

Generic         All marks.      Mark designates Total bar to  Refusal of
                                a genus of      registration  registration
                                wines or        on Principal  on the
                                spirits rather  or Supple-    Principal
                                than geographic mental        Register under
                                origin.         Register.     Sec. 2(e)(1),
                                                Disclaimer    or on the
                                                may be an     Supplemental
                                                option.       Register under
                                                              Sec. 23, or
                                                              requirement
                                                              for dis-
                                                              claimer, if
                                                              appropriate.
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1 The provision regarding geographical indications used on wines and
spirits was added by the Uruguay Round Agreements Act, implementing
the Trade Related Intellectual Property ("TRIPS") portions of the General
Agreement on Tariffs and Trade ("GATT"). Article 23 of the World Trade
Organization's Agreement on Trade-Related Aspects of Intellectual Property
Rights ("TRIPS Agreement") prohibits the registration of geographical
indications for wines or spirits that identify a place that is not the
origins of the goods.

2 This is the ordinary dictionary meaning of the term. Neither the Trademark
Act nor the TRIPS Agreement define the term "spirits."

3 In implementing the TRIPS Agreement through the Uruguay Round Agreements
Act ("URAA"), Pub. L. 103-465, 103 Stat. 4809, Congress approved a
Statement of Administrative Action ("SAA") that provided, in part:
   "Geographical indications" are defined in TRIPS Article 22.1 as
"indications which identify a good as originating in the territory of a
Member, or a region or locality in that territory, where a given quality,
reputation or other characteristic of the good is essentially attributable
to its geographical origin." The Administration expects that this
definition will be applied in the context of trademark registration and
that a "geographical indication" as used in this provision will be
interpreted to comprise only those areas which have a reputation for being
associated with the specific goods at issue. Obscure areas or those that
do not have a reputation or other characteristics generally associated
with wines or spirits should not be prohibited from registration (emphasis
added).
   Statement of Administrative Action, Agreement on Trade-Related Aspects
of Intellectual Property Rights, H. Doc. 103-316, Vol. 1, at 1000, Sec.
B.1.e, (Sept. 27, 1994). 19 U.S.C. Secs. 3511(a)(2) and 3512(d).

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