41.100.02 Handling Concerning Examinations on the Capability to Distinguish Three-Dimensional Trademarks I. The basic concept of the examination on the capability to distinguish a three-dimensional trademark In the case of a three-dimensional trademark claimed in a trademark application, when it is comprised of the three-dimensional shape of designated goods (includes packaging) or goods used for providing designated services (hereinafter referred to as “designated goods, etc.”), or when the shape has been uniquely changed, or has been uniquely packaged, or when it is accompanied with letters or figures, the policies described below will be followed in conducting an examination regarding the capability to distinguish. [Basic concept] 1. A three-dimensional trademark that is comprised of a shape that is acknowledged by the consumer as a shape that does not go beyond the scope of the shape of the designated goods, etc. itself, is deemed as lacking the capability of being distinguished. In this case, in relation to the designated goods, etc., even though the three-dimensional shape that can be adopted by the same type of “goods (including the packing) or the goods used for providing services” (hereinafter “goods, etc.”) may be uniquely changed or decorated uniquely, if, on the whole, as long as the shape is acknowledged as being a representation of the designated goods etc., such a three-dimensional trademark will be deemed to lack the capability to be distinguished. 2. When a three-dimensional shape that is deemed to lack the capability of being distinguished is attached with a mark using letters or figures that are distinguishable, and when it can be acknowledged that the mark is being used as an identification symbol that represents the source of the goods or service, it will be deemed to have the capability of being distinguished. 3. A three-dimensional trademark consisting solely of a shape that can only be acknowledged as being within the scope of a simple and common three-dimensional shape will be deemed to lack the capability to be distinguished. 4. Even though a three-dimensional trademark falls under the provisions of the previous items 1. and 3., if through use over a long duration of time, or even if it has been in use for a short period of time, if through aggressive advertisements and publicity, the trademark has become sufficiently well-known to enable it to be distinguished from the shape of similar goods, and when the three-dimensional trademark is acknowledged by the consumer as being connected to a business by a third party, it will be deemed to be capable of being distinguished. [Explanation for basic concept] 1. A three-dimensional trademark that is solely comprised of a shape that can only be acknowledged as being within the scope of a common three-dimensional shape will be deemed to lack the capability of being distinguished. In this case, in relation to the designated goods, etc., even though the three-dimensional shape that can be adopted by the same type of “goods (including the packing) or the good used for providing services” (hereinafter referred to as “goods, etc.”) may be uniquely changed or decorated uniquely, if, on the whole, as long as the shape is acknowledged as being a representation of the designated goods, such a three-dimensional trademark will be deemed to lack the capability to be distinguished. [Explanation] (1) The “same type of goods, etc.” is defined as goods, etc. with an appearance that is nearly identical to that of the goods of the trademark application, and as a result of a comprehensive observation of the pertinent business sector which is a party to the transaction, in terms of use, function and efficacy, the goods, etc. can be acknowledged to belong to the same group of goods, etc. For example, the same type of goods, such as a bus or camera. It does not include the "similar goods" as defined by the Trademark Act. Also, a definition of the phrase, “a three-dimensional shape that can be adopted by the same type of goods” is limited to a shape which enables the consumer to acknowledge it as the shape of those particular goods, and which is indispensable for providing the common and unique function or effect. (2) When a trademark consists of a shape that can only be perceived as being within the scope of a three-dimensional shape that can be adopted by the same type of goods, in principle, it will be deemed to lack the capability to be distinguished. For example, if the designated goods claimed in the trademark application is a camera, and if the three-dimensional trademark of the trademark application is a combination of shapes that represent the body and lens which are the functions that are indispensable for photographing a subject, the consumer will most likely understand that trademark to be a camera, as it is represented by a three-dimensional shape that can be adopted by the designated goods, which is a camera. Therefore that three-dimensional trademark will lack the capability of being distinguished. [Specific examples] (Examples of trademarks that lack the capability of being distinguished.) Class 9 (camera) Class 14 (wristwatch) Class 21 (incense burner) Class 5 (spray-type pharmaceutical drug) Class 30 (sweets) Class 30 (sweets) Class 33 (brandy) (3) Even though the shape of a three-dimensional trademark consists of a shape that is a three-dimensional shape that can be adopted by the same type of goods but has been uniquely changed or decorated, when the consumer perceives those changes or decorations to be within the scope of the shape that is adopted by the industry involved in the transaction of the goods or service, it will be ruled that the three-dimensional shape does not go beyond the scope of the shape of the designated goods, even after observing the entire three-dimensional shape. Thus, in principle, such a trademark will be deemed to lack the capability of being distinguished. (Example) When the designated goods related to the trademark application are “automobiles”, though the three-dimensional shape of the application has been uniquely changed or decorated in a manner that is different from the same type of goods, if the consumer perceives that change or decoration to have merely increased the aesthetic appeal of the goods, such a three-dimensional trademark will be acknowledged to fall within the scope of the shape of the automobile, which is the designated goods. Thus, the trademark will be deemed to lack the capability to be distinguished. The phrase “changes or decorations that are within the scope of the shape that can be adopted” implies that although the same type of goods whose shape has been changed or decorated identically may not exist in the market, and even though in relative terms the goods related to the trademark may be acknowledged to have an external appearance with a unique shape, it is sufficient evidence if the industry involved in the transaction of the goods or service acknowledges that that type of change or decoration falls within the scope that may be adopted. Therefore, the actual circumstances of the transaction involving the goods and the consumer base must be comprehensively taken into consideration when rendering a ruling regarding “the scope of the change and decoration that can be adopted,” which is rendered per designated goods. For example, if it is an area where the shape of the designated goods is not indispensable to securing the function or efficacy of the goods, and the unique appearance of the goods seriously impacts the purchasing psychology, the incentive to purchase and the purchasing behavior of the consumer, it must be acknowledged that in reality the goods and services will be changed and decorated in a unique manner in response to what is fashionable, and to changes in consumer use and preference in the market where the goods or services are sold. In this case, these types of changes and decorations which have been rendered on a three-dimensional shape, even though they may be unique when compared to the external appearance and shape of the same type of goods, if the changes and decorations only enhance the aesthetic quality of the external appearance and the attractiveness of the shape in response to the consumer’s taste, they will be only acknowledged as being the shape of the goods. Therefore, since such changes and decorations cannot be deemed to function as an identification sign that indicates the source of one’s own and a third party’s goods and services, from the observations of the entire three-dimensional trademark shape, the trademark cannot be deemed to be capable of being distinguished. (Example) Taking sweets and western alcoholic beverages as an example, generally speaking in response to market trends and consumer preference, the three-dimensional shapes that can be adopted for the same type of goods are not only decorated with various designs, but the dimensional shape itself is changed decoratively to depict various animals, plants and receptacles. Since this is the reality, the scope will be applied broadly. (4) The concept as explained above also applies to three-dimensional trademarks that consist of the shape of the package of goods, etc. When, in particular, a designated good is a “perfume” or “western alcohol beverage” where the good is liquid, gas, or powder, it must be contained in a receptacle first and then traded. In this case, as long as the composition of the three-dimensional trademark on the whole is acknowledged to represent the shape of the receptacle that contains the good, it will be handled in the same manner. [Specific examples] (The following are examples of trademarks that are deemed to lack the capability of being distinguished.) Class 33 (whiskey) Class 33 (whiskey) Class 3 (aromatic goods) Class 30 (sweets) Class 14 (wristwatch) Class 30(sweets) Class 3 (perfume) Class 30 (sweets) 2. When a three-dimensional shape which is deemed to lack the capability of being distinguished is attached with a mark using letters or figures that are distinguishable, and when it can be acknowledged that the mark is being used as an identification symbol that represents the source of the goods or services, it will be deemed to have the capability of being distinguished. [Explanation] (1) When the three-dimensional trademark mentioned above in [basic concept] 1. is attached with letters and figures that are deemed to be capable of being distinguished, in principle that three-dimensional trademark will be deemed to be capable of being distinguished. [Specific examples] (The following cases will be deemed to have the capability of being distinguished.) Class 32 (beer) Class 3 (cosmetics) Class 21 (hair brush) Class 29 (dairy products) Class 3 (soap) Class 33 (whiskey) (2) However, when the letter and figure illustrated cannot be acknowledged to be in use as an embodiment for a symbol to identify the source of the goods or service, the provisions do not apply. In other words, when the letter and figure that is described in the request falls under the following cases, it will not be deemed to be capable of being distinguished: 1) As an empirical rule of the trade, when the letter or figure is not attached to the portion of the goods where it should normally be indicated. 2) When it is deemed that the letter or figure is merely a decoration or a decorative design which was attached to increase the aesthetic value of the goods. [Specific examples] (The following cases will be deemed to lack the capability of being distinguished.) Class 33 (wine) Class 3 (perfume) (Note) The figure on the left shows the bottom of the bottle. 3. A three-dimensional trademark consisting solely of a shape that can only be acknowledged as being within the scope of a simple and common three-dimensional shape will be deemed to lack the capability to be distinguished. [Explanation] (1) A simple and common shape is, for example, a simple sphere, cubicle, a rectangular parallelepiped, or cylinder, one or two Roman letters, or a number which has been made into a three-dimensional shape to give thickness. The determination of whether the three-dimensional shape claimed in a trademark application consists solely of a simple and common shape should be made based on the recognition of the consumers of the goods or the service. [Specific examples] (The following cases will be deemed to lack the capability of being distinguished.) 4. Even though a three-dimensional trademark falls under the provisions of the previous items 1. and 3., if through use over a long duration of time or even a short period of time, or through aggressive advertisements and publicity, the trademark has become sufficiently well-known to enable it to be distinguished from the shape of similar goods, and when the three-dimensional trademark is acknowledged by the consumer as being connected to a business by a third party, it will be deemed to be capable of being distinguished. II. Handling examinations on the capability to be distinguished of a three-dimensional trademark 1. In relation to the main paragraph of Article 3(1) of the Trademark Act (1) When the components and embodiment of a three-dimensional trademark that is described in the trademark description column cannot be concretely specified, since such a trademark will not qualify for the definition “a trademark which can be registered” as stipulated in the main paragraph of Article 3(1) of the Trademark Act, it will violate the provisions of the paragraph, and cannot be defined as a trademark that can be registered. The following explains the handling of the case when a description that is comprised of many photographs showing the shape of the three-dimensional trademark or figure includes an inappropriate description of the three-dimensional shape (for example the photographs and sectional views with different scales). [Handling] In principle, changes or deletions will be rejected when they are made to a three-dimensional trademark that is not described in the supplementary remarks of the trademark description, because this changes the gist of the trademark application. However, in the following cases, an amendment which is made to correct the inappropriate description will be accepted. (In the case of an international trademark application, the claimed trademark cannot be amended.) 1) When the scales of the multiple photographs or figures of the components that make up a three-dimensional trademark that is described in the trademark description column differ, it will not change the shape of the three-dimensional trademark even if amendment was made by adjusting the scales of the photographs or figures to the same scale within the scope of shape similar to that of the three-dimensional trademark at the time of application. Thus, such an amendment will be accepted. However, if an amendment is made by magnifying the scale, and, as a result, letters, figures, symbols or decorations that were previously not visible become visible, the amendment will be rejected because it would comprise a newly added component of the trademark. 2) Since the external appearance of a three-dimensional trademark must appeal to the visual sense, sectional views cannot be accepted. Even though that figure is deleted, as long as the identicalness to the components of a three-dimensional trademark at the time of application can be maintained, an amendment that involves the deletion of a sectional view will be accepted since it does not change the shape of the three-dimensional trademark. However, when making an amendment, it is necessary to describe the entire trademark after it has been amended (See Form 15-2 [Remark 10]). An amendment that involves the changing of a sectional view into a figure of an external shape will add a shape that was not contained in the description at the time of application, and will change the gist. Therefore such an amendment will be rejected. [Specific examples] (Examples that run counter to the main paragraph of Article 3(1) of the Trademark Act) (An example of figures of different scales) (An example of figures of including sectional view) (2) The handling of a case when the photograph of a shape of a three-dimensional trademark is so unclear that the entire trademark cannot be clearly identified. [Handling] 1) When the entire three-dimensional trademark that is described in the trademark description column cannot be clearly specified, such a trademark does not comply with the provisions of the main paragraph of Article 3(1) of the Trademark Act. 2) However, even though the three-dimensional trademark consists only of a three-dimensional shape and even when the photograph lacks clarity, when the entire shape can be approximately specified, it will not be regarded as being contrary to the main paragraph of Article 3(1) of the Trademark Act. When a person submits a photograph that will allow the entire shape to be clearly specified as an amendment, as long as it is identical to the components of the three-dimensional trademark at the time of application, the amendment will be accepted. (In the case of an international trademark application, the claimed trademark cannot be amended). When making an amendment, it is necessary to describe the entire trademark after the amendment. 3) When a three-dimensional shape is clearly described, but the letters, figures, symbols or decorations that have been added are so small that it is impossible from their appearance to understand their components, or when they are displayed so unclearly that it is too difficult to decipher, an amendment which is made by submitting a clear photograph of the shape to clarify the construction and embodiment will result in an addition of a new component part and therefore will not be accepted. In which case, the part that contains the letter or figure that was added to the three-dimensional shape will not be included as a subject for examination regarding the capability of being distinguished and judgment of similarity because it is undecipherable. (3) How to handle a case when the shape of the three-dimensional trademark is composed of the shape of the designated goods, and among the designated goods of the trademark application, are goods whose mode of use clearly cannot be associated with the trademark of the pertinent trademark application. [Handling] Unlike a plane trademark, in general a three-dimensional trademark application will be filed to indicate the actual use mode of the designated goods, except when it is used on billboards or advertisements. However, when the three-dimensional trademark described in the trademark description column is shaped like part of the designated goods, but when within the designated goods, goods other than those designated goods are included, and furthermore, even though that shape may be registered, the registered shape will never be used as a use mode or symbol to differentiate the goods from other goods, or to indicate the source of the goods, such a trademark will be deemed to be unusable for business. Thus such as trademark runs counter to the main paragraph of Article 3(1) of the Trademark Act. [Specific examples] Designated goods or services and their classification Class 5 Pharmaceuticals, dental material, medical armband, medical oil paper, sanitary mask, gauze, eye patch, absorbent cotton, adhesive plaster, bandage (Note) The underline shows the portion that runs counter to the main paragraph of Article 3(1) of the Trademark Act. (4) How to handle a case in which a photograph or figure that depicts the shape of a three-dimensional trademark consists of stores and houses on a street, or landscape, or when within the photograph or figure along with buildings and structures, it depicts plants, people, or pedestrian streets. [Handling] 1) When the three-dimensional trademark described in the trademark description column is comprised of stores and houses on a street, or landscape, or when it includes people and pedestrian streets as components along with buildings, and when it can be acknowledged from an observation of the entire trademark that it is composed of a painting or landscape photograph, since the composition, contour and use mode as a three-dimensional shape cannot be specified, it will not be accepted as a three-dimensional trademark, and will run counter to the main paragraph of Article 3(1) of the Trademark Act. 2) However, since a trademark as described above will be perceived to clearly illustrate a plane trademark, in principle, if an amendment is made by changing the trademark into a plane trademark by deleting the claim that it is a three-dimensional trademark, it will be accepted. (In the case of an international trademark application, the claimed trademark cannot be changed into a plane trademark by deleting the claim that it is a three-dimensional trademark.) In this case, when the description of the three-dimensional trademark is composed of multiple photographs or drawings, no amendment can be made to the description of any one of the photographs or drawings, because said amendment may change the gist. [Specific examples] (Examples that run counter to the main paragraph of Article 3(1) of the Trademark Act) (5) How to handle the case when, from the composition of the photograph or figure that describes the shape of a three-dimensional trademark, it is determined that the shape of the goods does not have the required thickness. [Handling] Even though from the shape of the three-dimensional trademark that is described in the trademark description column, it is evident that the goods do not have the required thickness, as long as the shape is composed of the shape of the designated goods, it will be accepted as a shape that contains the elements of a three-dimensional shape. (6) How to handle the case when the edge of a photograph that shows the shape of a three-dimensional trademark is ripped, and as a result the entire contour and thus the entire shape of the three-dimensional trademark cannot be seen or specified. [Handling] When the edge of a photograph that shows the shape of a three-dimensional trademark as described in the trademark description column is ripped, an amendment which involves the submission of a photograph or figure that allows the whole shape to be grasped is, in principle, a change or addition of a three-dimensional shape, and will change the gist. Therefore, such an amendment will not be accepted. For example, when the three-dimensional trademark illustrates the interior of a room, and when that trademark is composed of the three-dimensional shape of the room as viewed from one direction, since the outline of the three-dimensional shape cannot be shown clearly, the composition and embodiment of the three-dimensional trademark cannot be concretely specified. Since such a trademark with such a composition cannot be used as an embodiment that functions as an identification sign representing the source of goods or services, it runs counter to the main paragraph of Article 3(1) of the Trademark Act. [Specific examples] (Examples that run counter to the main paragraph of Article 3(1) of the Trademark Act) 2. In relation to each item of Article 3(1) of the Trademark Act (1) The determination of whether or not a three-dimensional trademark has the capability of being distinguished when carved reliefs or open work of letters or figures are added to a three-dimensional shape that does not have the capability of being distinguished. [Handling] 1) When carved reliefs or open work of letters or figures are added to a three-dimensional trademark that is described in the trademark description column, and they are only acknowledged to be decorative patterns that were added to enhance the aesthetic value of the external view of the goods, and, when the whole is observed, it is deemed that that part is not being used as an embodiment of an identification sign that represents the source of one’s own or a third party’s goods, the said three-dimensional trademark will be deemed to not have the capability to be distinguished. 2) As long as the changes or decorations that were added to the three-dimensional shape are acknowledged as stated above, such a three-dimensional trademark will fall under the provisions of Article 3(1)(iii) of the Trademark Act. [Specific examples] See specific examples shown in [basic concept] 1. (2) The determination as to whether a three-dimensional trademark has the capability of being distinguished when a three-dimensional shape that lacks the capability of being distinguished is attached with letters, figures and other two dimensional marks. [Handling] 1) Marks (for example labels) that consist of letters or figures that are attached to the shape of designated goods, particularly to a receptacle (bottle) are usually attached to a place that is visible to the consumer with the purpose of representing the source of the goods or service. The empirical rule of transaction would imply that the letters and figures that are shown within the mark represent the source of the goods. Therefore, an examination to determine whether the entire three-dimensional mark has the capability of being distinguished or not, will be conducted by using the examination standards for plane trademarks to examine the letters and figures that are attached to the three-dimensional shape. 2) However, when it is deemed that the mark is clearly not being used as an identification sign to represent the source of one’s own or another’s goods and services, the entire three-dimensional trademark will be deemed to lack the capability of being distinguished. In this case, since the letters and figures and other parts of the mark will be perceived to be an integral part of the three-dimensional shape, it will be appropriate to either apply Article 3(1)(iii) of the Trademark Act, or as a result of the observation of the entire trademark, if the consumer cannot acknowledge it as representing the goods or service connected to a person’s business, apply Article 3(1)(vi) of the Trademark Act. The choice of which paragraph to apply must be determined case by case, by taking into consideration the management of past examinations pertaining to figure trademarks, and after observing the entire composition of the three-dimensional trademark. [Specific examples] See specific examples shown in [basic concept] 2. (3) How to handle a case with respect to the capability of the letter and figure to be distinguished when a three-dimensional shape is attached with letters and figures, and when such representations are attached to portions that are different from normal practices based on empirical rules of transaction. (For example, if the three-dimensional trademark is a liquor receptacle, (bottle), the letters, and figures that are shown in relief on the bottom of the bottle, can they be called the mode of use of the trademark for the liquor?) [Handling] 1) Only when they are depicted in a designated portion of the goods or in the vicinity of the designated portion will the letters and figures that are attached to the three-dimensional trademark function as a trademark of designated goods, though the actual mode of use during the actual transaction of the designated goods must be taken into consideration. In addition, the above will apply only when they are clearly used as an identification sign to represent the source of the goods or service. 2) For example, when the letters or figures that are shown on the bottom of a western liquor receptacle (bottle), are not generally acknowledged by the consumer to represent the contents and the source of the goods, and when it is deemed that in actual transactions, the consumer does not pay attention to such an illustration when they choose the goods. Therefore, the letters or figures that are shown in such a place are not deemed to be used as an identification sign to represent the source of one’s own or another’s goods as it relates to the contents of the receptacle. (The letters or figures that are shown on the bottom of the receptacle (bottle), for example of wine and beer, actually represent the source of the receptacle (bottle) itself.) [Specific examples] See the left-hand figure of the specific examples shown in [basic concept] 2. (4) How to handle letters and figures when they are attached to three-dimensional shapes but the entire composition and mode which should have been shown is not indicated. [Handling] When a three-dimensional shape is attached with letters and figures, but, because parts of the letters and figures are not shown, the whole composition and mode is not indicated, it will not be appropriate in principle, to speculate from the name of the applicant about the composition and mode of the shape based on assumptions that the entire shape including the letters and figures are shown, and to determine the capability of being distinguished or the similarity. However, even though the whole composition and mode cannot be grasped from the manner in which the letters or figures were attached and depicted, if from the features of the external appearance of the visible portion, it is readily recognizable as part of a well-known or famous trademark, or when it is deemed that a certain appellation or concept comes easily to mind, the above stipulation does not apply. [Specific examples] (An example where it will not bring to mind a (An example where it will bring to mind a certain appellation or concept) specific appellation or concept) 3. In relation to Article 3(2) of the Trademark Act (1) How to handle the issue of identicalness to the trademark claimed in the trademark application when determining whether or not a three-dimensional trademark is capable of being distinguished in use, when the three-dimensional trademark described in the trademark description column is comprised solely of a three-dimensional shape, while the trademark shown in the certificate is attached with marks consisting of letters or figures (for example labels). [Handling] 1) When a claim is based on Article 3(2) of the Trademark Act, it is the rule that for a trademark to be deemed to have the capability of being distinguished in use, the trademark must be identical to the pertinent trademark, and must be identical to the goods which use that trademark. Therefore, when the trademark of the application is comprised solely of a three-dimensional shape, but the trademark related to the use contained in the submitted evidence shows a three-dimensional shape attached with letters and figures and other two dimensional marks, since the whole composition of the two trademarks are not identical, in principle, that trademark cannot be deemed to have the capability to be distinguished by use based on that evidence. 2) However, when an observation of the whole shape of the trademark in use shows that: i) the three-dimensional shaped portion and the trademark of the application are identical; ii) for that three-dimensional shape to function as an identification sign, it is not indispensable to have a two dimensional mark part attached, but rather, it is deemed that by rendering changes or attaching decorations to the three-dimensional shape, the trademark can be strongly impressed upon the minds and memory of the consumers even without the two dimensional mark; and iii) when objective evidence has been submitted which proves that the trademark is now acknowledged by the consumers as being goods that are connected to peoples’ business (for example a certificate of proof from an association of a similar industrial group, or similar businesses, or a third party organization). In these cases, rather than dismissing the claim based on Article 3(2) of the Trademark Act on the grounds that the whole trademark composition is not identical, a ruling will be made to determine whether a three-dimensional shaped portion of the trademark can be deemed to independently function as a representation which differentiates the source of one’s own and another’s goods or services. 3) When a claim based on Article 3(2) of the Trademark Act regarding a three-dimensional trademark is made, evidence that proves that the trademark in actual use is three-dimensional must be submitted. In this case, evidence must be submitted to prove that the three-dimensional trademark related to the use is identical with regard to all of the surfaces running in “one direction or multiple different directions” that are shown in the figure or photograph attached to the description of the application. (Note) Click below to see the Examination Guidelines for Trademarks Examination Guidelines for Trademarks: Article 3(1) Principal Paragraph of Article 3(1) Article 3(1)(iii) (Indication of Origin, Place of Sale and Quality of the Goods, or Indication of Location and Quality of Provision of the Services) Article 3(1)(v) (Very Simple and Common Marks) Article 3(1)(vi) (Trademarks Lacking Distinctiveness in Addition to Those Mentioned in Each of the Preceding Paragraphs) Article 3(2) (Distinctiveness Acquired Through Use) Article 4(1)(xi) (Another Person’s Registered Trademark Applied for Prior to the Filing Date of the Trademark Application Concerned) Article 16-2 and 17-2 (Dismissal of amendment)
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