Trademark Use Guidelines 2013 Dow Trademark Use Guidelines

Table of Contents

3 Introduction 9 How to acquire a new trademark name development and the search 4 The use of “Dow” as a trade name request form and “DOW” as a trademark 9 Good naming guidelines 4 Distinctive use of trademarks in text — “ALL CAPS” - Coined trademarks 4 Trademark notice symbols — “TM,” “®” - Arbitrary trademarks - Suggestive trademarks 5 Ownership footnotes - Descriptive trademarks 6 Use of slogans within written text - Generic terms 6 Grade designators - Avoid these traps 6 Generic descriptors 9 Strategies for acquiring trademarks 6 Trademark use examples 10 Search report availability grades 7 Use Dow trademarks by third parties - Filing applications and the (license agreements) registration process 8 Copyrights distinguished from 10 Trademark renewal process trademarks and criteria for renewing 8 The Dow Chemical Company 11 Contacting the Trademark trademark policies Department staff - Use of outside trademark attorneys 12 Frequently asked questions - New trademark use about the trademark process - Trademark licenses 12 Trademark websites and - Correct trademark use other resources - Recharges for trademark related services

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Introduction

The Dow Chemical Company trademarks are well-known and identifiable in multiple market segments NOTE: General Dow Brand Standards can be found around the world. The strength of Dow trademarks and the creativity of Dow people are what sustain the on the Dow Intranet, Keywords: Corporate Identity. worldwide acceptability of The Dow Chemical Company products. Correct use of the Dow trademarks is essential to maintaining the marks and protecting their value to the company. All Dow employees are responsible for making certain that the company trademarks are used within these guidelines to ensure the continued preeminence Dow products have achieved in their respective market segments. Incorrect use of a trademark, even in company correspondence, unwittingly contributes to its vulnerability. Such failure to use trademarks properly may result in their becoming generic. Examples of trademarks which became generic are aspirin, cellophane, kerosene, elevator, and escalator — all of which are now public property. These once powerful trademarks no longer serve the commercial needs of their original owners. The following important rules of trademark use apply to all communication materials, including labels, advertising, literature, Internet and Intranet sites, trade show exhibits, promotional items, correspondence, etc. Because a particular usage is not discussed or expressly prohibited in these guidelines does not mean that it is approved by The Dow Chemical Company Trademark Department. The guidelines discuss the most common questions and provide guidance for the use of Dow’s trademarks. However, it is important to note that rules and requirements sometimes vary from country to country and from case to case. Please direct any questions of use not covered in these guidelines directly to the Trademark Department in Indianapolis, Indiana, U.S.A. or visit our Intranet site at Dow Keyword: Trademark.

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Use of “Dow” as a trade name Distinctive use of trademarks Trademark notice symbols — “TM”, ® 2. How often is the “TM” symbol used in a and “DOW” as a trademark in text — “ALL CAPS” literature piece? The “TM” trademark notice 1. Use the “TM” symbol on all trademarks symbol and the appropriate generic descriptor In corporate literature, the term “Dow” functions Trademarks should be set apart from other words except the DOW Diamond logo, which uses should be used with the trademark, as follows: in multiple capacities. The most common use is a in the surrounding text to inform the reader that this the Circle R “®” The “TM” (in superscript) or the - After the most prominent use of the trademark, shortened reference to the formal company name, term has a special significance as a trademark. The Circle R “®” trademark notice symbols used such as when used in headings, titles, etc.; The Dow Chemical Company. In this context, Dow is trademark functions as an adjective and should be following the trademark are a formal notice to the - Following the trademark the first time the a trade name rather than a trademark, and the proper followed by the common generic term. reader that Dow is claiming trademark rights in mark appears in each section of running text format is a capital “D” followed by a lower case “o” the term. The Circle R “®” must only be used after The standard written format of Dow trademarks is to in labeling, advertising copy, promotional and lower case “w.” a national trademark registration has been material, literature pieces, electronic use ALL CAPITAL letters for the trademark, followed acquired for the country in question. Example: Dow by the common generic term. The generic term can presentation materials, reports, and other printed or typed materials; This term can also function as a trademark. This be written in either upper and lower case letters or in Dow’s standard format is to use the “TM” symbol - The first time the mark is used on each page is most common when referring to product brand all lower case letters. (in superscript) following all trademarks owned (or each field of vision for rolling text such as names such as DOW™ Ethylene Oxide, or the DOW ™ Example: INSPIRE Performance Polymers by Dow, or an affiliated company of Dow, along website pages). Diamond logo. In this context, the word DOW should (preferred) with the appropriate corresponding ownership be ALL CAPITAL letters and followed by footnote, with the exception of the DOW Diamond 3. The asterisk “*”: The use of the asterisk for INSPIRE™ performance polymers the superscripted “TM” symbol. logo, which will be marked with a Circle R “®.” In international trademarks has been replaced by (acceptable) use of a “TM” symbol. When new literature pieces Example: DOW™ United States advertising, a Circle R “®” may be Avoid unnecessary capitalization of common words used once federal registration has been achieved, are created or revised, the asterisk “*” should be Note: if “DOW” is used in front of another Dow used in the same context with the trademarks, which however if you are uncertain, just use the replaced with the “TM” symbol. trademark, the TM symbol is only required on the tends to make the trademark less distinctive. “TM” symbol. second trademark. Use of “Dow” trademarks and Example: DOW FILMTEC™ membranes Note: For Dow AgroSciences see Dow “DOW” in a “stylized” format AgroSciences Trademark Use Guidelines. Although Dow prefers to use all capital letters for its trademarks, there are limited instances for specific Example: STYROFOAM™ Insulation marks to be referenced in a “stylized” format. A stylized trademark is where within a particular Example: trademark , one or more letters in the middle of the trademark are capitalized to present a specific look or pronunciation, such as “GoldSky.” The stylized presentation of a trademark is distinctive and acceptable as an alternative to all capitalized format.

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Ownership footnotes Example: ®TM Trademark of the Dow Chemical Responsible Care® program Use of slogans within written text Company (Dow) or an affiliated ® Responsible Care is a service mark of While trademark notices are used to identify the company of Dow Dow uses a number of slogans in its advertising and trademark, they also lead the reader to a footnote The American Chemistry Council in the marketing material and may use slogans on some of - If the “TM” and ® symbols are present, then the United States that identifies the owner of the trademark. In our its products. appropriate footnote is: case, The Dow Chemical Company or an affiliated C. When third-party marks use the same “TM” Some trademark rights to the slogan may be acquired company of Dow. Following are the acceptable ®TM or “®” in the same copy, identify the specific Example: Trademark of the Dow Chemical by using the slogan in commerce separate and apart formats of trademark ownership footnotes for Dow. mark owned by the party in the footnote: Company (Dow) or an affiliated from the trademark registration process. These company of Dow When third-party trademarks are also listed or 1. Standard text of the footnote for Dow: The marks are called “common law” marks and rights referenced with a trademark symbol within proper ownership footnote format for marks that 4. Footnote when third-party trademarks also use the same writing as Dow trademarks, then the start to accrue when the slogan becomes distinctive are owned by The Dow Chemical Company is: the “TM” or Circle R “®” symbol: footnote should identify which marks are owned and associated with a particular company. ®TM Trademark of the Dow Chemical Company A. Trademarks owned by other companies in by each party. When using an advertising slogan, the slogan Care must be taken when referring general: Examples: ®™ The DOW Diamond and should be treated and used in the same manner as 2. Standard text of the footnote for Dow and to trademarks of other companies in reports, FILMTEC are trademarks of a trademark. Do not use the slogan as running text The proper ownership advertisements, and publicity materials. Those affiliated companies: The Dow Chemical Company (“Dow”) trademarks must be used distinctively with at in a sentence. footnote for multiple trademarks owned by Dow or an affiliated company of Dow or a subsidiary, or an affiliated company of Dow least an initial capital letter and the correct Use slogans only for the products for which they ® is as follows: descriptive term. Providing trademark notices Responsible Care is a service mark were intended and use them consistently. For of The American Chemistry Council in for the identification of third-party trademark corporate-wide slogans — such as Living. Improved ®TM Trademark of the Dow Chemical Company owners is optional. Therefore, the standard the United States daily.™ — refer to the Corporate Identity Standards format is not to footnote third-party trademarks (Dow) or an affiliated company of Dow 5. Placement of the footnote: Where the footnote and not to place any trademark symbols after the (Dow Keyword: Corporate Identity). appears depends on the type of literature piece. 3. Modifications based on which symbols trademarks, except, in certain instances, where For written text pieces containing a single subject appear: Although the above two examples are The Dow Chemical Company has entered into and less than five pages in length, the footnote Grade designators the preferred format for the ownership footnote, agreements with third parties who may require should appear on the bottom of the last page of the line can be modified based upon which a trademark notice. Please contact the Typically, a branded product line will have multiple the text. Written text pieces that are greater than symbols are used in the literature piece. Trademark Department when questions arise. formulations that have different compositions, forms, five pages in length should have the footnote on or characteristics. Specific products within a branded For example: ® each page that has a trademark reference. For B. Responsible Care : The Responsible Care family of products may be indicated by the use of - If the writing contains only trademarks mark is an example of a case where Dow is written pieces with multiple subject materials, such as the Intranet, Internet, or slide presen- letters or numbers following the trademark that are referenced with the “TM” notice symbol, obligated to use a trademark notice symbol and ownership footnote for a third-party mark. tations, the footnote should appear as a footer commonly referred to as “grade designators.” then the symbol R ® would not appear in The Dow Chemical Company is committed to on each page of the document. For slide the footnote. The letters and numbers may be keyed to certain the principles of Responsible Care, including presentations the footnote should appear properties or characteristics of that product, such TM the promise to provide the public with once, either at the beginning or end of the slide Example: Trademark of the Dow Chemical as whether it is in a solid powder form or liquid information regarding The Dow Chemical presentation. Company (Dow) or an affiliated concentrate. company of Dow Company environmental, health, and safety procedures. Responsible Care is a registered These letters or numbers are usually not part of the - If the DOW Diamond logo, which should be servicemark of The American Chemistry trademark. Consequently, the use of the “TM” symbol referenced with the “®” symbol is also present Council (ACC) in the United States. Use of the (in superscript) to provide notice of ownership follows Responsible Care service mark must comply in the literature piece, then the footnote should the trademark and not the grade designator. be expanded with ACC’s trademark guidelines and must be designated with an “®” symbol. It should be Incorrect: DOWFAX TG-2™ Solution Surfactant marked and footnoted as follows: Correct: DOWFAX™ TG-2 Solution Surfactant

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Generic descriptors Trademark use examples - Never use a trademark as a descriptive adjective to modify any words other than the proper descriptive A trademark (brand name) is not the generic name - Where a product is co-branded, both trademarks name of the product sold by of a product or chemical. Rather, the trademark should be marked with the “TM” symbol unless The Dow Chemical Company identifies the source or manufacturer (i.e., the the brand has been registered together as a brand name under which a product is sold). The composite mark. Incorrect: METHOCEL. plant. trademark must be associated with the correct Incorrect: DOWEX UPCORE™ Ion Correct: The plant that manufactures generic or descriptive name of the product. Generic ™ Exchange Resins. METHOCEL Cellulosics or descriptive names should be used in a different format than the trademark itself. The Dow standard Correct: DOWEX™ UPCORE™ Ion - DO NOT combine or use a word trademark with format is to use upper/lower case font and follow Exchange Resins. other design elements, logos, or devices, unless the trademark on: the combined mark has received approval for use - Never use a trademark in the plural form or from the Trademark Department. - The most prominent use in headings, titles, etc. modify the spelling of a trademark. - Never use “Dow’s” before a trademark. only if space permits; Incorrect: Several UCARS™. - Do not change the typeface of the DOW Diamond. - Following the trademark the first time the mark Correct: UCAR™ Proprietary Solvents. appears in each section of running text in labeling, advertising copy, promotional material, literature - Never use a trademark in the possessive form. pieces, electronic presentation materials, reports, Incorrect: BETAGUARD’s utility. and other printed or typed materials; Correct: The utility of BETAGUARD™ Sealant. - The first time the mark is used on each page - Do not use the DOW Diamond in repetition as a (or each field of vision for rolling text such as - Never use a trademark as a verb. pattern however, they may be repeated if separated website pages). Incorrect: DOWCLENE that part. by a distance equal to four lengths of the logo. Where possible, all efforts should be made to format Correct: Clean your parts with the text so that the generic descriptor remains on DOWCLENE™ solvent. the same line as the trademark. However, if space does not permit, it may wrap to the subsequent - Never use a trademark as a participle. - Do not place photography, illustrations, text, or line. Generic descriptors include polymers, resins, Incorrect: ROOFMATING. graphics across any part of the DOW Diamond. emulsifiers, surfactants, catalysts, and solvents, Correct: Insulate your roof with to name a few. ROOFMATE™ Insulation. Example: DOWPER™ Dry Cleaning Solvent - Never compound a trademark by hyphenation with another word. Lorem ipsum dolor sit amet consc tetuer Incorrect: TRYMER-Insulation. adipiscig elieiwosp Correct: TRYMER™ Rigid Foam Insulation. - Do not use any shape or design element other than - Never abbreviate a trademark. the official DOW Diamond Incorrect: BETA-B. Correct: BETABRACE™.

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Notice of ownership — use of the Circle R “®” - Sponsors: Use of the logos or trademarks Trademark infringement - If the suspected infringement is service symbol with the Notice of ownership — use of the indicating merely that Dow isthe sponsor of or oriented, a copy of the advertisement or Circle R “®” symbol with the DOW Diamond: Use participant in an event does not require a license Trademark infringement occurs when goods or brochure offering the service would be the Circle R “®” and the accompanying trademark agreement. However, sponsors must comply services of another party bear a trademark that so very helpful; ownership footnote line with the Circle R “®” and the with the Dow Corporate Identity Standards (Dow closely resembles a mark already owned by Dow - Forward all information to the Dow Trademark accompanying trademark ownership footnote line Keyword: Corporate Identity) and these guidelines. that consumer confusion as to the source of the Department in Indianapolis,Indiana, U.S.A. with the DOW Diamond. The symbol must be shown goods is likely. This may occur where a third party - Repackagers: If a third party takes ownership in the same color as the Diamond. creates a product to compete with a well-established 2. What NOT TO DO if trademark infringement of the goods and thenrepackages them into Dow product then adopts a trademark that sounds is suspected: The DOW Diamond may be used without an smaller containers for sale to consumers, and the similar to Dow’s established trademark for this same accompanying trademark reference line on the label for the repackaged products contains Dow product. The purchaser may be aware of the Dow - DO NOT confront the seller or supplier of the following applications: trademarks, then a trademarklicense would be trademark and have the impression that there is suspected infringement. By calling attention required. to the supplier or seller, the most probable - Business cards some affiliation, association, or endorsement of this event would be that the seller would remove - Toll manufacturers: If a third party is performing product by Dow. Trademark infringement constitutes - Business letterhead the item/service from distribution temporarily, a manufacturing step on behalf of Dow or a Dow a form of unfair competition, and it is imperative only to reappear at a later time. - Building signs affiliate, and the product will be returned to and be to correct all instances in order to preserve Dow’s trademark rights. 3. If a third party claims we are infringing - Flags and banners sold by Dow, then no trademark license is required. In most other cases, approval for third-party use The most valuable method for policing trademark its trademark: - Apparel and promotional items of Dow trademarks will be givenonly with a formal infringement and misuse of Dow’s trademarks - DO contact the Trademark Department The DOW Diamond may be used on business cards executed license agreement. License agreements is Dow’s network of employees, licensees, and immediately. and business letterhead without the Circle R “®” allow The Dow Chemical Company to control the distributors. We rely heavily on our employees - DO NOT engage in any conversation or symbol because of space requirements. authorized use of its marks and the manner in internationally and are grateful for their diligence which they are used. They also allow the company in policing the Company’s trademarks. communication with the third party. Use of Dow trademarks by third to maintain qualityand control over the goods being produced under that brand name. 1. What TO DO if trademark infringement List of The Dow Chemical Company parties (license agreements) is suspected: - Formulators: If a third party changes or trademarks and corresponding Some uses of Dow trademarks are allowed without modifies the chemical make up of the product - Document the name and location of the generic descriptors a license while others require the prior approval and and resells using the brand name, a trademark establishment in which the suspected goods a formal license agreement. Authorization for the For a complete listing of Dow trademarks worldwide, license is required. or services were found; use of any existing or newly proposed trademark of refer to the pivot table maintained on the Trademark - Note the name or type of goods or services The Dow Chemical Company or joint use of a third In most other cases, approval for third-party use Intranet site (Dow Keyword: Trademark). Once at the along with the price of thegoods or services; party trademark with The Dow Chemical Company of Dow trademarks will be given only with a formal Trademark Intranet site, click on the subhead “List of trademarks must have the prior approval of the executed license agreement. License agreements - State whether there were labels or tags on the Dow Trademarks”. Trademark Department. allow The Dow Chemical Company to control the items that indicate the source of the goods authorized use of its marks and the manner in which (i.e., the manufacturer, distributor, etc.); - Distributors: Use of the trademark by distributors they are used. They also allow the company to and retailers with whom Dow has an ongoing - State the approximate number of goods maintain quality and control over the goods being commercial relationship for the purpose of selling offered for sale; produced under that brand name. authentic Dow products requires prior consent but does not require license agreement.

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Copyrights distinguished The Dow Chemical Company In addition, no license is required for use of 1. Define strategy/product positioning/ from trademarks trademark policies the trademark merely as an indication of a concept: Identify and refine the trademark sponsored event, such as a Dow sponsored strategy for acquiring a trademark for this new A trademark can be described as a brand, whereas These policies ensure that the maximum value is community event. product offering. a copyright controls the right to reproduce, publish, realized from the Dow trademark portfolio, that and display an original expression of an author. the trademark portfolio is managed effectively All other third party uses require a license from 2. Identify countries: Identify the countries where This right is granted by the federal government to and efficiently, and that Dow’s limited trademark the Trademark Department. the new product is expected to be sold, and the quarter and year that the commercialization of the protect and encourage the original expression of resources are prioritized and appropriately allocated. 4. Correct trademark use: Correct use of new product offering is expected to occur. authors or artists in the form of words, pictures, Dow trademarks is essential to maintaining 1. Use of outside trademark attorneys: Only music, etc. Original books, brochures, bulletins, the Trademark Department is authorized to hire, Dow trademarks and protecting their value to 3. Explore existing marks: Review both the catalogues, prints, labels, commercial package use, and instruct outside attorneys for trademark- the company. All materials, including labels, potential of line extensions of established designs, photographs, advertisements, movies, related matters. The Dow General Trademark advertising, literature, Internet and Intranet sites, trademarks and trademarks that may be available video tapes, sound recordings, computer software, Counsel may delegate this authority to other correspondence, etc., must use and reference from the Trademark Department that may have and instruction booklets that are prepared by or for personnel within the Dow Law Departments for Dow trademarks correctly and in accordance been acquired for a different project but not used. The Dow Chemical Company have copyright rights specific trademark matters. Dow employees with the Dow Trademark Use Guidelines (Dow Review the list of available trademarks with key that attach and are owned by The Dow Chemical may confer with outside attorneys on trademark Keyword: Trademark Use Guidelines stakeholders such as market managers, project Company. These rights prohibit the reproduction or leaders, global business director, communication related matters only with the prior approval of the 5. Recharges for trademark-related services: copying of an entire work, or a substantial part of the managers, project stakeholders, etc. Dow Trademark Department. Costs associated with searching, applying for new work, without the consent of the copyright owner. trademarks, responding to official actions and/or 4. Generate or brainstorm a list of candidates: Copyright does not protect or prevent others from 2. New trademark use: Before using a new opposition proceedings, and general maintenance If existing, available trademarks are not using ideas, data information, inventions, processes, trademark or product name in any country, please filings, including renewal acceptable, a new list of trademark candidates or methods disclosed in the work. Only the form of contact the Trademark Department. must be generated using the Good Naming expression is protected by copyright. The Trademark Department must search, clear, and approve: How to acquire a new trademark — Guidelines section of this manual (page 19). A copyright notice is not legally required to protect name development and the 5. Refine the list of candidates: Consider the an authored work. However, in instances where - Each trademark or name the business wishes product concept carefully. Develop trademark The Dow Chemical Company wants to offer further to use in each country of interest; and search request form candidates that convey the features and/or protection to a copyrighted work that is being publicly This section will guide those assigned the - Each product the trademark will be used on benefits of the product. distributed, sold, or placed for sale, it is strongly in each country. responsibility of pursuing acquisition of a new recommended that a copyright notice, as prescribed trademark through the necessary steps with the 6. Develop coined, arbitrary, and suggestive by copyright law, be placed on every copy of the work This policy does not apply to the addition of new project stakeholders and Trademark Department. trademark candidates: In addition to when first published, revised, or reproduced, whether generic descriptors or grade designations (e.g., A key question to ask before starting this process is, candidates developed above, develop a list of by The Dow Chemical Company or another party TG-2, LS, surfactant or solvent, etc.) in a country coined, arbitrary, and suggestive candidates (at “Will this product clearly add more value to the with the consent of The Dow Chemical Company. where the product name or trademark has already least two of each). company with a new trademark when compared to An example of the appropriate copyright notice been approved. the value gained if the product were sold using an 7. Prioritize: Review and prioritize the list of is as follows: 3. Trademark licenses: Use of Dow trademarks existing, registered trademark or a generic name?” names with key stakeholders before requesting ©2012 The Dow Chemical Company by third parties must be approved by the Dow If the answer is “No,” then the trademark an availability search by the Trademark Trademark Department and typically requires development process should be skipped completely. Department. Key stakeholders must sign-off With the advent of the Internet, it is important to a written license. If the answer is “Yes,” proceed with the following on the Trademark Request Form. remind all Dow employees that NO copyrighted steps for that require a trademark, material should be downloaded on a company No license is required for distributors selling all projects regardless of whether the project is considered a computer from the Internet. For more information, authentic Dow products. They may use the DOW strategic project. please visit our Intranet site on copyrights trademark and DOW Diamond logo in conjunction with the sales of these authentic Dow products (Dow Keyword: Copyright) or contact the in literature and promotional pieces with Trademark Department. prior approval.

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8. Submit Trademark Search Request Form 10. Costs associated with obtaining new - A written legal opinion advising that successful Good naming guidelines electronically: After prioritizing the list of trademarks: Budgeted costs should be at least registration of a trademark candidate is not potential new trademarks, complete the online $2,000 USD per mark per country for searching, likely, or the chances of failure are fairly high. Creating a new name can be one of the most fun, Trademark Search Request Form (Dow Keyword: filing, and registration expenses, provided no In the past, some businesses have exciting, and rewarding experiences during the Trademark Search Request Form). The form must objections/oppositions are filed. If objections/ proceeded with the trademark process and development of a new product offering. Due to the identify the goods and/or services to be used oppositions occur, costs could escalate above have successfully registered a trademark after subjective nature of the process, it can also be one on or in association with the new trademark, $5,000 USD per mark per country. resolving numerous oppositions and barriers, of the most challenging and exasperating. the specific countries of commercial interest, including negotiation and compensation paid Consequently, average costs per mark per The right trademark can contribute significantly and a commercial launch timetable. The form to another company for the use of a trademark. country may vary from $4,000 USD to $10,000 to the eventual success or failure of a product. It is must also contain the approval or signature of the However, in just as many cases, Dow has not USD. Multiply $4,000 by the total number of important to choose trademark candidates that can relevant business director(s). When completed been successful and the business expended countries where registration is desired. This will be registered at reasonable cost and be protected and submitted, the form is forwarded electron- significant resources only to restart the give a “ballpark” sum total for budget purposes. over the lifetime of the product. ically to the Trademark functional mailbox. process. (This opinion would coincide with There are several different types of trademarks 11. Timing to search and develop new an availability grade of “C.”) Be sure that both a web page and an e-mail based on how the trademarks were developed: trademarks: It is best to initiate the trademark confirmation is received after submitting this - A written legal opinion that a candidate development/screening process at least 12 to 1. Coined trademarks: A coined trademark is a online form confirming that the request was “appears likely” to succeed in the registration 18 months prior to commercialization. made-up or invented term intended for use as received by the Trademark Department. If process. Sometimes, candidates are said a trademark. Its sole purpose is to function as a both confirmations are not received, contact Upon receipt of the request form, the name to be “cleared” at this point. However, it is trademark; namely, to designate the origin of the the Trademark Department directly to ensure candidates will be screened against existing very important to understand that this does product and provide assurance as to its quality. that the request was properly received. databases for obvious conflicts prior to incurring not mean that the use of the trademark These are often the easiest trademarks to obtain the cost of the full search report. If the will not be opposed by another company. At The information in the form helps to prioritize and protect because no one can argue that they candidates clear the preliminary screening, a this point, it is still very early in the trademark the Trademark Department’s efforts. In addition, were used without the owner’s permission for full and more comprehensive search is ordered development process. “Cleared” only means because searches are initiated in the countries any purpose other than to infringe upon them. through outside sources. The full search is that upon a more comprehensive search, there where the product will be launched in the Examples of Dow coined trademarks include reviewed by the Trademark Department, who were no citations revealed that would be an current year, (or in order of business priority), VERSENE™ Chelating Agents, UCON™ Fluids and will provide the requestor a written opinion of the obvious impediment to registration. (This this information often helps minimize the cost Lubricants, and UNIPOL™ Process Technology. availability of the trademark or trademarks that opinion would coincide with an availability of searching, spread the cost of the filing and were requested to be searched. Basically, there grade of “A” or “B.”) 2. Arbitrary trademarks: An arbitrary trademark registration process over a period of several are three types of responses from the is a word or phrase that has a specific meaning in years, and minimize costs if the project is aborted. At this point, the trademark registration process Trademark Department: the language of its origin, but has no meaning in can either continue or be restarted, depending 9. Screening and clearing new trademark connection with the type of products with which it - A written legal opinion on the availability of the on the availability grade. If continuing, it will be name candidates: Availability searching is about is being used. For example, “Apple” is an arbitrary trademark with an availability grade. In some necessary to instruct the appropriate Trademark 90 percent effective in identifying anticipatory trademark for a brand of personal computer cases, it will be immediately clear that Dow Department representative via e-mail to apply for marks. However, it is not 100 percent fail-safe. Examples of arbitrary Dow trademarks include will not be successful in registering a name trademark registration in the country or countries In some countries such as the U.S., consideration PREVAIL™ Engineering Thermoplastic Resins and candidate. In these cases, notification will be where the product is intended to be marketed. must be given not only to registered marks, but ™ given that the trademark candidate was ENGAGE Polyolefin Elastomers. also unregistered marks which are in commercial rejected or is unavailable. (This opinion would 3. Suggestive trademarks: A suggestive use, namely, “common law” marks based on coincide with an availability grade of “D” or “F.”) trademark tells something about or suggests use in commerce. The searching process in the something about the product, but does not U.S. attempts to identify unregistered common describe the product itself. For example, BROWN law marks as well as registered marks. BOX as a trademark for a line of brown colored luggage may suggest the color of leather and possibly the shape or use of the product. The term “BROWN BOX” does not mean luggage.

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Suggestive marks are tougher to defend against 6. Strength of a trademark: The strength of a 7. Avoid these traps: Due to the subjective nature Strategies for acquiring trademarks infringement. Infringers may argue that they trademark refers to its ability to be protected of the trademark development process, there are descriptive of the products. Examples of against infringement or use by another company are many ways that progress can be slowed or Following the previous explanation about different suggestive Dow trademarks are: or individual. The stronger the trademark, the stopped cold — when it is least expected. To types of trademarks and good naming guidelines, greater our ability to protect our exclusive use of reduce the possibility of slowing down or having the appropriate business leaders can begin thinking INVERT™ Solvents and that trademark for our products. For example, to restart the process, avoid the following about the best approach for the new product offering. STRANDFOAM™ Plastic Foam. coined names are the strongest trademarks pitfalls when creating and selecting new Each of the strategies listed below can result in very successful trademarks (or alternative generic or 4. Descriptive trademarks: A trademark is since these names typically mean nothing in trademark candidates: any language. Below is a diagram that shows product descriptive names in some cases) for new considered descriptive of a product or service - Avoid words (or intentional misspellings of a continuum of strength or protection against Dow products. if it immediately describes an ingredient, quality, words) that merely describe the nature, quality, others’ use of the name as a trademark and characteristic, or feature thereof, or if it directly character, composition or uses of the product Generally speaking, the strategies have been general costs associated with the type of conveys information regarding the nature, or service. Examples might include Foam arranged from the least to most expensive. trademark chosen. function, purpose, or use of the product or Insulation or Spray Mix. These names typically 1. Avoid the trademark process if appropriate: service. Such terms are entitled to little, if any, Coined Arbitrary Suggestive Descriptive Generic are too descriptive or generic and would be very For certain generic products where no legal protection. Often it is difficult to protect difficult to register or defend. differentiation is claimed in the market from a descriptive terms as trademarks because other - Avoid geographical names and words which are competitive product, added expense and time companies must be able to use the same or Strongest Weakest surnames. Examples might include Smith’s involved in the trademark development process similar terms in order to describe their products. Easier and less More difficult and cleaner or Mediterranean wax. can be avoided altogether if the generic name is If a proposed trademark is deemed descriptive by expensive to obtain expensive to obtain used in conjunction with the DOW Diamond logo the Trademark Department, that is a good reason May be easier and less More difficult and - Avoid use of numerals or letters by themselves. and marketed under the “DOW” brand, as shown expensive to protect expensive to protect to select another trademark or be prepared to Examples might include A1, X, III, AAA, etc. in the following example: spend considerable money, time, and effort in - Avoid laudatory terms, such as Best, Supreme, trying to obtain a registration and to prevent Most names are created by Dow employees, although Deluxe, Dependable, Finest, Preferred, Premier, others from using it. in some high-value projects, external consultants Superior, Tops, Ultra, etc. may be hired to help develop just the right name for DOW™ Ethylene Oxide 5. Generic terms: A generic term is a word used to a new product. Frequently, names are created during - Avoid words that could be regarded as describe a quality, ingredient, or other brainstorming sessions with people closest to the deceptively misdescriptive of the product or 2. Leverage an existing DOW trademark: Here characteristic of a product. A generic term is customer. Occasionally, a single individual may be service. An example might be Quickshot for it is possible to adjust the grade designator or a noun — a trademark is a proper adjective. A charged with the responsibility of developing a new a slow-acting herbicide or WaspKill for an generic descriptor as necessary. Examples generic term or product descriptor may once have name. Whichever method the Dow business decides insecticide that does not work on wasps or include line extensions marketed under an been a trademark. Examples of U.S. trademarks ™ to use to create a new name, be sure that the choices wasp-like insects. umbrella brand, such as BETAMATE 1496 that were once registered but are now considered are reviewed and prioritized with key stakeholders Adhesives and Primers, BETAMATE 2096 A+B, - Avoid words that are identical, look like, sound generic are aspirin, escalator, and linoleum. before requesting an availability search from the BETAMATE 4061, etc. In these cases, the cost like, or are otherwise similar to trademarks used Erosion of a trademark into a generic term Trademark Department. Each search can cost up of trademark registration has already been by other companies for identical or similar happens when the trademark owner does not use to $800 USD, and in some countries, the entire incurred and the commercial value of the name products. For example, we would likely not be it properly to maintain and protect its brand equity. process can exceed $5,000 USD. Disputes such may already be very high. This is particularly true able to register the trademark BASE for This can occur when the trademark is used by a as trademark oppositions can cost in excess if the trademark has already been registered products which would compete with or be sold pioneer in a special field — the product is the of $10,000 USD. So, limiting the searches to only in the country of interest. In countries where in the same markets as products from BASF; first of a kind — and the trademark owner has not those names that the team has agreed to pursue the trademark has not yet been registered, the or LuPont since we often compete with the developed and used an appropriate generic term is the most efficient way to manage resourcesf or likelihood of successful registration is increased if DuPont Company. Additionally, avoid for the product. Proper trademark use is essential developing trademarks. registrations do exist in other countries, especially to keep a trademark from becoming generic. trademarks that look like, sound like, and are if there is a relatively large number of countries in likely to be confused with famous trademarks which the trademark is already registered. belonging to other companies, such as Bugwiser, which sounds a lot like a well known trademark from a famous brewing company.

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Using one of the first two strategies may allow the 5. Consider suggestive names: Perhaps the - Availability grade B: There were one or more 2. Limitations of the search process: Even with business to leverage other resources in addition strategy that yields the highest value trademarks citations uncovered in the search that may be the use of availability grades, it is important to to the trademark itself. For example, printed sales is to find or create names that closely match an issue in registering this candidate, but upon note that trademark availability searches and Dow literature, advertising specialties, packaging or are suggestive of the product concepts, initial review, the citations would not appear to trademark search opinions regarding continuation materials, and more can all be leveraged (reducing features, and benefits. INVERT™ Solvents and present serious problems to the application, of the trademark registration process are subject the overall cost of the new product) if they have STRANDFOAM™ Plastic Foam are excellent registration, and use of this candidate by Dow. to a number of inherent limitations, including the: already been created for existing generic or examples of suggestive Dow trademarks. - Availability grade C: There were one or - Very subjective nature of trademark law, which branded products. These trademarks are not necessarily the most more citations or other issues that are likely governs trademark availability; expensive trademarks to obtain; however they 3. Consider coined or made-up names: Coined problems. It may be possible to overcome generally require a lot more thought to create. For - Accuracy and completeness of the official trademarks generally have a much higher success these citations or issues through negotiation some potentially high value product opportunities, records of the country(ies) searched; rate for registration because the likelihood of and settlement, submitting arguments to the a business may purchase consulting services for other names that are the same or similar is greatly appropriate Trademark Office, etc., but there - Accuracy and completeness of the contract help in creating a reduced. Coined names typically have less if any is no guarantee that those arguments will search firm(s) retained by Dow; and new trademark. opposition and are more likely to proceed through be successful. These candidates typically take - Fact that not all existing trademarks are the trademark registration without interruption. longer and are more costly to pursue. Citations registered. In some countries (including Search report availability grades for older trademark registrations owned by Coined names can be combinations of individual the United States and Canada), prior rights to other companies might be subject to total letters that mean nothing when combined. An When the Trademark Department reports its a trademark can be acquired through its use or partial cancellation at the request of Dow example of a coined name made from combining findings back to the requesting business, the report without registration, making similar or identical if the mark is not being used for goods covered letters is VERSENE™ which is a word that did not contains an availability grade. These grades have existing trademarks difficult to identify. As by the registration. Grade “C” candidates are a exist prior to its use as a trademark. Other world- been developed to help Trademark clients quickly previously noted, these marks are called somewhat higher risk and are not famous trademarks of this type from other identify the relative ease or difficulty associated with common law trademarks. recommended if use of the mark needs to industries include Kodak and Exxon. registering and defending a trademark candidate. commence in less than two years. 4. Consider arbitrary names: Evaluate names Availability grades are determined based on Filing applications and - Availability grade D: There were one or more that are unrelated to the product, but which can the search report analysis reviewed by the Dow the registration process citations or other issues that appear to present be associated with the product, its features, and Trademark staff. All trademark candidates that serious obstacles to an application for and Filing an application: When the search process has its benefits in a positive way. Unlike coined names, are submitted to the Trademark Department for registration of the candidate by Dow. It may be been completed and the business has selected unrelated or arbitrary names come with some searches will receive an availability grade. Each grade possible to overcome these citations or issues, the best trademark candidate(s), an application for meaning in the language of their origin. Examples summarizes the findings of the search report and but it does not appear likely. Barring special registration must be filed at the Trademark Office. of Dow trademarks in this category include the opinion of the Trademark Department regarding circumstances, these candidates should be In most countries — with counsel from the Trademark PREVAIL™ Thermoplastic Resins, EMERGE™ continuation of the registration process as follows: avoided. Department — use of the trademark may begin at Plastic Resins, and ENDURE™ Bactericide. 1. Letter grades: this point for commercial purposes in the country Names like these provide value in the sense - Availability grade F: There were one or more - Availability grade A: Search did not uncover where the application is cleared and filed. However, that they suggest mental images, thoughts, and citations or issues that will likely prevent the any conflicting citations (trademarks owned even after application for registration, any use of the perceptions that can be favorably associated with registration, adoption, and use of the candidate. by other companies), and the candidate trademark by Dow is still subject to an opposition the product in the minds of the users. However, These candidates should be eliminated from appears available for application, registration, being filed by any third party who believes their while these may be viewed as more “exciting” the trademark acquisition process. and use by Dow. trademark rights may be infringed. In that event, Dow names, many other companies have also could be forced to stop using a trademark during the identified them as such, and they are becoming registration process. While the risk of this occurring is more difficult and costly to obtain. For this reason, reduced at this point, the possibility is still very real. arbitrary names should be avoided for smaller and lower value projects.

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1. Examination of applications: In most 4. Commercialization of the product: Trademark renewal process and 2. Criteria: In order to meet the renewal criteria, at countries, new trademark applications are subject Commercialization of the product under a pro- criteria for renewing least one or more of the following conditions must to examination by a Trademark Office Examiner posed mark prior to the first examination by the be present: who looks for registrations or prior applications Trademark Office and publication of acceptance Trademark registrations expire at the end of a - Sales of products bearing the trademark exist for marks that may be confusingly similar to the of an application creates the risk of potential mark 10-year period (20 years in some countries) from in the country where the trademark is being mark identified in the application. In the U.S., infringement/unfair competition claims being the date the registrations are granted. Renewal evaluated for renewal. the examination process takes about nine to 12 filed against the use of the proposed mark. This applications must be filed and renewal fees must be months. The time required for the examination would disrupt, if not hinder, a commercial paid prior to the end of the expiring period in order to - The business plans to commercialize products process is different in each country depending on launch with the added expense of relabeling, maintain the registrations in force. The Dow Chemical bearing this trademark. Company has developed the following procedures the back-log of the various Trademark Offices. repackaging, and changing promotional literature - The mark is a global mark having in excess of if the objections/oppositions are well founded. and set certain criteria for the renewal 2. Objections or oppositions to application $30MM USD in sales in more than one country. However, commercialization of trademark name of its trademarks: during examination/publication: If the candidates that have been cleared for use by - The trademark should be maintained as a examiner raises objections and/or if third parties 1. Procedure: The trademark paralegal will provide Dow with an availability grade of “A” or “B” can defensive mark, as determined by the oppose the registration, the registration will be the appropriate business leader, market manager, begin immediately with an acceptable degree trademark counsel/paralegal and the business delayed until such objections/oppositions are or trademark focal point with a listing of the of risk. Candidates cleared with a “C” availability desires to preclude imitation products. resolved in Dow’s favor. Obviously, objections trademarks coming due for renewal for the entire are a somewhat higher risk and may not be and/or oppositions not only delay the registration coming year. The business leader should review - The mark is licensed to a third party. recommended for commercialization prior to process, but also increase the costs of the process the list of marks and forward comments back to acceptance by the Trademark Office. - There is a significant business need that and could delay launch of the new product. the appropriate paralegal in a timely manner. justifies the cost of the renewal. Generally, In most countries, Dow will need to document If the examiner does not identify any potentially The trademark paralegal will initiate the renewals renewals require filing a new application commercial use of the trademark. Typically, this conflicting marks, then the application is provided the following criteria are met. with a range of costs between $700 to means that the appropriate business contacts published for others (third parties) to file $1,000 USD per mark. may be asked to help provide evidence of objections. Registration will be granted if the commercial use of the product. Evidence can examiner does not raise any potential obstacles, include invoices documenting the first sale of the and if third parties do not oppose or object to the product, actual product labels, sales brochures, registration of the proposed mark. etc. Please be prepared to assist and send this 3. Responding to official actions: It is imperative information to the Trademark Department that Dow market managers, communication upon request. managers, or other appropriate business contacts 5. Trademark registration obtained: As assist in providing any additional information to previously stated, registration will be granted if the the Trademark Department as may be required examiner does not raise any potential obstacles, in the event an opposition is filed to Dow’s use and if third parties do not oppose or object to the of a trademark. Or, if the Trademark Office (of a registration of the proposed mark. country or countries where the application was filed) objects to the application and issues an When the trademark becomes registered, the official “Office Action.” Office actions describe the appropriate business contacts will be requested reasons for the objection or rejection, and include to assist with promoting proper use of the new statutory deadlines for responses to be filed; trademark within Dow and with outside interests otherwise the rejection of the application such as customers, the media, etc. becomes final. It is critical that necessary information be provided to the Trademark Department as soon as possible in order to meet the deadline requirements.

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Contacting the Mary Mason — [email protected] or Frequently asked questions about registration of the trademark. This availability Trademark Department Staff 317-337-4575. Primary contact for Dow the trademark process process has approximately a 90 percent trademarks for Chlorinated Organics; Epoxy; accuracy rate. However, it is still quite possible The Dow Trademark Department is located in Performance Materials; and Dow Microbial Control; Q: How long does it take to get a that the Trademark Office could reject the mark Indianapolis, Indiana, U.S.A. It is made up of a Dow AgroSciences in Mexico, Central and South trademark registered? or a third party could oppose its use by Dow, trademark counsel (attorney), trademark paralegals, America; and Trademark licensing. A: The time it takes to register a trademark causing the Company to abandon its pursuit of office professionals, and a docketing clerk. The varies from country to country. A few countries a particular name. Until the name is registered following are brief summaries of their roles, which Jackie Pearlman — [email protected] or automatically grant trademark registration as as a trademark and has passed some period of should help you connect with the right person for 215-592-3678. Primary contact for Dow Advanced soon as the trademark registration is applied incontestability (provided the mark was properly any of your questions. Materials (HROH); Electronic Materials; and Coatings. for (though in these countries registrations can used), there is some risk of losing it. Kari Lukasik — [email protected] or still be successfully opposed by other interested Q: Does the online form have to be used to submit 317-337-4895. Primary contact for Dow parties). In most countries, there is some period the trademark search request, or will a simple General trademark counsel trademarks for Building & Construction; Oil & Gas; of time, generally one to two years, between the e-mail work? is counsel for trademark and branding ® Joe Miller and FILMTEC ; Dow AgroSciences markets in USA, date when the application is filed and when a strategies, infringement matters, negotiating Canada, Australia, New Zealand, Japan, South Korea, trademark registration is granted. In the United A: The online form must be used to submit the trademark licensing and assignments, trademark Thailand and Vietnam; and Copyrights. States, this period is typically about one year but request. The form ensures that all necessary issues related to mergers and acquisitions, and information is provided to the Trademark Heather Schuyler-Crespo — [email protected] can last as long as three years. copyrights. He is also responsible for managing Department staff so that the request can be or 317-337-5253. the Trademark Department Staff. Q: How much does it cost to acquire a trademark? processed quickly and efficiently. Omitting any Contact Joe Miller via email at [email protected] A: It depends on the size and scope of the naming portion of this data will slow the entire process or by phone at 1-317-337-4584. Trademark assistants project. While it would be misleading to provide down. Additional data from the form helps track Kathy Broshous and Tamala Jones maintain an absolute cost figure, a generalized estimate of information about each trademark search trademark files for Dow and its subsidiaries; enter $4,000 USD per mark per country can be used. request, enabling us to measure and report on Trademark paralegals data into CPI Trademark Database; process invoices Other costs that can be incurred include using important aspects of the process. In addition, submission of the form ensures that the request Paralegals are responsible for trademark and track costs; provide administrative support to a consultant to help create a name. This will will be entered into the Trademark Department prosecution; searching; obtaining and maintaining the trademark counsel and paralegals. quickly add thousands to the cost of acquiring electronic docketing system for more efficient Dow and its affiliated companies’ trademarks on a a trademark. Similarly, using focus groups and Kathy Broshous — [email protected] or handling of the request. Access the Search global basis, as well as Dow AgroSciences (DAS) market research to help prioritize the trademark 317-337-4834 Request Form at Dow Keyword: Trademark trademarks; and trademark review for proper usage. candidates will also add significant cost to Tamala Jones — [email protected] or the process. Submitting long lists of trademark Search Request Form. Linda Chisholm — [email protected] or 317-337-4843 candidates that have not been prioritized will add 317-337-4606. Primary contact for Dow unnecessary cost to the process as well. And, Trademark websites and For matters relating to copyrights, please contact trademarks for Specialty Materials; Dow Automotive; not following good naming guidelines can Joe Miller or Kari Lukasik. Also see the intranet other resources Elastomers; Wire & Cable; PU Systems & Epoxy cause additional cost, because it increases the Keyword “Copyright.” Here is a brief but helpful listing of Intranet and Systems; and Dow Wolff Cellulosic; and Dow potential of running into opposition from third Internet based links which you may find helpful as you AgroSciences markets in Europe, Asia and Africa. parties and having to restart the process. work through the trademark development process: Q: The trademark folks reported that this name was Dow Keyword: Trademark “cleared,” then they said the mark encountered obstacles and couldn’t be used after use had United States Patent and Trademark Office: already begun. Why does this happen? http://www.uspto.gov/ A: The term “cleared” refers to the fact that a World Intellectual Property Organization: search was performed to determine if there http://www.wipo.org/ were any obvious barriers to successful

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Form No. 162-02513-1212 CDP November 2013