MANUAL OF PATENT OFFICE
PRACTICE AND PROCEDURE
Version 01.11
As modified on March 22, 2011

PUBLISHED BY:

THE OFFICE OF CONTROLLER GENERAL OF PATENTS,
DESIGNS & TRADEMARKSBOUDHIK SAMPADA BHAWAN, S. M. ROAD, ANTOP HILL, MUMBAI (INDIA)

Preface
The Patents Act, 1970 was amended in 1999, 2002 & 2005. The amended
Act, in accordance with TRIPS, has provided for product patents in foods,
medicines and chemical substances. India became signatory to PCT in 1998. As aconsequence, patent filing including PCT National Phase Applications haveincreased exponentially.

Considerable changes have been made in the patenting procedure throughthe introduction of Patents Rules, 2003, which were further amended in 2005 and2006, resulting in new practices and procedure.

Indian Patent Office has been modernized with office automation andelectronic processing of patent applications during the past one decade. The
objective of the modernization project was to increase the efficiency andstreamline the functioning in tune with the international scenario, especially withregard to transparency. It has been ou2r constant endeavor to be more transparent
in all the spheres of patenting process. IT enabled office process have enabled us
to make all information relating to the status of patent application and contents offile, publicly available through the official website. This manual is yet anotherstep to fulfill our commitment to be more efficient and transparent.

There has been a demand from the new inventors, patent practitioners andforeign applicants to codify the practices in Indian Patent Office in the form of amanual. A draft manual was published in 2009 in the official website inviting
comments and suggestions from stakeholders. Taking into account the comments
and suggestions received, that draft has been thoroughly revised to make it more
precise and simple. It is our ardent hope that this manual will effectively meet thedemands from stakeholders.

This manual may be considered as a practical guide for effective
prosecution of patent applications in India. However, it does not constitute rulemaking and hence, does not have the force and effect of law.

The manual will be revised from time to time based on interpretations by a
Court of Law, statutory amendments and valuable inputs from the stakeholders.

(P H Kurian)Controller General of Patents, Designs and Trademarks

INDEX

Chapters:

Page No.

01 Introduction

1

02 Key definitions

3

03 Filing of Patent Application

7

04 Publication of application

27

05 Provisional and complete specification

30

06 Divisional application and patent of addition

47

07 Convention application, international application and

51

national phase application
08 Examination and grant75

09 Post-grant opposition

109

10 Post-grant procedures

113

11 Appeals

124

12 Revocation of patent127

13 Compulsory licensing

130

14 Use of patent for purposes of Government

140

15 Patent agents147

16 Offences and penalties

151

17 General powers of Controller

153

18 General services

160

19 Scientific advisors

164

20 Miscellaneous provisions

167

21 Time limits

170

Chapter 1
Introduction
1. This manual has been compiled with an intention to codify the practices and procedures being
followed by the Indian Patent Office and is intended to serve as a procedural guide for thepractitioners and other users of the Indian Patent System.

2. Indian Patent Office works from four locations viz. Delhi, Mumbai, Kolkata and Chennai withdefined areas of territorial jurisdiction. Introduction of office automation and electronic
processing of patent applications has resulted in a certain level of uniformity and transparency.
Maximum amount of information has been made available to the public viz. information relating
to patent applications, including the status, examination reports and other documents. Thismanual is expected to bring in further transparency and uniform practices in the four offices.

3. Processing of a patent application is a multi-stage process, involving filing of an application,
electronic data processing, screening and classification, publication, examination, pre-grant
opposition, grant / refusal. Different persons like Examiner of Patents, Controller of Patents,
Applicant / Agent and general public are involved in the process. Rights, functions andresponsibilities of all stakeholders have been explained to ensure smooth functioning of the
Patent System.

4. This manual is expected to spell out patent office practices and procedure and bridge any
information gap that currently exists in this regard. It is not intended to be an interpretation of the
Indian Patent Law.
5. The procedure of filing of a Patent application and its processing up to grant / refusal,
maintenance etc. is explained in the following chapters. This manual does not cover the
infringement proceedings. Certain matters like exceptions to the rights of patentee, Government
use, Compulsory Licensing etc. have also been included.

6. Some of the key definitions have been explained in Chapter-2.

1

7. Chapters 3 to 7 deal with the procedure of filing a patent application, including Ordinary
Application, PCT International Application, PCT National Phase Application, Convention
Application, Application for Patent of Addition & Divisional Application.

8. Chapters 8 & 9 relate to examination, grant, pre-grant and post grant oppositions.

9. Chapters 10 to 14 cover the post-grant procedures such as maintenance of patent, appeal,
revocation, compulsory licensing and use of patents for the purposes of Government.

10. Chapters 15 to 20 relate to Patent Agents, offences and penalties, general powers of Controller,
general services, scientific advisors and miscellaneous provisions.

11. Time limits prescribed under the Act and Rules have been specifically dealt with separately in
Chapter 21.

12. The Officers functioning under the Act have been vested with statutory powers. They also havesome discretionary powers under the Act, which are to be exercised judiciously. As regards thepatentability of any subject matter under consideration by an Officer empowered under the Act,he shall not be guided solely by the contents of this manual but shall take judicious decisions
based on the Act, Rules and any judicial decisions on the matter. However, all officers of Patent
Office shall follow the procedure set forth in the manual.

2Chapter 2
Key definitions
02.01

GeneralFor better appreciation of this manual, the user may require
to have clearx understanding of certain terms which aredefined in the Act or Rules. Some of the important
definitions are as under.

02.02

Definitions

02.02.01"Controller" means the Controller General of Patents, Section 2(1)(b),Designs and Trade Marks referred to in Section 73. 2(2)(a), 73
Controller shall be construed as including a reference to Section 3 ofany officer discharging the functions of Controller in Trademarks
pursuance of Section 73.

Act, 1999

The office of Controller General of Patents, Designs andTrademarks is at Mumbai.

The

Controller

GeneralofPatents,

DesignsandTrademarks is appointed by the Government of India under
Section 3 of the Trademarks Act, 1999. The person so
appointed will be the Controller of Patents for the purposesof Patents Act, 1970.

The Central Government may also appoint other officers
who shall discharge, under the superintendence anddirections of the Controller General of Patents, Designs
and Trademarks, such functions of the Controller under
this Act as he may authorize in writing, from time to time3

by general or special order.

The Controller General has authorized the AssistantControllers, Deputy Controllers, Joint Controllers andSenior Joint Controllers to discharge most of the functions
under the Act.

The Controller General has the power to withdraw any
matter pending before an officer, by an order in writing
and for reasons to be recorded therein, and deal with suchmatter himself either de novo or from the stage it was so
withdrawn or transfer the same to another officer who may
subject to special directions in the order of transfer,proceed with the matter either de novo or from the stage it
was so transferred.

02.02.02"Government

undertaking"

means

any

industrial Section 2(1)(h)undertaking carried on –a.

by a department of the Government, orSection 617 ofb.

by a corporation established by a Central, the Companies
Provincial or State Act, which is owned or Act, 1956
controlled by the Government, orc.

by a Government company as defined in
section 617 of the Companies Act, 1956 (1 of1956), ord.

by an institution wholly or substantiallyfinanced by the Government.

02.02.03"Invention" means a new product or process involving an Section 2(1)(j)inventive step and capable of industrial application.

02.02.04"Inventive step" means a feature of an invention that Section 2(1)(ja)
involves technical advance as compared to the existing4

knowledge or having economic significance or both andthat makes the invention not obvious to a person skilled in
the art.
02.02.05"Capable of industrial application", in relation to an Section 2(1)(ac)invention, means that the invention is capable of being
made or used in an industry.

02.02.06"Legal representative" means a person who in law Section 2(1)(k)represents the estate of a deceased person.

02.02.07"Assignee" includes an assignee of the assignee and the Section 2(1)(ab)legal representative of a deceased assignee and references
to the assignee of any person include references to theassignee of the legal representative or assignee of that
person.

02.02.08"Patentee" means the person for the time being entered on Section 2(1)(p)the register as the grantee or proprietor of the patent.

02.02.09"Patent office" means the patent office referred to in Section 2(1)(r),section 74.

2(2)(b), 74

Unlike many other Countries, for the purpose of
facilitating the registration of patents, Indian Patent Office
functions from four locations viz. Kolkata, Delhi, Chennai
and Mumbai.
02.02.10―Appropriate office‖ means the appropriate office of the Rule 2(b), 4
patent office as specified in rule 4.

02.02.11"Person" includes the Government.

Section 2(1)(s)02.02.12"Person interested" includes a person engaged in, or in Section 2(1)(t)promoting, research in the same field as that to which theinvention relates.

02.02.13"Prescribed" means prescribed by rules made under this Section 2(1)(u)Act.

5

02.02.14"Prescribed manner" includes the payment of the Section 2(1)(v)prescribed fee.

02.02.15"True and first inventor" does not include either the first Section 2(1)(y)importer of an invention into India, or a person to whom
an invention is first communicated from outside India.

6

Chapter 3
Filing of Patent Application
03.01

Section 6, 134,

Applicant

135
An Application for a Patent for an invention may bemade by any of the following persons either alone or
jointly with any other person:
True and first inventor
True and first inventor‘s assignee
Legal representative of deceased true and firstinventor or his/her assignee

The term "person" as defined in the Patents Act
includes Government. The term ―person‖ as definedin the General Clauses Act, 1897 includes any company
or association or body of individuals, whether
incorporated or not. In the case of a limited
partnership, the Application may be in the names of all
personally responsible partners.

True and first inventor does not include either the firstimporter of an invention into India or a person to whom
an invention is first communicated from outside India.
The applicant is required to disclose the name, address
and nationality of the true and first inventor.

Assignee can be a natural person or other than a legal
person such as a registered company, a research

7Form-1

organization, an educational institute or Government.
Assignee includes assignee of an assignee also.
Wherever, the inventor(s) is/are not the applicant, aproof of right to apply by way of an endorsement in the
Application form (Form 1) or an assignment deed shallbe submitted.

Legal representative means a person who in law
represents the estate of a deceased person. In such acase, the Legal Representative may be required to fileappropriate legal instruments as Proof of Right.

In case of a convention application, the legal
representative or assignee of the applicant in theConvention country can also file a Patent Applicationin India.
03.01.01

Procedure to be followed in case of death of applicant, or Section 20
in case the legal entity ceases to exist, substitution or Form-6
addition of applicant.
a. If the applicant dies before the grant of patent, arequest may be made by a person who would, by
virtue of an assignment or agreement made inwriting, or by operation of law, be entitled to aninterest in the patent. If one or more of the joint
applicant(s) die(s) before the grant of the patent,
the survivor(s) may, with the consent of the legal
representative of the deceased, request forproceeding the application in the name ofsurvivor(s).
b. This procedure is also applicable to a legal entity,
which ceased to exist before the grant of patent,8

as well to joint applicants where one of theapplicants dies. In all these cases, when a request
is made in Form-6, the Controller may allow such
substitution. However, in case of joint applicants,
the substitution can only be made with theconsent of all the other joint applicants.
When there is a dispute between the joint applicants,
regarding such substitution, after giving opportunity to
all the applicants, the Controller may give such directions
as he thinks fit for enabling the application to proceedwith. Accordingly, the Controller may direct that theapplication shall proceed in the name of one or more of
the parties alone. Such directions may also relate to themanner in which the application should proceed.
Further, the Controller shall not issue any such direction
unless:i.

the invention is identified in the agreement or
assignment by reference to the number ofapplication for the patent, orii.

an acknowledgement, indicating that theassignment or agreement relates to theinvention in respect of which the application
is made, is produced before the Controller, oriii.

the rights of the claimant in respect of theinvention have been finally established bydecision of a court.

03.02

Section 16, 74.

Jurisdiction

Rule 4, 5.
Unlike many other Countries, for the purpose of
facilitating the registration of patents, Indian Patent
Office functions from four locations viz. Kolkata, Delhi,
9Chennai and Mumbai.

Application for Patent shall be filed with the Patent Officehaving the appropriate jurisdiction. Territorial jurisdictionof a patent office is decided based on the following:i) Place of residence, domicile or business of theapplicant (first mentioned applicant in the caseof joint applicants).
ii) Place

from

where

the

invention

actually

originated.
iii) Address for service in India given by theapplicant, when the Applicant has no place ofbusinessordomicile

in

India

(Foreign

applicants).

Territorial jurisdictions are presented below:
PatentTerritorial Jurisdiction

OfficeMumbai The States of Gujarat, Maharashtra, Madhya
Pradesh,Goa,

Chhattisgarh,

the

Union

Territories of Daman & Diu and Dadra &Nagar Haveli.
Delhi

The States of Haryana, Himachal Pradesh,
Jammu and Kashmir, Punjab, Rajasthan, Uttar
Pradesh,Uttarakhand,

National

CapitalTerritory of Delhi and the Union Territory of
Chandigarh.
Chennai The States of Andhra Pradesh, Karnataka,
Kerala, Tamil Nadu and the Union Territories
of Pondicherry and Lakshadweep.

10Kolkata

Rest of India (States of Bihar, Orissa, West
Bengal, Sikkim, Assam, Meghalaya, Manipur,
Tripura, Nagaland, Arunachal Pradesh andUnion Territory of Andaman and Nicobar
Islands)

When a patent application is filed with an appropriate
office, it shall be processed by that office ordinarily.

The appropriate office for filing a divisional patentapplication is the office where the main application is filed,
as a divisional application needs to be examined vis-à-vis its
main application.
(for Divisional Applications, please see Chapter 6)

A foreign applicant is required to give an address for service
in India and the jurisdiction will be accordingly decided.

Appropriate

officeinrelationtoInternational

Applications under Patent Co-operation Treaty and the
National Phase Applications (for the PCT Applications
and National Phase Applications, please see Chapter 7):(1) The receiving office, designated office andelected office for the purposes of International
Applications filed under the Treaty shall be theappropriate office in accordance with Rule 4.
(2) An International Application under the PCT shallbe filed at and processed by the appropriate
office in accordance with the provisions of
Chapter III of the Patents Rules, 2006, the Treaty
and the Regulations established under the PCT.
11

03.03

Section 7, 54,

Type of Patent Applications

1. Ordinary Application, i.e., an Application which has 135
been filed directly in the Indian Patent Office.
2. Convention Application.
3. PCT Application.
4. Divisional Application, which can result from divisionof a Patent Application.
5. Patent of Addition, which may be filed subsequent to
the Filing of an Application for Patent, for an
improvement or modification.
03.04

Section 7

Filing of a patent application

A patent application shall be filed on Form-1 along with First Schedule
Provisional / Complete Specification, with the prescribed
fee as given in First Schedule at an appropriate office.
However, a provisional specification cannot be filed in caseof a Convention Application (either directly or through
PCT

routes)(Forfurther

descriptionofProvisional/Complete Specifications please see Chapter 5)
Normal fee shall be applicable for applications containing
upto thirty pages in specification and upto 10 claims. If thespecification exceeds thirty pages or claims are more thanten in number, additional fee as given in First Schedule ispayable.
03.04.01

Contents of Patent Application

Section 7.

A patent application should contain:

Rule 8, 12, 13,(for filing of International Application please see Chapter

135.

7)

Form-1, 2, 3, 5,
1. Application for grant of patent in Form-1.

26.

2. Applicant has to obtain a proof of right to file the Section 6 of theapplication from the inventor. The Proof of Right is Biologicaleither an endorsement at the end of the Application Diversity Act,
12

Form-1 or a separate assignment.

2002.

3. Provisional / complete specification in Form-2.

Rule 17.1 of

4. Statement and undertaking under Section 8 in Form- Regulations
3, if applicable.

made under theAn applicant must file Form 3 either along with the PCT.
application or within 6 months from the date ofapplication.
5. Declaration as to inventorship shall be filed in Form
5 for Applications accompanying a Complete
Specification or a Convention Application or a PCT
Application

designating

India.

However,theController may allow Form-5 to be filed within one
month from the date of filing of application, if arequest is made to the Controller in Form-4.
6. Power of authority in Form-26, if filed through a
Patent Agent. In case a general power of authority
has already been filed in another application, a self
attested copy of the same may be filed by the Agent.
In case the original general power of authority has
been filed in another jurisdiction, that fact may also
be mentioned in the self attested copy.
7. Priority document is required in the following cases:
a. Convention

Application(underParis

Convention).
b. PCT National Phase Application whereinrequirements of Rule 17.1(a or b) of regulations
made under the PCT have not been fulfilled.
The priority document may be filed along with theapplication or before the expiry of eighteen months
from the date of priority, so as to enable publicationof the application. In case of a request for early13

publication, the priority document shall be filed
before/along with such request.
8. Every application shall bear the Signature of theapplicant or authorized person / Patent Agent alongwith name and date in the appropriate spaceprovided in the forms.
9. TheSpecification

shall

be

signedbytheagent/applicant with date on the last page of theSpecification. The drawing sheets should bear thesignature of an applicant or his agent in the righthand bottom corner.
10. If the Application pertains to a biological material
obtained from India, the applicant is required tosubmitthepermission

from

the

National

Biodiversity Authority any time before the grant of
the patent. However, it would be sufficient if thepermission

from

the

National

Biodiversity

Authority is submitted before the grant of thepatent.
11. The Application form shall also indicate clearly thesource of geographical origin of any biologicalmaterial used in the Specification, whereverapplicable.
03.04.02

Rule 6E-filing:
1. The Patent Office provides the facility to file a
Patent Application online from the native place of
the agent of the applicant or applicant through efiling.
2. For e-filing, applicant / agent must have a digital
signature. For the first time, applicant / agent has toregister as a new user and has to create login ID and14

passwordonthePatentofficeportal.

(http://www.ipindia.nic.in).
3. A preliminary Software (Client Software) has to be
downloaded from the above-mentioned site and has
to be installed on the host computer. With the helpof said software, an XML file gets generated and all
the relevant documents (i.e. Form 1, Form 2, Form
3, etc.) in soft copy have to be uploaded. An
Application number and CBR receipt gets generated
after successful uploading.
4. Major objectives and purpose of providing thefacilities of e-filing is to save time and other hazards
to protect the priority date of Application and timeline to enter into National Phase Application, Patentof Addition and Divisional Application within timeframe, in case of last moment instruction fromapplicant to agent.
5. The applicant / agent will receive the filing receipt
and

CBR

immediately

after

acceptanceofApplication in the software, with Patent Application
number, date and time of filing.
6. The Office is in the process of upgrading the efiling platform so as to enable an applicant to file all
subsequent papers electronically. It is also proposed
to make e-filing compulsory in the near future.
03.04.02.01

Steps for e-filing of Patent Application

E-filing user

1. For using this Portal click on link 'On-line manual
Registration for New User'.
2. Complete On-line Registration process for getting
User ID & Password.
3. Login to e-Patent portal after successful registration.
15

4. Download Client Software for preparing Patent
Application(s) offline.
5. Complete

the Patent

Application

offlineandgenerate an XML file using Client Software.
6. After creating Application (XML) file offline,
digitally sign the XML file (Max. file size permitted
15 MB) for uploading to the IPO Server.
7. Login to e-Patent portal for uploading Application
XML file on IPO Server.
8. Upload & submit digitally signed XML file to IPO
Server.
9. Process the Application for EFT (Electronic Fee
Transaction).
10. Review Application Status on e-Patent Portal.
11. On successful EFT, acknowledgement details would
be displayed/ generated.
12. Print the Acknowledgement.
13. Detailed user manual in pdf format is uploaded on
the official website where Certifying Authority,
AuthorisedBank,

Prerequisites

ofe-filing,

Procedure and guidelines of e-filing of Patent
Applications are described in detail.
03.04.03

Leaving and serving documents at Patent Office
1. Any Application, notice or other document
authorised or required to be filed, left, made or
given at the Patent office, or to the Controller orto any other person under the Act or these rules,
may be tendered by hand or sent by a letter
addressed to the Controller at the appropriate
Office or to that person through post or registered
post or speed post or courier service or by
16

Rule 6electronic transmission duly authenticated.
2. If it is sent by post or registered post or speed
post

or

courier

serviceorbyelectronictransmission duly authenticated, it shall be deemed
to have been filed, left, made or given at the time
when the mail containing the same would havebeen delivered in the ordinary course of post or
registered post or speed post or courier service, orby electronic transmission duly authenticated, as thecase may be. In proving such sending, it shall be
sufficient to show that the mail was properly
addressed and transmitted.
3. In case of a postal or courier delay, the Controller
follows the provisions of the above paragraph withregard to the date of receipt of the document.
4. Any written communication addressed to apatentee at his address as it appears on the registerof patents or at his address for service given underrule 5, or to any applicant or opponent in any
proceedings under the Act or these rules, at theaddress appearing on the Application or noticeof opposition, or given for service, shall bedeemed to be properly addressed.
5. All notices and all written communications
addressed to a patentee, or to any applicant or
opponent in any proceedings under the Act orthese rules, and all documents forwarded to thepatentee or to the said applicant or opponent,
shall, except when they are sent by special
messenger, be sent by registered post or speed postor courier service or by electronic transmission
17

duly authenticated.
6. The date of a notice or a written communication
addressed to a patentee or to any applicant or
opponent in any proceedings under the Act andthese rules shall be the date of dispatch of thesaid notice or written communication, byregistered post or speed post or courier or fax orelectronic transmission duly authenticated, as thecase may be, unless otherwise specified under the
Act or these rules.
7. In case of delay in receipt of a document or acommunication sent by the Patent office to a party
to any proceedings under the Act or these rules, thedelay in transmitting or resubmitting a document
to the Patent office or doing any act by the party
may be condoned bytheController if apetition for such condoning of delay is made by
the party to the Controller immediately after thereceipt of the document or a communication
along

with

a

statement

regardingthecircumstances of the fact and evidence in supportof the statement:
Provided that the delay condoned by theController shall not exceed the period between thedate on which the party was supposed to havereceived the document or communication by
ordinary

course

of

mail

or

electronictransmission and the actual date of receipt of thesame.
03.04.04

Receiving documents in Office:
1. The application and any other documents with18

accompanying fees and/or without accompanying
fees is received at the Patent Office at separate
counters known as Fee Counter (FC) and Non-Fee
Counter (NFC) respectively.
2. Both the counters stand closed at 5 pm forfacilitating further processing and no papers will bereceived after 5 pm.
3. All documents by post/courier are received at a
separate counter. The fee bearing documents aresent to the fee counter and the non-fee bearing
documents are sent to the non-fee counter.
4. The staff at the fee counter makes relevant entries in
the module and generates the Cash Book Receipts(CBRs). The staff at the non-fee counter makes
relevant entry in the document receipt module.
5. The staff at the fee counter stamps the documents soreceived and enters the CBR number, date, amountof fee received, application number, patent number
or other relevant entries. The staff at the non-fee
counter also stamps the documents after making
entries in the module.
6. The documents from both the counters are sent on
an hourly basis to the Electronic Data Processing(EDP) Section for digitization.
7. Documents requiring no digitization are sent to theconcerned section on daily basis.
03.04.05

Language and Paper size etc.
All documents and copies of documents to be furnishedshall be written or typewritten or printed either in Hindi
or in English language in large and legible characterswith deep indelible ink with lines widely spaced upon
19

Rule 9

one side only of strong white paper of a size A4 with amargin of at least 4 centimeters on the top and left handpart and 3 centimeters on the bottom and right hand part
thereof.
It is desirable that the documents are prepared with lines
spacing of 1 1/2 or double space in non-script type font(e.g., Arial, Times Roman, or Courier), preferably in a
font size of 12.
Signature
Any signature which is not legible or which is written ina script other than Hindi or English shall be accompanied
by a transcription of the name either in Hindi or in
English in block letters.
03.04.06

Rule 9Sequence listing
In case the Application for Patent discloses sequencelisting of nucleotides and/or amino acids, the same shall be
filed in electronic form. However, the fee with respect tothe equivalent number of pages shall be payable.

03.04.07

Section 142

Fee:

1. Fee payable under the Act may either be paid in cash Rule 7or through electronic means or may be sent by bank First Schedule
draft or cheque payable to the Controller of Patents
and drawn on a scheduled bank at the place where theappropriate office is situated. If the draft or cheque issent by post, the fee shall be deemed to have been
paid on the date on which the draft or cheque would
have reached the Controller in the ordinary course ofmail.
2. Where a fee is payable in respect of a document, theentire fee shall accompany the document.
3. Where a fee is payable in respect of the doing of an
20

act by the Controller, the Controller shall not do thatact until the fee has been paid.
4. In case an application processed by a natural person
is fully or partially transferred to a person other thana natural person, the difference, if any, in the scale offee(s) between the fee(s) charged from a natural
person and the fee(s) chargeable from the person
other than a natural person in the same matter shall be
paid by the new applicant with the request fortransfer.
5. Fee once paid in respect of any proceedings shall not
be ordinarily refunded whether the proceedings havetaken place or not.
6. Prescribed fee for various proceedings under the Act
is given in First Schedule.
03.05

Processing of Application

03.05.01

Initial processing
1. On receipt of an application, the Office accords adate and serial number to it. PCT national phase
Applications

andnon-PCT

Applicationsareidentified by separate serial numbers.
2. All applications and other documents are digitized,
verified, screened, classified and uploaded to theinternal server of the Office.
3. Patent applications and other documents arearranged in a file wrapper and the Bibliographic
sheet is prepared and pasted on the file cover, sothat the files move on for storing in the compactors.
4. The Application is screened for:a. International Patent Classification.
b. Technical field of invention for allocation to21

an examiner in the respective field.
c. Relevance to defence or atomic energy.
d. Correcting/completingtheabstract,

if

required. If found not proper, the abstract
will be recasted suitably, so as to provide
better information to third parties. However,such amendments should not result in achange in the nature of invention.
5. Requests for examination are also accorded separate
serial number.
03.05.02

Scrutiny of application
1. The Office checks whether the Application has been
filed in appropriate jurisdiction (for jurisdiction
please see 03.02). If the jurisdiction is not
appropriate, the application shall not be taken on
record and the applicant is informed accordingly.
2. The Office checks for proof of right to file theapplication (See 03.04). If the proof of right is not
filed along with the application, it shall be filed
within a period of six months from the date of filingof the application. Otherwise, the applicant shall filethe same along with a petition under Rule 137/138.
3. The Office checks whether the application and otherdocuments have been filed in the prescribed format
i.e. prescribed forms, request, petitions, assignment
deeds, translation etc. Further, the Office checks
whether:a) the documents are prepared on a proper
sized paper, typed in appropriate font withproper spacing,b) the documents are duly signed.
22c) abstract, drawings (if any) have been filed inproper format,d) meaningful Claim(s) are present in acomplete Specification,e) Power of Attorney or attested copy ofGeneral Power of Attorney (if any) is filed,f) Form-5 has been filed(along with complete
after Provisional or for filing PCT-NP/
Convention Application),g) the invention has been assigned to anotherperson and Form 6 has been duly filed. If theright is assigned from an individual to alegal entity, the legal entity is invited to pay
the balance fees.
03.05.03

Secrecy Directions and consequences thereof

Section 35, 36,

1. If in the opinion of the Controller an invention 37, 38
pertains to a subject matter relevant for the purposeof defence as notified by the Central Government,
the Controller issues a secrecy direction prohibiting
the publication of the application to the applicant
and refers the matter to the Central Government for
their consideration as to whether the application isprejudicial to the defence of India.
2. The Central Government, after considering themerits of the secrecy direction, may give notice to
the Controller as to whether the secrecy directionneeds to be continued or not.
3. The Central Government reviews the matter at aninterval of six months. The applicant may request
for a reconsideration of the secrecy direction and if
the same is found reasonable by the Controller, he23

may request the Central Government for a review.
4. If the Central Government is of the opinion that aninvention in respect of which the Controller has not
imposed a secrecy direction and is relevant for
defence purposes, it may at any time before thegrant of the patent notify the Controller to that
effect. Thereupon, the Controller invokes theprovisions of Section 35(1).
5. So long as any directions under Section 35 are inforce, the Controller shall not take a decision on
grant/refusal of the application.
03.05.04

Section 4.

Inventions relating to Atomic Energy

1. No Patent is granted in respect of an invention Section 20 of
relating to atomic energy falling within sub-section the Atomic(1) of Section 20 of the Atomic Energy Act, 1962.

Energy Act,

2. According to Section 20(1) of Atomic Energy Act, 1963.
atomic energy means energy released from atomic S.O.61(E)nuclei as a result of any process including thefission and fusion processes. Under this Act,"prescribed substances" means any substanceincludinganymineral

which

the

CentralGovernment may, by notification, prescribe, being asubstance which in its opinion is or may be used forthe production or use of atomic energy or research
into matters connected therewith and includes
uranium, plutonium, thorium, beryllium, deuterium
or any of these respective derivative or compounds
or any other materials containing any of theaforesaid substances. The Act defines the term"radioactive substances" or "radioactive material" as
any substance or material, which spontaneously
24emits, radiation in excess of the levels prescribed by
notification by the Central Government. ―Prescribed
Substances, Prescribed equipment and Technology‖
have been notified by the Government of India,
Department of Atomic Energy vide S.O.61(E),published in the Gazette of India (extraordinary,Part II, Section 3, sub-section (ii), dated 20th
January, 2006.
3. Any person desiring to apply for a patent abroad for
an invention relating to or which he has reason tobelieve relates to atomic energy shall obtain priorpermission from the Central Government before
making the application abroad or communicating
the invention to any person abroad, unless six weeks
have elapsed since his request for permission wasmade to the Central Government and no reply wasreceived by him.
4. Upon screening, if an Application is found to befalling within the purview of the Atomic Energy
Act, the Controller refers the Application to theCentral Government.
5. The Central Government upon consideration may
issue a direction to the Controller, which is binding.
6. The opinion of the Central Government is not open
to an appeal.
03.06

Withdrawal of patent application

Section

The applicant may, at any time after filing the application 11A(3)(c),but before the grant of a patent, withdraw the application by 11B(4).
making a request in writing and by paying the prescribed First Schedulefee.
However, if the applicant makes a request for withdrawal
25

within 15 months from the date of filing or priority of theapplication, whichever is earlier, the application will not be
published. It is desirable that the applicant specifies in therequest that such withdrawal is under Section 11A(3)(c).

26

Chapter 4
Publication of Application
04.01

Publication of Patent Application

Section 11A,(a) An Application for Patent is not open to public

Rule 24

before the expiry of 18 months from the date offiling or date of priority, whichever is earlier.
(b) At the end of 18 months period from the date offiling or from the date of priority whichever isearlier, the Application is published in the Official
Journal except in the cases where:i.

Secrecy direction u/s 35 is in force.

ii.

Application abandoned u/s 9(1) (i.e.,complete Specification not filed withintwelve months from the date of filing ofProvisional Specification).

iii.

Withdrawn three months prior to the
publication period, i.e., before the end of
15th month from the date of filing or
priority, whichever is earlier. This will
apply for National Phase entry of PCT
Applications as well, if such application
has been filed in India before the expiryof 15 months from the date of priority.

(c) The Patent Office publishes the Application in the
Official e-Journal ordinarily within one monthfrom the date of expiry of 18 months from the dateof filing or priority, whichever is earlier.
(d) In cases, where a secrecy direction has been given,

27

the Application is published, when the secrecy
direction is revoked subject to the expiry of the 18month period.
(e) No application will be published unless a power ofauthority, if applicable, is filed.
04.02

Section 11A(2)Early Publication(a) A request for early publication may be made in Form-9 Rule 24A
with the prescribed fee of Rs.2,500/- for natural person(s) Form-9
or Rs.10,000 for legal entity other than natural person(s).
(b) The request for early publication will be considered if it
does not pertain to subject matter relevant for defence oratomic energy.
(c) Where a request under (a) above is made, the application
is published within one month from the date of such
request.
04.03

Section 11A

Particulars of Publication
The official Patent Office Journal is published on every
Friday with the following particulars:i. Application number
ii. Date of filing
iii. Title of invention
iv. Publication datev. International Patent Classification
vi. Name and address of the applicant
vii. Name of the inventor(s)viii. Priority details like priority document number, date,country etc.
ix. Reference to Patent of Addition / Divisional
Application along with filing date of the parent
Application.
x. Abstract28

xi. No. of claimsxii. Drawings (if any)
04.04

Section 11A(6).

Effects of Publication(a) Uponpublication,

the

Patentofficemakes

the Rule 27,

Specification (complete as well as Provisional, if any), 55(1A).
and drawings filed in respect of the Application available
to the public on its website or on payment of theprescribed fee as given in the First Schedule if such arequest is filed.
(b) After publication of the Application for Patent thedepository institution will make the biological material
mentioned in the specification, available to the public.
(c) A patentee can claim damages from the date of
publication of his/her application. However, the patentee
can institute a suit for infringement only after a patent isgranted.
(d) The rights of patentee with respect to applications filed
under section 5(2) before 1st day of January, 2005 willaccrue from the date of grant of the patent. Further, insuch a case, after the grant of a patent, the patent-holder
shall only be entitled to receive reasonable royalty fromsuch enterprises which have made significant investment
and were producing and marketing the concerned productprior to 1st day of January, 2005 and which continue tomanufacture the product covered by the patent on the dateof grant of the patent and no infringement proceedings
shall be instituted against such enterprises.
(e) No patent shall be granted before the expiry of six months
from the date of Publication of the Application.

29

Chapter 05
Provisional and Complete Specification
05.01

Specification
In order to obtain a patent, an applicant must fully and particularly Section 9, 10.
describe the invention therein claimed in a complete specification. Rule 13.
The disclosure of the invention in a complete specification must be Form-1, 2
such that a person skilled in the art may be able to perform theinvention. This is possible only when an applicant discloses theinvention fully and particularly including the best method of
performing the invention. The Specification is a techno-legal
document containing full scientific details of the invention andclaims to the patent rights. The Specification, thus, forms a crucialpart of the Patent Application. It is mandatory on the part of an
applicant to disclose fully and particularly various features
constituting the invention. The Specification may be filed either as a
Provisional or as a complete Specification.
The Specification (provisional or complete) is to be submitted inForm-2 along with the Application in Form-1 and other documents,
in duplicate, along with the prescribed fee as given in the First
Schedule. The first page of the Form 2 shall contain:a) Title of the invention;b) Name, address and nationality of each of the applicants for
the Patent; andc) Preamble to the description.
The title of the invention shall sufficiently indicate the specificfeatures of the invention. Every Specification whether Provisional orcomplete shall describe the invention. The applicant shall submit
drawings, wherever required. The Controller may also require theapplicant to submit drawings, if necessary at the examination stage.
30

Such drawings shall form a part of the Specification and suitablereferences thereto shall be made in the Specification. The Controller
may require the applicant to submit, anytime before the grant,
models or samples related to the invention for better illustration of
the invention. However, such models or samples shall not form partof the Specification.
05.02

Section 9,

Provisional Specificationa) When the applicant finds that his invention has reached a 11A(3)(b)stage wherein it can be disclosed on paper, but has not
attained the final stage, he may prepare a disclosure of theinvention in the form of a written description and submit it toPatent Office as a Provisional Specification which describes
the invention.
b) A Provisional Specification secures a priority date for theapplication over any other application which is likely to be
filed in respect of the same invention being developed
concurrently.
c) Immediately on receiving the Provisional Specification the
Patent office accords a filing date and application number tothe Application.
d) An application accompanying a provisional specification isdeemed to be abandoned if no complete specification is filed
within twelve months from the date of filing of theprovisional specification. However, the applicant has an
option to post-date the provisional specification under
Section 17, before the expiry of twelve months from the dateof filing. Such request for post-dating shall not be allowed
after the expiry of twelve months from the date ofapplication. Such abandoned applications are not published.
Once abandoned for reasons mentioned above, no priority
can be claimed from such application, for any other31

application such as divisional application etc.
e) If two provisional specifications filed by an applicant are
cognate or if one is a modification of the other, the applicant
may file one complete specification covering both theprovisional applications. Such a complete specification shallhave to be filed within twelve months from the date of filingof the first provisional application. In such cases, date offiling of application is the date of filing of the earliest
provisional specification and shall bear the number of thatapplication.
f) An applicant may, within twelve months from the filing of acomplete specification (not being a convention application ora PCT National Phase Application), convert the same into a
provisional specification. Consequently, the applicant has tofile a complete specification within twelve months from thedate of first filing.
g) A provisional specification (i.e. the one filed directly or the
one converted from a complete specification) may be postdated to the date of filing of the complete Specification.
05.02.01

Provisional Specification – General
A Provisional Specification is not a rough draft or a skeleton of theComplete Specification. The Complete Specification, which follows
a Provisional Specification, does not replace the latter. Both arepermanent and separate documents and remain so in the file.

05.02.02

Contents of Provisional Specificationa) A Provisional Specification shall essentially contain the title
and description of the invention and shall start with apreamble ‗The following Specification describes theinvention.‘ Claims may not be included in the Provisional
Specification as the purpose of filing a Provisional
Specification is to claim a priority date.
32b) The description starts from the second page starting with thefield of invention and containing the background of theinvention, object of the invention and statement of theinvention.
c) It is advisable to include in the Provisional Specification as
much information as the applicant has at the time of filing.
d) It may be noted that a Provisional Specification cannot be
filed in case of a Divisional, Convention or a PCT National
Phase Application. In such cases, filing a Complete
Specification is a mandatory requirement.
05.03

Section 10

Complete Specification
The Complete Specification is a techno-legal document which fully
and particularly describes the invention and discloses the best
method of performing the invention.
As the Complete Specification is an extremely important documentin the patent proceedings it is advised that it should be drafted withutmost care without any ambiguity. The important elements of theComplete Specification are further discussed below.

05.03.01

Section 10(4)Complete Specification
Every complete specification shall:a) fully and particularly describe the invention and its
operation or use and the method by which it is performed;b) disclose the best method of performing the invention which
is known to the applicant for which he is entitled to claim
protection;c) end with a claim or set of claims defining the scope of theinvention for which the protection is claimed;d) make reference to deposit of the biological material in theinternational depository authority, if applicable; ande) be accompanied by an abstract.

05.03.02

SectionNational phase applications
33

In case of national phase applications, the title, description, 10(4A)
drawings, abstract and claims filed with the international application
are taken as a complete specification. (For further details of the PCT
National Phase Applications, please see Chapter 7)
05.03.03

Rule 13(7)(a)Title
The title should be sufficiently indicative of the subject matter of theinvention and shall disclose the specific features of the invention. It
need not be the same as the preamble of the main claim. It shall bebrief, free from fancy expressions or ambiguity and as precise anddefinite as possible, but it need not go into the details of theinvention itself and should not ordinarily exceed fifteen words.
The following are not permissible in the title:
Inventor‘s name, the word ‗Patent‘, words in other languages, theabbreviation ―etc‖, fancy words e.g.

―Washwell Soap‖,―Universal Rest Easy Patent Chair‖.
05.03.04

Field of the Invention and use of Invention
The description should preferably begin with a general statement of
the invention so as to indicate briefly the subject matter to which theinvention relates, e.g. “This invention relates to …………………”.
Thereafter, the advantages of the invention may be mentioned tobring out clearly the areas of application and preferable use of theinvention. The applicant may substantiate industrial applicability of
the invention in this part.

05.03.05

Prior Art and problem to be solved
This part should indicate the status of the technology in the field of
invention with reference to developments in the field, patents andpending patent applications in the specific art. When the invention
relates to an improvement on an existing product or process, a shortstatement of the closest prior art known to the applicant shall also begiven. However, the description should fully and particularly
describe the invention, by clearly distinguishing it from such a34

closest prior art, known to the applicant.
05.03.06

Objects of the Invention
The purpose of this part is to clearly bring out the necessity of theinvention. It shall clearly mention the technical problems associatedwith the existing technology and the solution for that, bringing out
the differences between the claimed invention and the prior art. The
solution sought by the invention should be clearly brought out asobject(s) of inventions with statements like ―It has already been
proposed ………………‖ followed by the objects which theinventions has in view e.g. ―The principal object of this invention is……………‖, ―Another object of this invention is ……………..‖,―A further object of this invention is ………….‖etc.

05.03.07

Summary of the Invention
The description should include a summary of invention before
giving the details of the invention and the method of performing it.
The statement should clearly set forth the distinguishing novel
features of the invention for which protection is desired. This partis intended to declare different aspects of the invention.

05.03.08

Detailed Description of the Inventiona) Description of an invention is required to be furnished in
sufficient detail so as to give a complete picture of theinvention and follows the Summary of invention. The natureof improvements or modifications effected with respect tothe prior art should be clearly and sufficiently described.
The details of invention described should be sufficient for a
person skilled in the art to perform the invention. It may
include examples / drawings or both for clearly describing
and ascertaining the nature of invention. Examples must be
included in the description, especially in the case ofchemical related inventions.
b) The details of invention described should enable a person
35skilled in the art to reduce the invention into practicewithout further experimentation.
c) Reference to the drawings should be specific and preferably
in the following form: ―This invention is illustrated in theaccompanying drawings, throughout which, like reference
numerals indicate corresponding parts in the various figures.
The Specification in respect of a Patent of Addition should
contain at the beginning of the description, a definite
statement indicating an improvement in or modification of,
the original invention, and the serial number of the
Application for Patent in respect of the original invention.
The Specifications should also contain a short statement of
the invention as disclosed in the earlier Specification.
d) Terms in other languages, if any, used in the description
should be accompanied by their English equivalents. The
use of vague slang,

words

and

colloquialisms

isobjectionable and shall be avoided.
e) When a biological material is described in the specification
and when such material is not available to the public andcannot be described adequately as per the provisions of theAct, such material shall be deposited in order to make theapplication complete. The deposit shall be made with theInternational Depository Authority under the Budapest
Treaty, on or before the date of filing. The International
Depository Authority in India is Microbial Type Culture
Collection and Gene Bank (MTCC) – Chandigarh.
http://ipindia.nic.in/ipr/patent/d_inst_456.pdf.
For further information on Microbial Type Culture
Collection and Gene Bank (MTCC) please visit –http://wdcm.nig.ac.jp/CCINFO/CCINFO.xml?773];
http://www.imtech.res.in/mtcc.]
36f) Reference to such biological material shall be made in theSpecification within three months from the date of filing,giving all the available characteristics of the material
required for it to be correctly identified or indicatedincluding the name, address of the depository institution andthe date and number of the deposit of the material at theinstitution.
g) Further, the source and geographical origin of the biologicalmaterial specified in the Specification shall also be
disclosed.
h) In the case of Biotechnology related inventions, relevant
numbers of the sequence listing shall be mentioned at
appropriate place in the specification.
i) Sequence listing should also be given in electronic form.
However, the fees with respect to the corresponding numberof pages should be paid.
j) Access to the material is available in the depository
institution only after the date of the application of patent inIndia.
05.03.09

Rule 15

Drawingsa) Drawings or sketches, which require a special illustration of
the invention, shall not appear in the description itself. Suchdrawings shall be on separate sheet(s).
b) Drawings shall be prepared neatly and clearly on durable
paper sheet.
c) Drawings shall be on standard A4 size sheets with a clear
margin of at least 4 cm on the top and left hand and 3 cm at
the bottom and right hand of every sheet.
d) Drawings shall be on a scale sufficiently large to show theinventions clearly and dimensions shall not be marked on
the drawings.
37e) Drawings shall be sequentially or systematically numberedand shall bear—i.

in the left hand top corner, the name of the applicant;ii.

in the right hand top corner, the number of the sheetsof drawings, and the consecutive number of each
sheet; andiii.

in the right hand bottom corner, the signature of theapplicant or his agent.

f) No descriptive matter shall appear on the drawings except in
the flow diagrams.
05.03.10

Rule 13(7)Abstracta) Every complete specification shall be accompanied by an
abstract to provide technical information on the invention.
The abstract shall commence with the title of the invention.
b) The abstract shall be so drafted that it constitutes anefficient instrument for the purposes of searching in theparticular technical field, in particular by making it possible
to assess whether there is a need to consult the specification
itself.
c) The abstract shall contain a concise summary of the matter
contained in the specification. The summary shall indicate
clearly the technical field to which the invention belongs,
technical problem to which the invention relates and thesolution to the problem through the invention and principal
use or uses of the invention. Where necessary, the abstract
shall contain the chemical formula, which characterizes theinvention.
d) The abstract may not contain more than one hundred andfifty words. If the specification contains any drawing, theapplicant shall indicate on the abstract the figure, or
exceptionally, the figures of the drawings which may
38accompany the abstract when published. Each main feature
mentioned in the abstract and illustrated by a drawing shallbe followed by the reference sign used in that drawing.
e) The Controller may amend the abstract for providing better
information to third parties.
05.03.11

Section 10

Best Method
The Act specifically requires that the complete specification mustdescribe the best method of performing the invention known to theapplicant, including that, which he may have acquired during theperiod of provisional protection prior to the date of filing thecomplete specification.

05.03.12

SectionClaimsClaims define the contours of rights, if and when a patent is granted 10(4)(c)for an invention. Hence, claims are the most critical part of a Patent
Application. In a complete specification the description is followed
by claims. Since, claims define the scope of legal protection, it issuggested that they should be drafted carefully to cover all the
aspects of the protection being sought at the same time adequately
distinguishing the prior art from the claimed invention.
05.03.13

Unity of invention and clarity of claimsa) Claim(s) of a Complete Specification shall relate to a single
invention, or to a group of inventions linked so as to form asingle inventive concept.
b) Claims shall be clear and succinct and fairly based on the matter
disclosed in the specification.

05.03.14

Significance of Claimsa) A claim is a statement of technical facts expressed in legal terms
defining the scope of the invention sought to be protected. No
exclusivity is obtained for any matter described in the Complete
Specification unless it is claimed in the claims.
b) What is not claimed in the ‗claims‘ stands disclaimed, and is
39

Section 10(5)open to public use, even if the matter is disclosed in thedescription. Claims define the boundaries of legal protection
sought by the patentee and form a protective fence around theinvention which is defined by the words and phrases in theclaims.
c) The claims shall define clearly the scope of the invention withconciseness, precision and accuracy, so that others may know
the exact boundary into which they should not trespass.
d) Each claim is evaluated on its own merit and, therefore, if one of
the claims is objected, it does not mean that the rest of theclaims are invalid. It is therefore important to make claims on all
aspects of the invention to ensure that the applicant gets thewidest possible protection.
05.03.15

Scope of claimsa) Claims must not be too broad to embrace more than what theapplicant has in fact invented. A Claim which is too broad may
encroach upon the subject matter which is in public domain or
belongs to others.
b) However, a claim may not be too narrow also because such a
Claim would not be sufficiently effective against potential
infringement. An infringer would go scot-free, if the claims
were too narrow and hence, the full benefit of the invention may
not accrue to the inventor.
c) Having many claims, where each claim has a different scope,allows the applicant to have a legal title to different aspects of
the invention. A good drafting may begin with broad claims anddevelops towards claims that are narrower in scope.
d) Terms of the claim which confuse the scope of the invention, or
claims that are not specific (e.g. Any novel matter) should be
avoided.
e) A claim shall be for the protection of either a product or process,40

as the case may be, and shall be in one sentence according to thestandard practice.
05.03.16

Structure of Claimsa) The description of invention in the complete specification is tobe followed by a ―statement of Claims‖ preceded by theprescribed preamble, ―I / We Claim‖ as the case may be.
b) Claims should start from a fresh page, after detailed descriptionof the invention and should be serially numbered.
c) Each claim should be in a single sentence and should be clearly
worded.
d) A claim should not be verbose.
e) There is no restriction as to the number of claims that can beincorporated in the specification. Applicant has to pay
additional fee, if total number of claims are more than ten.
f) Each claim should be fairly based on matter disclosed in thespecification. This means that all the characteristics of theinvention that form part of the Claims must be fully explainedin the description.
g) A claim should be clear in the sense that it should not cause thereader to speculate. For example, if words like ―thin‖, ―strong‖,―a major part‖, ―such as‖, ―when required‖ or ―any‖ are used,
the reader may make a subjective judgment unless such
expression follows some definite value.
h) A claim must be specific and not vague, ambiguous or
hypothetical in nature. Each claim should be complete so that itcovers the inventive feature and enough elements around it to
put the invention in the proper context.
i) In Addition, any term, which is used in the claim, must beeither found in the description or fairly inferred from thedescription.
j) Trade Marks are an indication of the origin rather than the41

composition or content of goods, and should not be used in
Patent Applications where a generic term can be used instead.
Trade Marks are only permitted in Claims where it can beshown that their use is unavoidable and does not introduce
ambiguity. Where Marks that are registered are mentioned, theyshould be acknowledged as such. If a Trade Mark is notregistered, its owner should be indicated.
k) A Claim usually consists of three parts:- Preamble,- Transitional phrase; and- Body.
l) The introductory phrase identifies the category of the invention
and sometimes the purpose (for example, a machine for waxing
paper, a composition for fertilizing soil).
m)The transition phrase may be words and phrases such as:- comprising of- including- consisting of- consisting essentially ofn) If the invention is an improvement on a product or a process
existing in the prior art, the invention should be distinguishedvery clearly by characterizing the claim with respect to the priorart. In such cases, the claim will have two parts separated by theword ‗characterized by‘ or ‗wherein‘. The part coming before‗characterized by‘ is the prior art while that comes after will be
the features of the invention. In the following example ―A data
input device‖ is the introductory phrase, ―comprising‖ is thetransition phrase, and the rest of the claim is the body:―A data input device comprising: an input surface
adapted to be locally exposed to a pressure or pressure force, asensor means disposed below the input surface for detecting the42position of the pressure or pressure force on the input surface
and for outputting an output signal representing said position
and; an evaluating means for evaluating the output signal of thesensor means.‖o) The first claim is always an independent claim also known as‗Principal Claim‘. It should clearly define the essential novel
features

of

the

most

preferredembodiment

of

the

process/product that constitutes the invention. The claim may
be properly characterized with respect to the ‗prior art‘,
defining all the technical features essential to the invention orinventive concept. The claim should bring out sufficient details
of interrelationship, operation or utility to establish that theinvention achieves the intended objectives.
p) There may be more than one independent claim in a single
application if the claims fall under a single inventive concept.
While there is no restriction as to the number of claims,
including independent claims, it is advisable to limit the numberof claims, as well as the number of independent claims in asingle application so that the claims are all of cognate character
and are linked so as to form a single inventive concept.
Inclusion of multiple independent claims directed at noncognate aspects of the claimed invention is not desirable. If
claims relate to a plurality of distinct inventions, it may beobjected on ground of lack of unity of invention.
q) A dependent claim derives antecedence from an independentclaim and reads into it the features of the independent claim andmay contain additional non-essential features and even theminute aspects and optional features. As for example:―A wrapper as claimed in Claim 1, wherein a narrow area of thetear tape, spaced from each edge of the tear-tape, is united to anarrow area of the wrapper defined on each side by a line of43perforations which are covered by the outer portions of the teartape, the perforations facilitating tearing of the wrapper toremove the portion bounded to the tear-tape.‖―A gramophone record according to Claim 1, wherein thepercentage of filler employed in the record is from 1 to 70 per
cent.‖―A tool according to Claim 1, wherein the means for guiding
the tool and facilitating the removal of the waste metal and themeans for preventing the distortion of the spindle comprise two
separate plates slidable and removable mounted on the spindle‖.
r) Further independent claims are justified where the single
inventive concept covers more than one category e.g. process,product, complementary versions within one category e.g. plugand socket, transmitter and receiver, which work only together.
s) Claims should not contain:i.

A claim which is unsearchable by reason of the number ofalternatives embraced, or the choice of characterizing
parameters.

ii.

Dependent Claims that are not fully limited by the termsof the preceding independent claim, e.g. dependent claims
which omit, modify or substitute a feature of an
independent claim.

t) The practice of including an omnibus claim does not have any
legal basis under the Patents Act. In fact, such a claim cannot beallowed as per Section 10(4)(c) of the Act. As such claims areunclear, vague and unsearchable, it is desirable to avoid
omnibus claims in a patent application.
05.04

SectionPriority of a claim

Each claim of a complete specification shall have a priority date. If 2(1)(w), 11
the complete specification is filed along with the application, thedate of filing of the application is the date of the priority of the44

claim(s) of the specification if the claim(s) are fairly based on thematter disclosed in the specification.
05.04.01

Section 9, 11

Generala) When a Complete Specification is filed pursuant to a
Provisional Specification, the priority date thereof shall be
the date of filing of the provisional application.
b) When a complete specification is filed based on two or more
provisional specifications which are cognate, the priority
dates for claims arising from each of the provisional
specifications will be the date of the respective provisional
specification.
c) When a complete specification is converted into a
provisional specification and a fresh complete specification
is filed thereafter, the priority date of claims shall be thedate of disclosure of the relevant specification in which theclaimed subject matter was first disclosed.
d) When a complete specification is filed after the provisional
specification, the Controller may on the request of theapplicant made any time before the grant, cancel theprovisional specification and post-date the provisional
specification to the date of complete specification.
e) If the Claim is fairly based on the matter disclosed partly in
one and partly in another such previous applicationaccompanying provisional specification, the priority date of
the claim shall be the date of the later filed Specification.
f) Where a complete specification based on a previously filed
application in India has been filed within twelve months
from the date of that application and the claim is fairly
based on the matter disclosed in the previously filed
application, the priority date of that claim shall be the dateof the previously filed application in which the matter was
45

first disclosed.
g) A claim in a complete specification of a patent shall not be
invalidated by the reason only of:a. the publication or use of the invention so far as
claimed in that claim on or after the priority date ofsuch claim; orb. the grant of another patent which claims theinvention, so far as claimed in the first mentioned
claim, in a claim of the same or a later priority date.
05.04.02

Section 11(4)Divisional application
In case of a Divisional Application, priority date of the claim(s) isthe date of filing of the first mentioned application.

05.04.03

Section 11(6),Convention application

The priority date of the claim(s) of a convention application is the 135
date of filing of the basic application filed in the convention
country.
05.04.04

Section 11(8)Effect of Priority Date of a Claim
The novelty of a claim is dependant on its date of priority. Nothing
published on or after the date of priority of a claim can be cited todestroy the novelty of that invention.

46

Chapter 6
Divisional Application and Patent of Addition
06.01

Divisional Application

06.01.01

GeneralSection 16(1)An applicant may, at any time before the grant of a patent, if he sodesires, or with a view to remedy the objection raised by theController on the ground that claims of a complete specification
relate to more than one invention, may divide the application andfile further application(s) in respect of invention(s) disclosed in theprovisional or complete specification already filed. Examination of
a divisional application is always done vis-à-vis the main
application. If two or more divisional applications are filed based ona main application, examination of the second or subsequentdivisional application shall be done vis-à-vis the main application,and the other divisional application(s), examined earlier, to avoid
double patenting. The whole patent family, in such cases, isavailable to the Examiner on the Official database.
The date of filing of a divisional application shall be the same asthat of the main application, from which it has been divided.
The term of patent for a divisional application shall be twenty years
from the date of filing of main application or international filingdate in case the application was divided out of National phaseapplication under PCT.
06.01.02

Section 16(3)Contents
The Divisional Application should be accompanied by a Complete
Specification. The Divisional Application(s) shall not include any
matter not in substance disclosed in the main application. The main
application and the Divisional Application(s) may be amended toensure that neither of the complete specifications includes a claim
47

for any matter claimed in the other.
06.01.03

Priority

Section 16,

The Divisional Application is treated as a substantive Application

Explanationand is accorded the date of filing of the main Application along

Section 11(4)with a separate application number.
The Claims of Divisional Application shall have the same priority
date as that of the main application. A divisional application shallbe examined vis-à-vis the first mentioned application (main orparent) so as to avoid claim overlap resulting in double patenting.
A divisional application is treated as a substantial application in thesense that:a) separate fee(s) is required to be paid;b) separate request for examination requires to be made;c) it can be prosecuted separately;d) it results in an independent patent.
06.01.04

Rule 4

Appropriate office
If a divisional application is filed in a jurisdiction other than that of
the main application, the Examination is done vis-à-vis the main
application.

06.01.05

Rule 13(2)Reference
The

Complete

Specificationaccompanying

theDivisional

Application shall contain a specific reference to the main
application number.
06.01.06

Section 16

Fee
For all purposes under the Patents Act, the Divisional Applicationis treated as a substantive application and, hence all fee applicable
to a patent application shall be payable.

06.02

Patent Of Addition

06.02.01

GeneralSection 54, 55a) When an applicant comes up with an improvement or
modification of the invention described or disclosed in main48

application for which he has already applied for or has obtained
a patent, the applicant may make an application for patent of
Addition.
b) An Application for a Patent of Addition shall be filed on thesame or subsequent date of filing of the Application for main
Patent.
c) A Patent of Addition shall be granted only after the grant of themain patent.
d) When a patentee holds two patents, it is possible to convert oneof the independent patents to a patent of addition of the other, if
the subject matter was an improvement in or modification to theother patented invention.
e) There is no need to pay separate renewal fee for the Patent of
Addition during the term of the main patent.
f)

A patent of addition expires along with the main patent.
However, if the main patent is revoked, the patent of addition
may be converted into an independent patent, if so requested by
the patentee.

g) Date of filing shall be the date on which the application forpatent of addition has been filed.
06.02.02

Section 56

Novelty and inventive step
An application for Patent of Addition cannot be challenged on the
ground of lack of inventive step with respect to the disclosure in
the main application or patent. But the disclosure in main
application or patent may be cited for novelty against theapplication for patent of addition.

06.02.03

Rule 13(3)Reference
The complete specification of application for patent of addition
shall include specific reference to the number of main patent or theapplication for main patent, as the case may be, and a definite
statement that the invention comprises an improvement in, or a49

modification of the invention claimed in the specification of themain patent, granted or applied for.

50

Chapter 07
Convention Application, International Application andNational Phase Application
07.01

Convention Application

07.01.01 Paris Convention and WTO Agreement

Section 133

1. This part is directed to applications for patents that enter
India through Paris Convention as well as PCT route.
2. Paris Convention of 1883 provides reciprocity in filing withright of priority. India became member of Paris Convention
in 1998.
3. India is also a member of WTO Agreement (1995).
4. India is also a member of Budapest Treaty on theInternational recognition of the deposit of micro-organism
for the purpose of patent procedure (1977) and provides amechanism for depositing biological material in theinternationally recognized depository authorities for the
purposes of supplementing the description of a Specification.
5. India is also a member of Patent Co-operation Treaty.
Section07.01.02 Convention Country

Any country, which is a signatory or party or a group of countries, 2(1)(d), 133,
union of countries or inter-governmental organizations which are 134
signatories or parties to an international, regional or bi-lateral treaty,
convention or arrangement to which India is also a signatory or party
and which affords to the applicants for patents in India or to citizens
of India similar privileges as are granted to their own citizens or
citizens to their member countries in respect of the grant of patents
and protection of patent rights shall be a convention country or
convention countries for the purposes of this Act.

51

At present, India is a member of WTO and a member country in the
Paris Convention and a contracting state to the PCT. Any country,
union of countries or inter-governmental organizations which are
members/contracting

states

to

the

above

convention/treaty/agreement are convention countries for the
purposes of the Act.
Section 135

07.01.03 Convention Applicationa) Where a person has made an Application for a Patent inrespect of an invention in a Convention country (basic
application), and that person or the legal representative orassignee of that person makes an application under this Act
for a patent within twelve months after the date on which thebasic application was made, the priority date of a claim of
the complete specification, being a claim based on matter
disclosed in the basic application, is the date of making of
the basic application. Where applications have been made forsimilar protection in respect of an invention in two or moreconvention countries, the period of twelve months referred toin this sub-section shall be reckoned from the date on which
the earlier or earliest of the said applications was made.
b) Where applications for protection have been made in one ormore convention countries in respect of two or moreinventions which are cognate or of which one is a
modification of another, a single convention application may
be made in respect of those inventions at any time withintwelve months from the date of the earliest of the said
applications for protection. However, the fee payable inrespect of such application shall be the same as if separate
applications have been made in respect of each of the said
inventions.

Section 136,

07.01.04 Documents to be submitted
52

Every convention application shall -138.

a) be accompanied by a complete specification;

Rule 121b) an abstract;c) specify the date on which and the convention country inwhich, the application for protection, or as the case may be,
the first of such applications was made; andd) state that no application for protection in respect of theinvention had been made in a convention country before thatdate by the applicant or by any person from whom hederives title.
e) a complete specification filed with a convention application
may include claims in respect of developments or, additions
to, the invention in respect of which the application forprotection was made in a Convention country.
f) If the Controller requires, a certified copy of the priority
document has to be filed within 3 months from the date ofcommunication by the Controller, of such requirement. If
the priority document is in a language other than English, averified English translation shall be submitted.
Section07.01.05 Multiple prioritiesa) When two or more applications for patents constituting one

135(2), 137invention have been made in one or more convention countries,
one application may be made within twelve months from thedate on which the earlier or earliest of those applications wasmade.
b) The priority date of a claim is the date on which the matter was
first disclosed in a patent application.
Section 136,

07.01.06 Other conditionsa) The term of patent of a convention application shall be twenty
years from the date of filing of the Application in India.
b) A Convention Application can be divided, and the divided
53

139

Application shall have the same priority date.
c) A Convention Application shall not be post-dated under subsection (1) of section 17 to a date later than the date on which
under the provisions of this Act the application could have been
made.
07.02

International Application under PCT

07.02.01 PCT International application by Indian applicant

Section 39

An Indian applicant can file a PCT International application in thefollowing manner:a) Filing in the Indian Patent Office acting as Receiving Office. In
such cases, it is advisable that the application be accompaniedby permission for foreign filing granted u/s 39 by the Controller.
If such permission is sought along with the application, there isa probability that the permission may be deferred and theapplication may be referred to DRDO / Department of Atomic
Energy for their directions.
b) Filing directly in the International Bureau of WIPO after taking
permission u/s 39 from the Indian Patent Office.
c) After filing a patent application in India, anytime before theexpiry of 12 months from the date of filing, file an internationalin IB of WIPO or in Indian Patent Office as Receiving Office.
However, if the international filing is within 6 weeks from thedate of filing in India, such filing shall be made after taking
permission u/s 39 from the Indian Patent Office.
07.02.02 Indian Patent Office as Receiving OfficeSectiona) An international patent application can be filed in Indian Patent2(1)(ia),

Office as a Receiving Office, in request form (PCT / RO / 101)

7(1A), 39

in triplicate, which can be obtained free of charge from the

PCT/RO/101

Receiving Office or from the International Bureau of WIPO or
can be downloaded from WIPO website.
b) In this case, the applicant shall make request for permission
54under Section 39. After the grant of such permission, the Indian
Patent Office shall transmit the patent application to the IB.
Applicant has to pay the prescribed transmittal fee in addition to
the International Application fee and search fee.
International Bureau as Receiving Office
An international patent application can be directly filed in IB
along with the prescribed fee, in request form (PCT / RO / 101),in duplicate. Permission u/s 39 is required for filing directly in
IB. Such an application may also be filed electronically.
After filing a patent application in Indiaa) An international patent application can be filed within twelve
months from the filing of patent application in India, in the
Indian Patent Office, as a Receiving Office. However, if such an
application is filed before the expiry of 6 weeks from the date offiling in India, permission u/s 39 is required. Applicant has topay the prescribed transmittal fee in addition to the International
Application fee and search fee.
b) An applicant has another option to file an International
Application within twelve months from the filing of patentapplication in India, directly in IB, claiming the priority of thepreviously filed Indian Patent Application along with theprescribed application fee. A certified copy of the Indian Patent
Application may be filed with the International application
within sixteen months from the date of priority.
07.02.03 Requirements of PCT International Applicationa) The International Application should contain a request, aSection102(h), 208,

description, one or more claims, one or more drawings (where

801 ofrequired) and an abstract. It should comply with the prescribed

Administrative

physical requirements, should be in one of the prescribed

Instructions

languages, and the required fee should be paid.

under theb) The request may also be presented as a computer printout as
55

PCT.

prescribed by Section 102(h) of the Administrative Instructions

Rule 5.2,

under PCT or, alternatively, as a computer printout prepared12.1(a), 13 ofusing the PCT-EASY software, in which case it must be

Regulations

accompanied by a computer disk containing a copy of the data

under theas contained in the request in electronic form and copy of the

PCT.

abstract.

PCTc) The request should contain a petition, i.e., a request that theInternational Application be processed according to the PCT.
d) It should further contain the title of the invention with necessary

Applicant‘s
Guide(International

data concerning the applicant, the inventor and the agent

Phase,

representing the applicant. It must be signed by the applicant or

National

his agent. Declaration of inventorship should be signed by thePhase).

inventor(s) / the applicants in convention country, as applicable,
and not by the agent. Where there are two or more applicants,
each applicant should sign at his choice either the request or, if
the request is signed by an agent, a separate power of attorney.
The request should also contain details of priority (whereapplicable) and an indication of competent International
Searching Authority. Following are the competent International
Searching Authorities for an Indian Applicant:i.

Austrian Patent Office (AT)ii.

Australian Patent Office (AU)iii.

European Patent Office (EP)iv.

China Intellectual Property Office (CN)v.

United States Patent & Trademark Office (US)vi.

Swedish Patent Office (SE)e) The request may contain some optional indications, inparticular, a priority claim according to the Paris Convention for
the Protection of Industrial Property.
f) A certified copy of the priority document is required for eachpriority claimed in the application and the same is to be56

furnished within 16 months from the priority date. The copies
for the designated offices are prepared by the International
Bureau at no additional cost to the applicant.
g) It is important to note that International Application filed under
new Section 801 (administrative section of PCT) may only be
filed with Receiving Offices, which are prepared to accept them,and on such electronic media specified by the Receiving Offices(for further details please see PCT Applicant‘s Guide).
h) Language of International Application must be one, which the
Receiving Office accepts for that purpose (Rule 12.1(a) ofRegulations under the PCT). If Application is filed in any
Receiving Office in India it has to be either in English or Hindi.
However, an application in Hindi shall be accompanied by aduly verified English translation.
i) Neither the Treaty nor the Regulations enumerate the languages
in which International Applications may be filed. Whether agiven language can be used depends on the readiness of theReceiving Office to accept International Applications in that
language. Each Receiving Office must, however, accept at least
one language for the filing of International Applications, which
is both a language accepted by at least one International
Searching Authority, competent for the International searchingof International Applications filed with that Receiving Officeand one of the language of Publication (i.e. Chinese, English,
French, German, Japanese, Spanish, Russian or Arabic). In
other words, either the International Application in its original
language or the translation will be sufficient for the processing
by the Receiving Office, for International search and forInternational publication.
j) The request must always be filed in a language that is acceptedby the Receiving Office and which is also one of the eight57

languages of publication.
k) Claims: The Claims must define the subject matter of theinvention for which protection is sought. They must be clear andconcise and fully supported by the description.
l) With respect to the structure and drafting of Claims, the PCT
requirements are largely similar to what is accepted in mostPatent Offices.
m) Drawings: The drawings are only required where they arenecessary for the understanding of the invention. This will be
the case for example for an engineering type of invention. It will
not be the case when an invention cannot be drawn, as is thecase for a chemical product. Here again, the requirements are
similar to those of most Patent Offices.
n) Abstract: The abstract is intended to serve the purpose oftechnical information. The Treaty says clearly that it cannot betaken into account for any other purpose. This means inparticular that it cannot be used for the purpose of interpretingthe scope of the protection sought.
o) The abstract consists of a concise summary of the disclosure of
the invention as contained in the description, Claims anddrawings in preferably within 50 to 150 words. It must be
drafted in a way, which allows the clear understanding of thetechnical problem, the gist of the solution of that problem
through the invention, and the principal use of the invention.
p) Sequence Listing: PCT allows a Designated Office to requirethat a copy of a sequence listing be filed only on an electronic
medium.
q) For the applicants who do not wish to file the sequence listing
part of their International Applications under new Section 801(administrative section of PCT), the current provisions willcontinue to apply, including the filing in written form only58

(under Rule 5.2) and the concurrent or subsequent furnishing, as
provided under PCT Rule 13 and Section 208, of the sequencelisting parts in computer readable form but only for the purposesof International search and / or International preliminary
examination. In such cases the current system for calculating thebasis fee, on the basis for the total number of sheets of theInternational Application including the sequence listing part,will continue to apply.
r) Guidelines for preparing/drafting an International patentapplication are provided in PCT Applicant‘s Guide.
07.02.04 Functions of Indian Patent Office as Receiving Office
1. Patent Office receives the PCT International Application Section 35.
from the applicant or from his authorized Agent.

Article 3, 4,

2. The Office accords the date of receipt of international 11, 14 of PCT.
application as the international filing date, provided that the PCT
Office has found that, at the time of receipt:i.

Receiving

The applicant does not obviously lack, for reasons of Officeresidence or nationality, the right to file an Guidelines
international application with the Office.

ii.

The international application is in the prescribedlanguage.

iii.

The international application contains at least thefollowing elements:-

an indication that it is intended as an international
application,-

the designation of at least one contracting state,-

the name of applicant, as prescribed,-

a part which on the face of it appears to be adescription, a part which on the face of it appears to
be claim(s).

3. (a) If the Office finds that the international application did
59

not, at the time of receipt, fulfill the requirement listed inpara 2 above, the Office, as provided in the regulations,invites the applicant to file the required correction.
(b) If the applicant complies with the invitation, as provided
in the regulations, the Office accords the date of receipt of
the required correction as the international filing date.
4. (a) Then the Office checks whether the International
Application contains any of the following defects:i.

it is not signed as provided in the regulations,ii.

it does not contain the prescribed indications
concerning the applicant,iii.

it does not contain a title,iv.

it does not contain an abstract,v.

it does not comply to the extent provided in theregulations with the prescribed physical requirements.

(b) If the Office finds any of the above defects, it invites theapplicant to correct the international application as soon as
possible, ordinarily within one month from the date offiling, giving a time limit of two months for correction. If
the applicant fails to make correction within the prescribedtime limit of two months or the time limit as extended by
the Office, the application shall be considered withdrawn
and the Office declares so.
(c) If the international application refers to drawings which,in fact, are not included in that application, the Office
notifies the applicant accordingly and if the applicant
furnishes the same within two months or within the time
limit as may be extended by the Office, the international
filing date shall be the date on which the drawings arereceived by the Office. Otherwise, any reference to the saiddrawings shall be considered non-existent.
60

(d) If the Office finds that within the prescribed time limits
the fee prescribed under Art.3(4)(iv) has not been paid, orno fee prescribed under Art.4(2) has been paid in respect of
any of the designated states, the international application
shall be considered to be withdrawn and the Office declaresso.
(e) If the Office finds that fee prescribed under Art.4(2) has
been paid in respect of one or more (but less than all)designated states within the prescribed time limit, thedesignation of those states in respect of which it has notbeen paid within the prescribed time limit shall beconsidered and the Office declares so.
(f) If, after having accorded an international filing date to
the international application, the Office finds, within theprescribed time limit, that any of the requirement listed in2(i to iii) above, was not complied with at that date, theapplication shall be considered as withdrawn and the Officedeclares so.
5. If the language of filing of the International Application is
the one acceptable to the Office but not acceptable by theInternational Searching Authority to carry out International
search, the applicant is required to furnish, within one monthfrom the filing date of the Application, the translation into alanguage among the following:-a language accepted by the International Searching
Authority to carry out International search;-a language of publication by IB (Arabic, Chinese,
English,French,German,Japanese,

Korean,Portuguese, Russian or Spanish)
6. In cases, where the applicant fails to furnish, within theapplicable time limit, a translation for the purpose of61

International search, the Office invites the applicant tofurnish the missing translation. Where the applicant does not
furnish the missing translation within the time limit fixed in
the invitation, the International Application will beconsidered withdrawn and the Office declares so.
7. Not all the requirements of the International Application are
required to be examined by the Office. For instance, theOffice does not deal with substantive questions such as,
whether the disclosure of the invention in the Application is
sufficient and whether the requirement of unity of invention
is complied with. It also does not check all the many detailed
physical requirements of the International Application.
8. Those requirements are only checked to the extent thatcompliance with such requirements is necessary for the
purpose of reasonably informed International publication.
9. Typical examples of defects, which may be corrected without
affecting the International filing date, are:-Non-payment or partial payment of fees;-

Lack of signature in the request;-

Lack of a title of the invention;-

Lack of an abstract;-

Physical defects.

However, in all such cases, non-correction within theprescribed time limit may lead to the Application being
considered withdrawn as mentioned in the foregoingparagraphs.
10. All the actions as regards to non compliance of therequirements of the International PCT application are subject
to strict observance by the Patent Office of the PCT
Receiving Office Guidelines.
11. The Office then transmits the “record copy” of the62International Application to the International Bureau and the“search copy‖ to the International Searching Authority. The
Office keeps a third copy, the “home copy‖. The transmittals
do not take place if, and as long as, national prescriptions
concerning national security apply and the provisions ofSection 35 follow.
12. The Office then mails the record copy promptly to theInternational Bureau and in any case not later than five days
prior to the expiration of the 13th month from the priority
date.
13. The search copy must be transmitted by the Office to theInternational Searching Authority at the time of transmittal of
the record copy to the International Bureau except, where thesearch fees has not been paid on time, in which case, thetransmittal of search copy takes place after that fees has been
paid.
07.02.05 PCT Fee (may vary from time to time)

Rule 16bis of

1. All PCT fees are subject to change periodically. For latest Regulations
fees, please refer the latest PCT newsletter at URL under the
PCT.

www.wipo.int.
2. Transmittal fee: as given in the First Schedule.
3. Failure to pay fees or underpayment of fees can be correctedunder PCT rule 16 bis. An invitation to pay missing fees will
be issued by the Receiving Office. Payment can be madewithin a month from International filing date or later with alate payment fee.
4. An Indian applicant, for filing an International Application
under Patent Cooperation Treaty, is required to remit theconsolidated amount towards International filing fee andsearch fee in US Dollar by Demand Draft, payable to theController of Patents at State Bank of India, New York63

Branch. Transmittal Fee payable to the Indian Patent Officeshall be paid in INR to the Controller of Patents, preferably
along with the application but not later than one month fromthe date of receipt of the International Application.
Article 15, 16,

07.02.06 International Search

1. International Search report is established by the International 17, 18, 19 of
Searching Authority designated by the applicant in PCT.
International Application. The International Searching
Authority provides a written opinion on patentability alongwith the International Search Report.
2. If the International Application did not claim priority of apreviously filed Indian Patent Application, the International
search report is normally available within nine months fromthe International filing date. If priority is claimed, that reportis available usually by the 16th month from the priority date.
Even where priority is claimed, the International search
report is normally available in time before publication of theInternational Application. This allows time for the applicant
to withdraw the Application before publication, if desired.
3. On receipt of the International Search Report the applicant
may amend the Claims (under Article 19) in light of theInternational Search Report with effect in all designatedStates. The time limit referred to in Article 19 is two months
from the date of transmittal of the international search reportto the International Bureau and to the applicant by theInternational Searching Authority, or 16 months from thepriority date, whichever time limit expires later. However,any amendment made under Article 19 which is received by
the International Bureau after the expiration of the applicabletime limit is considered to have been received by the Bureau
on the last day of the time limit if it reaches before the64technical preparations for international publication have been
completed.
4. Such amendments save costs for preparation of different setsof amendments and for local Agents filing such amendments
before Designated Offices.
5. Indian Patent Office has been recognized as an International
Searching Authority (ISA) and an International Preliminary
Examining Authority (IPEA) at the meeting of the General
Assemblies of WIPO held in September – October, 2007.
6. Once the Indian Patent Office commences operation as an
ISA and an IPEA, the International search and examination
reports of the International Applications filed in the Patent
Office will be issued by the Office.
07.02.07 Withdrawals in International Application
Article 8(1),Withdrawal of Application

1. The applicant may withdraw the international application at 20(1),any time prior to the expiration of 30 months from the 21(2)(a),priority date.

23(2), 39(1),2. Withdrawal shall be effective on receipt of a notice addressed 40(2) of PCT.
by the applicant, at his option, to the International Bureau, to Rule 4.15(b),the Receiving Office or, where Article 39(1) applies, to the 45bis.8,
International Preliminary Examining Authority.

53.8(b), 90bis,

3. No international publication of the international application 90.2(b) ofshall be effected if the notice of withdrawal sent by the Regulations
applicant or transmitted by the Receiving Office or the under theInternational Preliminary Examining Authority reaches the PCT.
International Bureau before the technical preparations forinternational publication have been completed.
Withdrawal of Designations
1. The applicant may withdraw the designation of any
designated State at any time prior to the expiration of 30
65months from the priority date. Withdrawal of the designationof a State which has been elected shall entail withdrawal of
the corresponding election under Rule 90bis.4.
2. Where a State has been designated for the purpose ofobtaining both, a national patent and a regional patent,
withdrawal of the designation of that State shall be taken tomean withdrawal of only the designation for the purpose ofobtaining a national patent, except where otherwise
indicated.
3. Withdrawal of the designations of all designated States shallbe treated as withdrawal of the international application
under Rule 90bis.1.
4. Withdrawal shall be effective on receipt of a notice addressedby the applicant, at his option, to the International Bureau, tothe Receiving Office or, where Article 39(1) applies, to theInternational Preliminary Examining Authority.
5. No international publication of the designation shall beeffected if the notice of withdrawal sent by the applicant ortransmitted by the Receiving Office or the International
Preliminary Examining Authority reaches the International
Bureau before the technical preparations for international
publication have been completed.
Withdrawal of Priority Claims
1. The applicant may withdraw a priority claim, made in theinternational application under Article 8(1), at any time prior
to the expiration of 30 months from the priority date.
2. Where the international application contains more than one
priority claim, the applicant may exercise the right provided
for in paragraph (a) of PCT Rule 90bis3 in respect of one ormore of the priority claims.
3. Withdrawal shall be effective on receipt of a notice addressed66

by the applicant, at his option, to the International Bureau, tothe Receiving Office or, where Article 39(1) applies, to theInternational Preliminary Examining Authority.
4. Where the withdrawal of a priority claim causes a change inthe priority date, any time limit which is computed from theoriginal priority date and which has not already expired shall,subject to paragraph (e) of PCT Rule 90bis3, be computedfrom the priority date resulting from that change.
5. In the case of the time limit referred to in Article 21(2)(a),the International Bureau may nevertheless proceed with theinternational publication on the basis of the said time limit ascomputed from the original priority date if the notice of
withdrawal sent by the applicant or transmitted by the
Receiving Office or the International Preliminary Examining
Authority reaches the International Bureau after thecompletion of the technical preparations for international
publication.
Withdrawal of Supplementary Search Request
1. The applicant may withdraw a supplementary search request
at any time prior to the date of transmittal to the applicant
and to the International Bureau, under Rule 45bis.8(a), of the
Supplementary International Search Report or the declarationthat no such report will be established.
2. Withdrawal shall be effective on receipt, within the time
limit under paragraph (a) of PCT Rule 90bis.3bis, of a noticeaddressed by the applicant, at his option, to the Authority
specified for supplementary search or to the International
Bureau, provided that, where the notice does not reach the
Authority specified for supplementary search in sufficient
time to prevent the transmittal of the report or declarationreferred to in paragraph (a) of PCT Rule 90bis.3bis, the67communication of that report or declaration under Article
20(1), as applicable by virtue of Rule 45bis.8(b), shallnevertheless be effected.
Withdrawal of the Demand, or of Elections
1. The applicant may withdraw the demand or any or all
elections at any time prior to the expiration of 30 months
from the priority date.
2. Withdrawal shall be effective upon receipt of a noticeaddressed by the applicant to the International Bureau.
3. If the notice of withdrawal is submitted by the applicant to
the International Preliminary Examining Authority, that
Authority shall mark the date of receipt on the notice andtransmit it promptly to the International Bureau. The notice
shall be considered to have been submitted to theInternational Bureau on the date marked.
Signature
1. Any notice of withdrawal referred to in Rules 90bis.1 to90bis.4 shall, subject to paragraph (b) of PCT Rule 90bis.5,
be signed by the applicant or, if there are two or more
applicants, by all of them. An applicant who is considered tobe the common representative under Rule 90.2(b) shall,subject to paragraph (b), not be entitled to sign such a noticeon behalf of the other applicants.
2. Where two or more applicants file an international
application which designates a State whose national law
requires that national applications be filed by the inventor
and where an applicant for that designated State who is aninventor could not be found or reached after diligent effort, a
notice of withdrawal referred to in Rules 90bis.1 to 90bis.4
need not be signed by that applicant (―the applicant
concerned‖) if it is signed by at least one applicant and68

i. a statement is furnished explaining, to the satisfaction of
the Receiving Office, the International Bureau, the Authority
carrying out the supplementary international search or theInternational Preliminary Examining Authority, as the casemay be, the lack of signature of the applicant concerned, orii. in the case of a notice of withdrawal referred to in Rule
90bis.1(b), 90bis.2(d), 90bis.3(c) or 90bis.3bis(b), theapplicant concerned did not sign the request but therequirements of Rule 4.15(b) were complied with, oriii. in the case of a notice of withdrawal referred to in Rule
90bis.4(b), the applicant concerned did not sign the demand
but the requirements of Rule 53.8(b) were complied with.
Effect of Withdrawal
1. Withdrawal under Rule 90bis of the international application,
any designation, any priority claim, the demand or any
election shall have no effect in any designated or elected
Office where the processing or examination of theinternational application has already started under Article
23(2) or Article 40(2).
2. Where the international application is withdrawn under Rule
90bis.1, the international processing of the international
application shall be discontinued.
3. Where a supplementary search request is withdrawn under
Rule 90bis.3bis, the supplementary international search by
the Authority concerned shall be discontinued.
4. Where the demand or all elections are withdrawn under Rule
90bis.4, the processing of the international application by theInternational Preliminary Examining Authority shall be
discontinued.
07.02.08 International Preliminary Examination
Article 33, 34,

Significance69

1. International Preliminary Examination is useful in many 35, 17(2)ways. It is optional for the applicant and provides, in addition
to the International Search Report, a second opinion on theusual criteria of patentability before expenses are incurred forthe national phase (for translation, fees and foreign Agentsetc.).
2. Helps the applicant to adapt the International Application inaccordance with the results of the International Search
Report;3. If the report is negative, the applicant may decide to abandon
the Application. However, the opinions from ISA & IPEA
are non-binding on the member countries.
International Preliminary Examining Authorities
For an Indian Applicant, the following are competent International
Preliminary Examining Authorities (IPEAs):
1. Austrian Patent Office (AT)
2. Australian Patent Office (AU)
3. European Patent Office (EP) (Only if ISA was AT, EP or SE)
4. China Intellectual Property Office (CN)
5. United States Patent & Trademark Office (US)
6. Swedish Patent Office (SE)Demand for International Preliminary Examination
1. The demand for international preliminary examination shallbe made separately from the international application.
2. The demand for international preliminary examination may
be made to the Indian Patent Office, International Bureau or
to any of the six competent International Preliminary
Examining Authorities mentioned above.
3. The demand shall contain the prescribed particulars and shallbe in the prescribed language and form.
4. The demand shall be subject to the payment of the prescribed70

fees within the prescribed time limit.
5. The demand for International Preliminary Examination has tobe made:a. Within 22 months from the date of priority, orb. Within 3 months from the date of transmittal ofInternational Search Report and written opinion to theapplicant or the declaration under Article 17(2),whichever is later.
6. The fees to be paid by the applicant is given in the PCT
Newsletter which is available on the WIPO website,www.wipo.int.
07.03

PCT National Phase Application
Article 22, 23

07.03.01 General

1. The national phase follows the international phase. It is of PCT.
necessary for an applicant to file a national phase applicationin each designated country, where protection is sought for,within the time prescribed under PCT, i.e., within 30 months
from the priority date. However, this time limit may be
increased through National Laws by each member Country.
Indian Patent Law provides a time limit of 31 months fromthe priority date. Some countries allow extension of suchtime limit on payment of additional fee.
2. For making a national phase application before a DesignatedOffice, the applicant shall:a. pay the prescribed national fee; andb. file a duly verified translation of the basic application,
if necessary.
3. International filing date is the deemed date of filing in India
if the applicant enters the national phase in India by filing a
National Phase Application within thirty one months fromthe date of priority.
714. The international filing allows the preservation of priority
from the date of filing of first application in the convention
country.
5. This is a simple and economical procedure for the applicantsseeking protection for their invention in many countries.
6. After the International Application is filed, the applicant
gets an International Search Report (ISR) and a written
opinion on the patentability of the subject matter. The
applicant may file a demand for an International Preliminary
Examination. The applicant, then, may decide to enter anational phase.
07.03.02 Basic Requirements to enter National Phase in India

Section 7,

1. A PCT National Phase Application is considered as a 10(4A),
Convention Application under Section 135 of which the 135, 138(4).
filing date is the date of International Application.

Rule 20, 21.

2. The applicant has to file the National Phase Application Form-6, 13,
within 31 months from the priority date or International 18.
Application date, whichever is earlier.

Rule 17.1 (a or

3. The jurisdiction of filing is the same as that of the ordinary b) of PCT
Application. Address for service in India shall be filed.
4. Where the International Application has not been filed or
published in one of the official languages (Hindi or English),a translation of the application, description, claims (ifamended, both as originally filed and amended together withany statement), drawings, if any, and abstract should besubmitted along with the Application.
5. For the National Phase Application, the title, description,
drawings, abstract and claims as filed with the International
Application under PCT shall be taken as the Complete
Specification. However, if the applicant has amended theComplete Specification under Chapter-I and/or Chapter-II of72

Regulations.

the PCT, such amended specification shall be taken as theComplete Specification for the purpose of filing in India. The
applicant may make a request to the Controller for
amendment of the complete specification which was filedwith the National Phase Application, as a separate request in
Form-13, along with the application. The fee payable inrespect of a National Phase Application is calculated as per
the number of pages and claims as they stand in the PCTApplication on the date of filing in India. Section 138(4) readwith Rule 7(2)(c) mandates that the applicant shall pay thewhole fee along with the application, based on such PCTInternational Application.
6. If the applicant makes an amendment for an International
Application before ISA and/or IPEA, it shall, if the applicant
so desires, be taken as an amendment before the Patent
Office.
7. In case of a change in name of an applicant, if the change has
occurred after the international filing date and has not beenreflected in a notification from the International Bureau(Form PCT/IB/306), the change may be effected by filing
Form 6 and/or Form 13.
8. If PCT/IB/304 is available on the website of WIPO, thePatent Office shall not require the applicant to submit thepriority document. If not available on the website of WIPO,
the Office may request for the same from the International
Bureau.
9. However, if the applicant has not complied with therequirements of rule 17.1 paragraph [a or b] of theregulations made under the PCT, he shall submit the priority
document to the office before the expiry of thirty one months
from the date of priority.
7310. Where the applicant does not comply with the requirementsof (9) above, the Controller shall invite the applicant to filethe priority document or the translation thereof within threemonths from the date of such invitation. If the applicant fails
to do so, the claim of the applicant for the priority shall be
disregarded for the purposes of the Act.
11. All other formalities that are required for filing andprocessing an ordinary patent application shall apply to a
National Phase Application.
12. Processing of a national phase Application will notcommence before the expiry of 31 months from the date ofpriority. However, the applicant may file an express request
for processing before 31 months, in Form 18.

74

Chapter 08
Examination & Grant
08.01

Section 11B,

Request for Examination
1. An Application for a Patent will not be examined

35.

unless the applicant or any other person interested

Rule 24B.

makes a request for examination. The request is to be

Form-18.

filed in Form 18 with the fee as prescribed in FirstFirst

Schedule.

Schedule.

2. A request for examination has to be made within fortyeight months from the date of priority of theapplication or from the date of filing of theapplication, whichever is earlier. If no such request
for examination is filed within the prescribed time
limit, the application shall be treated as withdrawn by
the applicant.
3. In a case where secrecy direction has been issued under
Section 35, the request for examination may be madewithin six months from the date of revocation of thesecrecy direction, or within forty-eight months fromthe date of filing or priority, which ever is later.
4. The Office will not examine an application unless it ispublished and a request for examination is filed.
5. When a request for examination is filed by a person
interested other than the applicant, the Examination
Report is sent to the applicant only, and intimation is
given to the person interested.
08.02

Section 11A,

Reference for Examination
1. Once a request for examination is received, and theapplication is published under section 11A, the75

12.
Rule 24B(2)(i).

application is taken up for Examination in thechronological order of filing of request for
examination.
2. The patent application is referred to an Examiner by
the Controller for conducting the formal as well as
substantive examination as per the subject matter of theinvention vis-à-vis the area of specialization of the
Examiner. At present, the Patent Office has four
examination groups based on the broad area ofspecialization viz.:a. Chemistry and allied subjects.
b. Biotechnology, Microbiology and allied
subjects.
c. Electrical, Electronics & related subject
d. Mechanical and other subjects.
The reference to the Examiner is made ordinarily
within one month from the date of publication or one
month from the date of request for examination,
whichever is later, and is made in order in which therequest is filed.
3. When an application is referred by the Controller, theExaminer makes a report on the patentabilility as wellas other matters ordinarily within one month but notexceeding three months from the date of suchreference.
08.03

Examination of application

08.03.01

Search for anticipation by previous publication and priorclaiming.
1. The examiner conducts a search in the Indian Patent
Database, starting from 1.1.1912, and all the patent
databases of other countries such as: EPO database,76

Section 13

WIPO database, USPTO database, JPO DATABASE,TKDL (Traditional Knowledge Digital Library) andother paid databases. In addition to the above, PCT
Minimum required patent and non-patent literature issearched. The search is conducted to find out any
publication which may anticipate the claimed subject
matter. Another objective of the search is to ascertain
whether an invention as claimed in any claims of thecomplete specification has been claimed in any claimof any other complete specification, filed in India,
which has been published on or after the date of filingof the applicant‘s complete specification.
2. The search is conducted with respect to the date offiling of complete specification.
3. The examiner records in his noting, the following
items:
a. International classification.
b. Search strategy adopted.
c. Key word(s) used.
d. Databases consulted for both Patent and non Patent
literature.
e. List of search queries.
f. Prior art findings and analysis regarding thepatentability.
g. Limitation on search if any, such as non clarity ofclaims or multiplicity of inventions or any otherreason due to which a reasonable search cannot be
conducted.
08.03.02

Section 2(1)(j),Noveltya) An invention is considered as new if it is not
anticipated by prior publication, prior use or prior
77

13, 29, 30, 31,
32, 33, 34

public knowledge. An invention is new (novel) if it has
not been disclosed in the prior art, where the prior art
means everything that has been published, presented orotherwise disclosed to the public before the date offiling of complete specification.
b) For the purpose of determining novelty, an application
for Patent filed at the Indian Patent Office before thedate of filing of complete specification of a later filed
application but published after the same is considered
for the purposes of prior claiming.
c) While ascertaining novelty, the Examiner takes into
consideration, inter alia, the following documents:

which have been published before the date offiling of complete specification.

such Indian Patent Applications which have been
filed before the date of filing of complete
specification and published on or after the date offiling of the complete specification, but claims thesame subject matter.



also the Examiner may consider such documents
which have been published before in a transactionof a learned society or exhibited before in an
authorized manner as designated by theGovernment within one year from the date of such
filing.

d) A prior art will be considered as anticipatory if all thefeatures of the invention under examination arepresent in the cited prior art.
e) The prior art should disclose the invention either in
explicit or implicit manner.
f) Mosaicing of prior art documents is not followed in78the determination of novelty.
g) A generic disclosure in the prior art may notnecessarily take away the novelty of a specificdisclosure. For instance, a metal spring may not takeaway the novelty of a copper spring.
h) A specific disclosure in the prior art takes away thenovelty of a generic disclosure. For instance, a copper
spring takes away the novelty of a metal spring.
i) In a case where a prior art is cited as an anticipationin the Examination Report, which is not deemed to be
an anticipation by reason on Section 29-34, the onusof proving is on the applicant.
08.03.03

Inventive step

08.03.03.01

General principle

Section 2(1)(j),Inventive step is a feature of an invention that involves a2(1)(ja)technical advancement compared to the existing knowledge or
having economic significance or both and that makes theinvention not obvious to a person skilled in the art. An
invention is patentable only if it involves one or moreinventive step. In relation to the determination of patentability,
an Examiner first conducts an enquiry as to the novelty of theclaimed invention and then proceeds to conduct an enquiry on
whether the claimed invention involves one or more inventive
step.
08.03.03.02

Determination of inventive stepa) For determination of inventive step, all or any of theprior art(s) revealed during the search process toperform an enquiry as to whether such prior art(s)disclose(s) the claimed invention, are relied upon.
b) Publications existing on the date of filing of complete
specification would be considered as a prior art.
79c) However, Indian Applications filed before but
published on or after the date of filing of complete
specification of the instant application are considered
as a prior claiming.
d) Invention as a whole shall be considered. In otherwords, it is not sufficient to draw the conclusion that aclaimed invention is obvious merely because
individual parts of the claim taken separately are
known or might be found to be obvious.
e) If an invention lies merely in verifying the previous
predictions, without substantially adding anything fortechnical advancement or economic significance in theart, the inventive step is lacking.
f) For the purpose of establishing obviousness of theinvention, citing a mosaic of prior arts is permissible,
provided such prior art is enabling.
g) If the invention is predictable based on the available
prior art, merely requiring workshop improvement by
a person skilled in the art, the inventive step is lacking.
08.03.04

SectionIndustrial Applicability
1. In order for an invention to be patentable, aninvention must be capable of industrial application.
Industrial Application in relation to patentability
means that the invention is capable of being made orused in an industry.
2. The Examiner shall assess if the claimed invention iscapable of use in any industry or made using an
industrial process. Typically, the specification explains
the industrial applicability of the disclosed invention ina self-evident manner. Usually industrial applicability
is self-evident. If it is not, a mere suggestion that the80

2(1)(ac)matter would be industrially applicable is not
sufficient. A specific utility should be indicated in thespecification supported by the disclosure. For example,
indicating that a compound may be useful in treating
unspecified disorders, or that the compound has―useful biological‖ properties, would not be sufficient
to define a specific utility for the compound. The
specific usefulness has to be indicated.
08.03.05

Section 3

Inventions not patentable
Under the Patents Act, 1970, the following are not inventions
and hence are not considered to be patentable. However,examples given are mere illustrations and may not be
conclusive on the subject. Objective decisions may be taken
on case to case basis.

08.03.05.01

An invention which is frivolous or which claims anything

Section 3(a)obviously contrary to well established laws is not aninvention.
Some examples of a frivolous nature and contrary to naturallaws are:

A machine purporting to produce

perpetual motion.


A machine alleged to be giving output

without any input.


A machine allegedly giving 100%efficiency.
08.03.05.02

An invention, the primary or intended use or commercial
exploitation of which would be contrary to public order or
morality or which causes serious prejudice to human,
animal or plant life or health or to the environment is not aninvention.
Some examples are:81

Section 3(b)a. Any device, apparatus or machine or method forcommitting theft/burglary.
b. Any machine or method for counterfeiting ofcurrency notes.
c. Any device or method for gambling.
d. An invention the use of which can cause serious
prejudice to human beings, plants and animals.
e. Inventions, the intended use or commercial
exploitation of which is found to be injurious to
public, animal or plant life or health, such as, amethod of adulteration of food.
f. An invention, the primary or intended use of which
is likely to violate the well accepted and settledsocial, cultural, legal norms of morality, e.g. a
method for cloning of humans.
g. An invention, the primary or proposed use of which
would disturb the public order e.g. a device forhouse-breaking.
h. However, if the primary or intended purpose orcommercial exploitation of a claimed invention is
not causing serious prejudice to human, animal orplant life or health or to the environment, such
subject matter may be considered to be an invention
and may be patentable. For instance, a pesticide.
08.03.05.03

The mere discovery of a scientific principle or theformulation of an abstract theory or discovery of any living
thing or non-living substance occurring in nature is not aninvention.
i) A claim for discovery of scientific principle is notconsidered to be an invention, but such a principle
when used with a process of manufacture resulting in
82

Section 3(c)a substance or an article may be considered to be an
invention.
ii) A scientific theory is a statement about the natural
world. These theories themselves are not considered
to be inventions, no matter how radical orrevolutionary an insight they may provide, since they
do not result in a product or process. However, if thetheory leads to practical application in the process ofmanufacture of an article or substance, it may well bepatentable. A claim for formulation of abstract theory
is not considered to be an invention. For example, thefact that a known material or article is found to have ahitherto unknown property is a discovery and not aninvention. But if the discovery leads to the conclusionthat the material can be used for making a particular
article or in a particular process, then the article orprocess could be considered to be an invention.
iii)Finding out that a particular known material is able towithstand mechanical shock is a discovery andtherefore not patentable, but a claim to a railway
sleeper made of the material would not fall foul of
this exclusion, and would be allowable if it passed thetests for novelty and inventive step. Similarly, findingof a new substance or micro-organism occurringfreely in nature is a discovery and not an invention.
08.03.05.04

The mere discovery of a new form of a known substancewhich does not result in the enhancement of the known
efficacy of that substance or the mere discovery of any newproperty or new use for a known substance or of the mereuse of a known process, machine or apparatus unless suchknown process results in a new product or employs at least
83

Section 3(d)one new reactant is not an invention.
Section 3(d) provides an explanatory clause to make it moreclear which reads as follows:“Explanation:- For the purposes of this clause, salts, esters,
ethers, polymorphs, metabolites, pure form, particle size,
isomers, mixtures of isomers, complexes, combinations andother derivatives of known substance shall be considered tobe the same substance, unless they differ significantly inproperties with regard to efficacy”.
According to this provision, the following are notinventions and hence not patentable:(a) mere discovery of a new form of a known substancewhich does not result in the enhancement of the known
efficacy of that substance;(b) the mere discovery of any new property of a known
substance;(c) the mere discovery of new use for a known substance;(d) the mere use of a known process unless such known
process results in a new product or employs at least one newreactant;(e) the mere use of a known machine or apparatus.

The explanation to Section 3(d) further clarifies that the salts,
esters, ethers, polymorphs, metabolites, pure form, particle
size, isomers, mixtures of isomers, complexes, combinations
and other derivatives of known substance may be considered
to be the same substance. It however states that such salts,
esters, ethers, polymorphs, metabolites, pure form, particle
size, isomers, mixtures of isomers, complexes, combinations
and other derivatives of such known substance may beconsidered as patentable only if they differ significantly in84

properties with regard to efficacy.
The Examiner on a case to case basis applies the test as towhat constitutes such salts, esters, ethers, polymorphs,
metabolites, pure form, particle size, isomers, mixtures ofisomers, complexes, combinations and other derivatives todiffer significantly in properties with regard to efficacy fromthe known substance. The complete specification may bringout clearly and categorically in the description, as to how thesubject matter differs significantly in properties with regard to
efficacy from the known substance thereof, at the time offiling of the application or subsequently by way of anamendment of specification under section 59.
In a recent case in relation to a pharmaceutical substance,
the Madras High Court held that efficacy means therapeutic
efficacy. It was held that:―going by the meaning for the word “efficacy” and“therapeutic”… what the patent applicant is expected toshow is, how effective the new discovery made would bein healing a disease having a good effect on the body? Inother words, the patent applicant is definitely aware as towhat is the “therapeutic effect” of the drug for which hehad already got a patent and what is the difference
between the therapeutic effect of the patented drug andthe drug in respect of which patent is asked for.”“Due to the advanced technology in all fields of science,
it is possible to show by giving necessary comparative
details based on such science that the discovery of a newform of a known substance had resulted in theenhancement of the known efficacy of the original
substance and the derivatives so derived will not be the85same substance, since the properties of the derivatives
differ significantly with regard to efficacy.” (Novartis AG
Vs. Union of India, W.P. No. 24760/06).
08.03.05.05

A substance obtained by a mere admixture resulting only in

Section 3(e)the aggregation of the properties of the components thereof
or a process for producing such substance is not aninvention.
An admixture resulting in synergistic properties is notconsidered as mere admixture, e.g., a soap, detergent, lubricant
and polymer composition etc, and hence may be considered tobe patentable.
A mere aggregation of features must be distinguished froma combination invention. The existence of a combination
invention requires that the relationship between the features orgroups of features be one of functional reciprocity or that theyshow a combinative effect beyond the sum of their individual
effects. The features should be functionally linked together
which is the actual characteristic of a combination invention.
In general all the substances which are produced by mere
admixing, or a process of producing such substances should
satisfy the requirement of synergistic effect in order to bepatentable. Synergistic effect should be clearly brought out inthe description by way of comparison at the time of filing of
the Application itself. The subsequent submissions regarding
synergism can be accepted in a reply to the office action as afurther support of synergy. However, such submitted data may
be incorporated in the Specification, subject to the provisionsof Section 59.
08.03.05.06

The mere arrangement or re-arrangement or duplication of
known devices each functioning independently of one
another in a known way is not an invention.
86

Section 3(f)In order to be patentable, an improvement on something
known before or a combination of different matters alreadyknown, should be something more than a mere workshop
improvement; and must independently satisfy the test of
invention or an 'inventive step'. To be patentable, theimprovement or the combination must produce a new result,or a new article or a better or cheaper article than before. A
combination of old known integers may be so combined thatby their working inter-relation, they produce a new process
or an improved result. Mere collocation of more than one
integers or things, not involving the exercise of any
inventive faculty, does not qualify for the grant of a patent.
(Biswanath Prasad Radhey Shyam Vs. Hindustan Metal
Industries (1979) 2 SCC, 511).
A new and useful application of an old principle may begood subject-matter. An improvement on something known
may also afford subject-matter; so also a different
combination of matters already known. A patentablecombination is one in which the component elements are so
combined as to produce a new result or arrive at an old
result in a better or more expeditious or more economicalmanner. If the result produced by the combination is either a
new article or a better or cheaper article than before, thecombination may afford subject-matter of a patent.
(Lallubhai Chakubhai Vs. Chimanlal and Co. (AIR1936 Bom 99.)
An invention claiming a mere juxtaposition of known
devices in which each device functions independently is notconsidered patentable. Merely placing side-by-side oldintegers so that each performs its own function
independently of the others is not a patentable combination.
87

[As for example: a flour mill provided with sieving means].
However, where the old integers when placed together havesome working interrelation, producing a new or improved
result, then there could be a patentable subject matter in theworking interrelation brought about by the collection of theintegers.
When two or more features of an apparatus or device are
known, and they are juxtaposed without any interdependence on their functioning, they should be held to havebeen already known. (Rampratap v. Bhabha Atomic
Research Center, 1976 IPLR 28 P. 35), e.g., an umbrella
with fan (388/Bom/73), bucket fitted with torch, clock andtransistor in a single cabinet. These are not patentable, since
they are nothing but mere arrangement and rearrangement of
items without having any working interrelationship between
them and are devices capable of functioning independentlyof each other.
As for instance, in the case of an application for a patentin respect of an apparatus for producing metallic bellows,
the hydraulic machine and the roll forming machine
disclosed therein were functioning as separate machines
independently of each other and as such had no novel
feature. Hence, there is no invention when a claim is madeon known types of hydraulic forming and roll forming
machines functioning independently of each other.
A new combination may be the subject matter of a patentalthough every part of the combination, per se, is old, forhere the new article is not the parts themselves but theassembling and working of the parts, together. The merit ofa new combination very much depends upon the result
produced. Where a slight alteration turns that which was88practically useless into what is useful and important, it is fit
subject matter for a patent.(Lallubhai Chakkubhai v.
Shamaldas Sankalchand Shah, AIR 1934 Bom 407).
08.03.05.07

A method of agriculture or horticulture is not an invention.

Section 3(h)Examples of subject matters excluded from patentability
under this provision are:(a) A method of producing a plant, even if it involved amodification of the conditions under which natural phenomena
would pursue their inevitable course (for instance a green
house).
(b) A method of producing improved soil from the soil
with nematodes by treating the soil with a preparation
containing specified phosphorathioates.
(c) A method of producing mushrooms.
(d) A method for cultivation of algae.
08.03.05.08

Any process for the medicinal, surgical, curative,
prophylactic, diagnostic, therapeutic or other treatment of
human beings or any process for a similar treatment ofanimals to render them free of disease or to increase theireconomic value or that of their products is not an invention.
This provision excludes from patentability, the following:(a) Medicinal methods: As for example a process ofadministering medicines orally, or through injectables, or
topically or through a dermal patch.
(b) Surgical methods: As for example a stitch-free incision for
cataract removal.
(c) Curative methods: As for example a method of cleaningplaque from teeth.
(d) Prophylactic methods: As for example a method of
vaccination.
(e) Diagnostic methods: Diagnosis is the identification of
89

Section 3(i)the nature of a medical illness, usually by investigating its
history and symptoms and by applying tests. Determinationof the general physical state of an individual (e.g. a fitnesstest) is considered to be diagnostic.
(f) Therapeutic methods: The term ―therapy‘‘ includes
prevention as well as treatment or cure of disease. Therefore,
the process relating to therapy may be considered as a methodof treatment and as such not patentable.
(g) Any method of treatment of animal to render them free of
disease or to increase their economic value or that of theirproducts. As for example, a method of treating sheep forincreasing wool yield or a method of artificially inducing the
body mass of poultry.
(h) Further examples of subject matters excluded under thisprovision are: any operation on the body, which requires the
skill and knowledge of a surgeon and includes treatments
such as cosmetic treatment, the termination of pregnancy,
castration, sterilization, artificial insemination, embryotransplants, treatments for experimental and research
purposes and the removal of organs, skin or bone marrowfrom a living donor, any therapy or diagnosis practiced on
the human or animal body and further includes methods ofabortion, induction of labour, control of estrus or menstrual
regulation.
(i) Application of substances to the body for purely cosmetic
purposes is not therapy.
(j) Patent may however be obtained for surgical, therapeuticor diagnostic instrument or apparatus. Also the manufactureof prostheses or artificial limbs and taking measurements
thereof on the human body are patentable.
08.03.05.09

Plants and animals in whole or any part thereof other than
90

Section 3(j)micro-organisms but including seeds, varieties and species
and essentially biological processes for production or
propagation of plants and animals are not inventions.
The subject matters excluded under this provision are:(a) plants in whole or in part(b) animals in whole or in part(c) seeds(d) varieties and species of plants and animals(e) essentially biological process(es) for production or
propagation of plants and animals.
Microorganisms, other than the ones discovered from thenature, may be patentable. For instance, genetically modified
microorganisms may be patentable subject to otherrequirements of Patentability.
A new process of preparation of a vaccine under specificscientific conditions, the vaccine useful for protecting poultry
against contagious bursitis infection was held to be patentableby the Court on the ratio that the statute does not make amanner of manufacture as un-patentable even if the end
products contains a living organism. (Dimminaco – A.G. Vs.
Controller of Patents & Designs and Others).
Plant varieties are provided protection in India under theprovisions of the ‗Protection of Plant Varieties and Farmers‘
Rights Act, 2002.
08.03.05.10

A mathematical or business method or a computer Section 3(k)programme per se or algorithms are not inventions andhence not patentable.
a. Under this provision, mathematical methods, businessmethods, computer programmes per se and algorithms
are not considered as patentable subject matter.
b. ‗Mathematical methods‘ are considered to be acts of91

mental skill. A method of calculation, formulation ofequations, finding square roots, cube roots and all othermethods directly involving mathematical methods are
therefore not patentable. With the development incomputer technology, mathematical methods are used
for writing algorithms and computer programs fordifferent applications and the claimed invention issometimes

camouflaged

as

one

relating

tothetechnological development rather than the mathematicalmethod itself. These methods, claimed in any form, areconsidered to be not patentable.
c. ―Business Methods‖ claimed in any form are notpatentable subject matter. The term ‗Business Methods‘
involves whole gamut of activities in a commercial orindustrial enterprise relating to transaction of goods orservices. With the development of technology, businessactivities have grown tremendously through e-commerceand related B2B and B2C business transactions. The
claims are at times drafted not directly as businessmethods but apparently with some technical features
such

as

internet,

networks,

satellites,

tele-

communications etc. This exclusion applies to allbusiness methods and, therefore, if in substance theclaims relate to business methods, even with the help oftechnology, they are not considered to be a patentablesubject matter.
d. Algorithms in all forms including but not limited to, a setof rules or procedures or any sequence of steps or any
method expressed by way of a finite list of defined
instructions, whether for solving a problem or otherwise,
and whether employing a logical, arithmetical or92

computational method, recursive or otherwise, areexcluded from patentability.
e. Patent applications, with computer programme as a
subject matter, are first examined with respect to (b), (c)and (d) above. If the subject matter of an application
does not fall under these categories, then, the subject
matter is examined with a view to decide whether it is acomputer programme per se.
f. If the claimed subject matter in a patent application is
only a computer programme, it is considered as acomputer programme per se and hence not patentable.
Claims directed at ‗computer programme products‘ arecomputer programmes per se stored in a computerreadable medium and as such are not allowable. Even if
the claims, inter alia, contain a subject matter which is
not a computer programme, it is examined whether such
subject

matterissufficiently

disclosedinthespecification and forms an essential part of the invention.
g. If the subject matter of a patent application is not foundexcluded under the foregoing provisions, it shall be
examined with respect to other criteria of patentability.
08.03.05.11

A literary, dramatic, musical or artistic work or any otheraesthetic creation whatsoever including cinematographic
works and television productions is not an invention.
Writings, music, works of fine arts, paintings, sculptures,computer programmes, electronic databases, books,
pamphlets, lectures, addresses, sermons, dramatic-musicalworks, choreographic works, cinematographic works,
drawings, architecture, engravings, lithography, photographic
works, applied art, illustrations, maps, plans, sketches, threedimensional works relating to geography, topography,
93

Section 3(l)translations, adaptations, arrangements of music, multimedia
productions, etc. are not patentable. Such works fall within thedomain of the Copyright Act, 1957.
08.03.05.12

A mere scheme or rule or method of performing mental act

Section 3(m)or method of playing game is not an invention.
A mere scheme or rule or method of performing mental
act or method of playing game, are excluded frompatentability, because they are considered as outcome of mere
mental process. For example,
a. Method of playing chess.
b. Method of teaching.
c. Method of learning.
08.03.05.13

A presentation of information is not an invention.

Section 3(n)Any manner, means or method of expressing information
whether visual, audible or tangible by words, codes, signals,
symbols, diagrams or any other mode of representation is notpatentable. For example, a speech instruction means in theform of printed text where horizontal underlining indicatedstress and vertical separating lines divided the works intorhythmic groups is not patentable. For instance, railway time
table, 100years calendar etc.
In the matter of application No. 94/Cal/2002, theController held that the Patent system was meant forprotecting only one kind of creativity i.e. technologicalcreativity and since the claimed invention relates to businessmethod and method of presenting information, it is notallowed.
08.03.05.14

Topography of integrated circuits is not an invention.
Since protection of Layout Designs of Integrated Circuits
is governed separately under the Semiconductor Integrated
Circuit Lay-out Designs Act, 2000, three-dimensional
94

Section 3(o)configuration of the electronic circuits used in microchips andsemiconductor chips is not patentable.
08.03.05.15

An invention which in effect, is traditional knowledge or

Section 3(p)which is an aggregation or duplication of known propertiesof traditionally known component or components is not aninvention.
Traditional Knowledge, being knowledge alreadyexisting, is not patentable. An example is the antiseptic
properties of turmeric for wound healing. Another example isthe pesticidal and insecticidal properties of neem.
The Examiner conducts an investigation by using the
Traditional Knowledge Digital Library (TKDL) and otherresources to decide as to whether the claimed subject matter
falls within the purview of this provision.
08.03.06

Section 10

Sufficiency of Disclosure
Sufficiency of disclosure is yet another aspect, which ischecked by the Examiner while examining a patentapplication. The Examiner will look for whether:a. the specification is properly titled.
b. the subject matter is fully and particularly
described in the specification.
c. the claims define the scope of the invention
properly.
d. the Specification describes the best method of
performing the invention or not.
e. the source and geographical origin, in case of
inventions related to biological materials, hasbeen disclosed.
f. approval obtained from Biodiversity Authority,
wherever applicable.
g. accession number and other details of the95

depository are given, if applicable
08.03.07

Section 10(5)Unity of Inventiona) The Claims of a Specification shall relate to a single
inventive concept. In case, an application comprises aplurality of inventive concepts the examiner refers to
the same in his report. The application may be divided
in order to meet the objection of plurality of distinct
inventions.
b) The determination whether a group of inventions is solinked as to form a single inventive concept shall bemade without regard to whether the inventions areclaimed in separate claims or as alternatives within asingle claim.
c) Unity of invention between process and apparatus ormeans requires that the apparatus or means have been
specifically designed for carrying out the process, or atleast a step of the process.
d) Independent claims of different categories may relate
to a single inventive concept. For example:
1. Claims for a product and process specially
adapted for manufacture of the product.
2. Claims for a process and apparatus or means
specifically designed for carrying out theprocess.
3. A mould for casting an article, a method ofmaking that mould, a process of casting thearticle by using the said mould will constitute asingle invention.
4. A locking system containing plug and socket
wherein separate independent claims for a plugand socket may constitute a single inventive
96

concept.
5. A broadcasting system comprising transmitterand receiver.
6. If an invention relates to a new type of spraybottle, claims may be directed to the spraybottle itself (a product) and a method of making
the spray bottle (a process).
7. In case of a genetically modified GeneSequence/ Amino Acid Sequence claims may
be directed to a Gene sequence / Amino Acid
sequence, a method of expressing the sequence,an antibody against that protein / sequence, a
kit containing such antibody / sequence.
8. In case of a drug or pharmaceutical product,
claims may be directed to a drug or
pharmaceutical product, a process of making
the product, a composition containing the drug.
08.03.08

Section 3, 4,

Report of Examiner
1. The examiner makes a report after carrying out
detailed examination with respect to the following
matters:
a. whether the application and the specificationand other documents relating thereto are inaccordance with the requirements of the Act
and rules made thereunder;b. whether there is any lawful ground of objection
to the grant of patent under the Act;c.

the result of investigations under Section 13.

2. The examiner prepares the report after conducting aprior art search to ascertain the novelty, and examining
as to whether the invention disclosed in the97

12, 13

specification is inventive and industrially applicable.
The Examiner also examines whether the invention
belongs to one of the categories of non-patentable
inventions coming under Section 3 and 4, and whether
the application is in conformity with all the provisionsof the Act.
08.04

Consideration of the Report by Controller and issuance ofSection 3, 4,

FER

14, 15, 18, 21

1. The Controller considers the report of the examiner
ordinarily within one month from the date of thereceipt of such report and a gist of objections, if any, issent to the applicant in the form of a report - First
Examination Report (FER) - along with the applicationand specification, if required. If there is no objection to
the grant of patent and no pre-grant opposition under
Section 25(1) is pending, the patent is granted at theearliest.
2. The FER is sent to the applicant, even when the request
for examination has been filed by a person interested.
An intimation regarding the issue of FER is given tosuch person interested.
3. First Examination Report may contain office
objections relating to:a. Lack of novelty, inventive step and industrial
applicability.
b. Subject matter relating to a category, which falls
within the purview of Sections 3 and 4.
c. Non-fulfillment of any other requirement under theAct.
4. The applicant is required to comply with all therequirements imposed upon him by the Act as98communicated through FER or subsequent
communication, at the earliest. However, if applicant
fails to respond to the FER, within twelve months fromthe date of issuance of FER, the application is deemed
to have been abandoned under Section 21(1). A
communication to that effect is sent to the applicant for
information.
5. If the response / amendment filed by the applicant do
not satisfy the requirements laid down by the Act, theController offers an opportunity of hearing and decides
the case on merits.
6. If for reasons beyond the control of the applicant, theapplicant re-files the documents after twelve months
from the date of issuance of FER, the Controller may
decide to proceed with the case based on the evidence
made available to him for such delay.
7. When the applicant re-files the documents withintwelve months, the application has to be examined in a
fresh manner by the examiner. Upon examination, if it
is found that the requirements of the Act have beenmet, the Patent is granted.
8. If the applicant contests any of the objections
communicated to him by the Controller or he re-files
his specification or other documents, along with hisobservations as to whether or not the specification is tobe amended, an opportunity of being heard is given, if
requested by the applicant.
9. After hearing the applicant, the Controller may specify
or permit such amendment as he thinks fit and grant
the patent. The Controller may refuse to grant thepatent unless the amendments so specified are made or99

any other requirements of the Act and Rules are notcomplied with.
10. If the Controller differs with the report of the Examinerat any stage of the Examination and Grant Process, heshall record the reasons for such disagreement in thefile.
11. No refusal of patent is done without giving an
opportunity of being heard under Section 14. An order
refusing an application under Section 15 shall be a
speaking order. Such an order under Section 15 isappeallable before the Intellectual Property Appellate
Board.
08.05

Post-dating of Application

Section 9(4),1. The application for patent may be post-dated to a date not15, 17

later than six months from the date of application on arequest made by the applicant at any time before the grantof patent along with the prescribed fee.
i.

Where such request is made before the examinationof application, the same may be allowed and theexamination shall be conducted with reference tothe date so post-dated.

ii.

Where such request is made after the issuance ofFirst Examination Report, the same may beallowed subject to fresh examination with reference
to the date so post-dated.

2. If the application or specification (or drawings if any) or
any document is required to be amended under section 15
to comply with the requirements of the Act or the Rules,
the Controller may direct that the application or
specification or other documents related thereto be deemed
to have been made on the date on which the requirements100are complied with or the date on which it is re-filed after
complying with the requirements. In case this provision is
invoked, the application shall be examined afresh withreference to the date as directed by the Controller.
3. Following may be instances in which Section 17(2) may be
invoked by the Controller:i.

A missing part is brought-in through anamendment, for the purpose of meeting the office
objections during Section 15 proceedings, by theapplicant.

ii.

A new drawing is brought-in through anamendment for the purpose of explaining theamended specification, and without such amended
drawing the amended specification cannot be
explained.

08.06

Section 11A,

Pre-Grant Opposition
a. Any person may file an opposition by way ofrepresentation to the Controller against the grant ofPatent, at the appropriate office, at any time after
publication of patent application u/s 11A, but before
the grant of Patent on any of the grounds mentioned
in Section 25(1). The date of grant of Patent is thedate on which the Controller orders the grant ofpatent in the file. Simultaneously, the patent number
is generated and the fact of granting the patent isavailable on the official website.
b. If any pre-grant opposition is received after the grantof the patent, the Controller shall return the pregrant opposition to the opponent and shall intimate
such opponent about the fact of grant of the patent.
If the opponent is a person interested, he may file a101

15, 25(1).
Rule 55.

formal post grant opposition.
c. A Patent is not granted before the expiry of six
months from the date of publication under Section
11A. Therefore, a person may file the pre-grant
opposition within the assured period of six months
from the date of Publication, to make sure that the
pre-grant opposition is filed before the grant ofpatent.
d. The representation shall include a statement andevidence, if any, in support of such representation
and a request for hearing, if so desired.
e. The Controller shall consider the representation only
after a Request for Examination for that Application
has been filed.
f. The Pre-Grant Opposition, if available on record, isconsidered by the Controller along with the report of
the Examiner.
g. On consideration of the opposition, if the Controller
is of the opinion that the opposition is devoid of any
merit, an opportunity of hearing shall be granted tothe opponent, if requested. After hearing the
opponent, if the Controller is still of the opinion thatthe opposition shall be refused, a speaking ordershall be issued rejecting the pre-grant opposition,
ordinarily within one month.
h. However, if the Controller is of the opinion that pregrant opposition has merit and the application shallbe refused or amended, a notice is given to theapplicant along with a copy of the representation.
The applicant shall, if he so desires, give reply tothat representation along with his statement and102evidence, if any, in support of his application within
three months from the date of the notice.
i. The Controller shall consider the statement andevidence filed by the applicant and may either refuse
the grant of patent or ask for amendment of thecomplete specification to his satisfaction before thegrant of patent.
j. After considering the representation andsubmissions made during the hearing, the Controller
shall proceed further simultaneously, either rejecting
the representation and granting the patent or
accepting the representation and refusing the grant,
ordinarily within one month from the completion of
the above proceedings. If the application for patent
is to be refused on consideration of the pre-grant
opposition u/s 25(1), a speaking order of refusal
shall be issued under Section 15.
08.07

Grant of Patent

08.07.01

Compliance of conditions under the Act

Section 18,

The Patent is granted as expeditiously as possible when43.

1. the application has not been refused by the Controller

Rule 28, 28A,

by virtue of any power vested in him by this Act, or

29, 30, 31.

2. the application has not been found to be incontravention of any of the provisions of the Act, or
For instance,a. All objections raised by the examiner have been met
and documents returned with the FER have been
resubmitted after complying with the requirements,
within 12 months from the date of the FER.
b. In cases where the FER contains reference to a prior art
which was published before the date of filing of103

complete specification but after the date of priority of
the application, the applicant will have to prove thatthe priority date of the claim of his complete
specification is earlier than the date on which therelevant document was published. The priority date ofsuch claim is the date on which the matter was first
disclosed in the relevant specification. In thealternative, the applicant may amend his complete
specification to overcome the objection in respect ofsuch document. In the absence of above mentioned
proof or amendment, the application is liable to berefused, after following the procedure elaborated inRule 28, 28-A
c. In cases where the FER contains reference to a prior art
which was published after the date of filing of hiscomplete specification but claiming an earlier priority
date, the applicant will have to prove that the priority
date of the claim of his complete specification is earlier
than the date on which such document was published.
The priority date of such claim is the date on which thematter was first disclosed in the relevant specification.
In the alternative, the applicant may amend hiscomplete specification to overcome the objection in
respect of such document. In the absence of above
mentioned proof or amendment, a reference to theother specification shall be inserted by way of notice tothe public in the applicant‘s specification, after
following the procedure elaborated in Rule 29-31.
d. When there is no pre-grant representation pending
before the grant of Patent or when the Pre-Grant
Opposition has been disposed of in favor of the104

applicant, the date of grant of patent is the date on
which the patent is granted by the Controller in the file.
The patent number is simultaneously generated. As the
Patent Office has moved to complete electronic
processing, the fact of grant of Patent by the Controller
and the Patent Number is reflected on the official
website on real time basis.
08.07.02

Form-27

Consequences of granta. On the grant of patent, every patent is allotted a serial
number by the electronic system. A Certificate ofPatent is generated in the prescribed format and an
entry in the e-register is made simultaneously. In thepresent electronic system, the date of recordal of Patentin the Register of Patents is the same as the date of
grant of Patent by the Controller.
b. The complete specification as granted is madeavailable to public through official website.
c. The application, specification and other related
documents are open for public inspection on paymentof prescribed fee.
d. The fact that the patent has been granted is publishedin the official journal of the Patent Office.
e. On the grant of patent, the patentee is required to pay
the accumulated fee within 3 months from the date ofrecordal of Patent in the Register of Patents, which is
now the same as the date of Certificate of Patent.
f. A post-grant opposition under section 25(2) can be
filed by any person interested within 12 months fromthe date of publication of grant.
g. Every patentee and licensee has to furnish a statement
regarding the working of the patented invention on105

commercial scale in India at regular intervals (not lessthan six months) in the prescribed format.
08.07.03

Section 45

Date of Patenta. The date of Patent is the date of filing of the
Application. However, in case of a PCT National Phase
application, the date of filing is the international filingdate.
b. The time for payment of first renewal fee is reckoned
from the date of recordal in the register of patents.
However, since the introduction of electronic
processing of patent applications, the date of recordal issame as the date of generation of Certificate of Patents.

08.07.04

Conditions subject to which a Patent is granted
a. any machine, apparatus or other article in respect ofwhich the patent is granted or any article made by using
a process in respect of which the patent is granted, may
be imported or made by or on behalf of the government
for the purpose merely of its own use;b. any process in respect of which the patent is granted
may be used by or on behalf of the government for the
purpose merely of its own use;c. any machine, apparatus or other article in respect ofwhich the patent is granted or any article made by theuse of the process in respect of which the patent isgranted, may be made or used, and any process inrespect of which the patent is granted may be used, by
any person, for the purpose merely of experiment or
research including the imparting of instructions topupils; andd. in the case of a patent in respect of any medicine ordrug, the medicine or drug may be imported by the106

Section 47

government for the purpose merely of its own use or for
distribution in any dispensary, hospital or other medical
institution maintained by or on behalf of thegovernment or any other dispensary, hospital or
medical institution which the Central Government may,having regard to the public service that such dispensary,
hospital or medical institution renders, specify in thisbehalf by notification in the Official Gazette.
08.07.05

Section 48

Rights of Patentee
a. In case of a patented product, the patentee shall havethe exclusive right to prevent third parties, from the actof making, using, offering for sale, selling or importingfor those purposes that product in India.
b. In case of a patented process, the patentee shall havethe exclusive right to prevent third parties, from the actof using that process, and from the act of using,offering for sale, selling or importing for those purposes
the product obtained directly by that process in India.

08.07.06

Section 50, 51

Rights of co-owners
a. Where a patent is granted to two or more persons, eachof those persons shall, unless an agreement to thecontrary is in force, be entitled to an equal undivided
share in the patent.
b. Subject to the provisions contained in this section andin Section 51, where two or more persons are registeredas grantee or proprietor of a patent, then, unless anagreement to the contrary is in force, each of those
persons shall be entitled, by himself or his agents, to therights conferred by Section 48 for his own benefit
without accounting to the other person or persons.
c. Subject to the provisions contained in this section and107

in section 51 and to any agreement for the time being inforce, where two or more persons are registered as
grantee or proprietor of a patent, then, a licence under
the patent shall not be granted and a share in the patentshall not be assigned by one of such persons except
with the consent of the other person or persons.
d. Where a patented article is sold by one of two or more
persons registered as grantee or proprietor of a patent,
the purchaser and any person claiming through him
shall be entitled to deal with the article in the samemanner as if the article had been sold by a solepatentee.
e. Subject to the provisions contained in this section, therules of law applicable to the ownership and devolutionof movable property generally shall apply in relation topatents, and nothing contained in sub-section (1) or
sub-section (2) shall affect the mutual rights or
obligations of trustees or of the legal representatives ofa deceased person or their rights or obligations as such.
f. Nothing in this section shall affect the rights of theassignees of a partial interest in a patent created before
the commencement of this Act.
08.07.07

Section 53

Term of Patent
The term of Patent is 20 years from the date of filing of
application in respect of all the patents, including those forwhich the term had not expired on 20th May, 2003, when
Patent (Amendment) Act 2002 came into force, provided thatthe renewal fee is paid every year before the due date or within
the extended period (maximum six months).

108

Chapter-9
Post-grant opposition
09.01

Section 2(1)(t),Post-grant opposition

1. Any person interested can file a Notice of Opposition 25(2).
against the grant of Patent in the prescribed format, in Rule 55A, 60,
duplicate, within twelve months from the date of 126, 127.
publication of grant of patent at the appropriate Office.
2. The date of grant of patent is the date on which theController grants a patent and since the granting of patent
is now only done through electronic module, the date andtime of grant is available to the public on a real time basis
through the official website. Consequently, any opposition
filed after the date of grant will be treated as a post grant
opposition.
3. The opponent shall state the nature of his interest in thematter.
4. Person interested includes a person engaged in, or inpromoting research in the same field as that to which theinvention relates. It may be an organization that has amanufacturing or trading interest in the goods connectedwith the patented article or which has a financial interest in
manufacturing such goods or which possesses Patents
relating to the same subject.
5. The post-grant opposition can be filed on the grounds as
mentioned in Section 25(2), but no other grounds.
6. After receipt of Notice of Opposition, the Controller shallnotify the patentee about the fact of receipt of such notice,without any delay.
7. A copy of the statement and evidence, if any, shall be

109

Form 7.

delivered to the patentee by the opponent.
8. If the patentee desires to contest the opposition, he shallfile a reply statement setting out fully the grounds uponwhich the opposition is contested, and evidence if any, in
support of his case within a period of two months from thedate of receipt of the copy of opponent‘s written statement
and evidence, if any, and deliver a copy to the opponent.
9. If the patentee does not desire to contest or does not file his
reply and evidence within two months, the patent shall bedeemed to have been revoked and the Controller shall issue
the order of revocation of Patent and the fact of revocationis entered in the register of patents.
10. After receipt of reply from the patentee, the opponent may
file his evidence in reply within one month from the dateof delivery to him of a copy of the patentee‘s reply
statement and evidence. Evidence in reply of the opponent
shall be strictly confined to the matters in the patentee‘sevidence. The opponent shall deliver a copy of his reply
statement and evidence to the patentee.
11. No further evidence shall be delivered by either party,
except with the leave or direction of Controller.
12. With respect to further evidence filing, either party shalldo so before the Controller‘s notification on the fixationof the date of hearing.
13. Where a specification or other document in a language
other than English is referred to in the notice, statement orevidence, an attested translation thereof in duplicate inEnglish should be furnished along with such notice,statement or evidence, as the case may be.
14. Evidence shall be filed on affidavits as required under Rule
126.
110

15. Exhibits shall be filed as required under Rule 127.
09.02

Constitution of Opposition Board

Rule 56, 57,

1. After receipt of Notice of Opposition, an Opposition Board 58, 59, 60
is constituted by the Controller, by order, to examine such
notice including all the documents filed under rule 57-60 inconnection with opposition by the opponent as well as
patentee.
2. The Board shall submit the report with reasons on eachground taken in the Notice of Opposition after
examining all statements, documents and evidence
submitted by the parties, as a joint recommendation
within three months from the date on which all such
documents were forwarded to them.
3. The Opposition Board consists of three members with oneof them as Chairman.
4. The examiner may be a member of the Board. But, theexaminer who has dealt with the application for patent
during the prosecution proceedings for grant of patent
thereon shall not be included as a member of the Board.
5. If further evidence is taken on record by the Controller, by
an order in writing, the same shall be forwarded to the
Opposition Board for their consideration. This shall also
apply when such further evidence is taken on record after
the receipt of report from Opposition Board.
09.03

Rule 62

Hearing
1. After receiving the recommendation of Opposition Board
the Controller shall fix without undue delay, a date andtime for the hearing of the opposition and inform theparties, at least ten days in advance.
2. On receipt of the notice of hearing, if either party desires
to be heard, he shall inform the Controller by a notice111along with the prescribed fee.
3. The Controller may require the members of Opposition
Board to be present in the hearing
4. The Controller may refuse to hear any party which has
not given such notice and fee.
5. If either party intends to rely on any Publication at thehearing not already mentioned in the notice of opposition,statement or evidence, he shall give to the other party andto the Controller a notice of his intention to do so, together
with details of such publication. Such notice shall be given
at least five days before the date of hearing.
6. After hearing the party or parties desirous of being heard,or if neither party desires to be heard, then without ahearing,

and

after

taking

into

consideration

therecommendation of Opposition Board, the Controller
shall decide the opposition, i.e., he may revoke thepatent, or order amendments in the Patent or refuse theopposition and issue a speaking order.
7. If amendment of specification or any other document isordered by the Controller, the patentee shall submit such
amended documents to the office within a reasonable time,
as directed by the Controller.

112

Chapter - 10
Post-grant procedures
10.01

Maintenance of Patent – renewal

Section 53, 142

To keep a patent in force, the renewal fees shall be payable at (4).
the expiration of the second year from the date of the patent or Rule 80.
of any succeeding year and the same shall be remitted to the Form-4.
patent office before the expiration of the second or the
succeeding year.
Further, renewal of a patent can be done beyond the due date in
the extended period of six months from that date by filingForm-4 along with the prescribed fee. This period of six months
is not extendable.
a. Where a patent is granted later than two years from thedate of filing of the application, the fees which havebecome due in the meantime may be paid within a periodof three months from the date of the recording of the patentin the register. The date of recording of patent in theregister of patents is communicated to the applicant
through a letter which accompanies the Certificate ofPatent. The period for payment of renewal fees may be
extended by a maximum of six months by filing Form-4
with the required fee.
b. If a patent is granted before the expiry of two years fromthe date of filing of application, the first renewal fee
becomes due in respect of the third year. However, therenewal fee shall be paid before the expiry of second year.
This period is extendable by maximum six months.
c. First Renewal fee for a patent becomes due in respect of
the third year counted from the date of filing of application

113

for patent. However, the renewal fee for third year has tobe paid before the expiry of second year. For clarification,
the renewal fee may be paid before the expiration of the
fourth year from the date of Patent for the fifth year and soon.
d. While paying the renewal fee, the patentee shall quotecorrectly the patent number, date of patent and the year inrespect of which the renewal fee is being paid. Any
mistake in the above said particulars may lead to a lapse ofpatent.
e. For the Patent of Addition no renewal fee is required to be
paid.
f. Annual renewal fee may be paid for 2 or more years inadvance.
10.02

Section 60.

Restoration of Lapsed Patents

a. When a Patent has ceased to have effect due to non- Rule 84, 94.
payment of renewal fees within the prescribed time, the Form-15.
Patent may be restored by filing an application forrestoration, in Form-15, within eighteen months from thedate on which the patent ceased to have effect. Such an
application can be made by the patentee / assignee, or his
legal representative and in case of joint applicants, then,with the leave of the Controller, any one or more of themwithout joining the others.
b. The applicant has to state, the circumstances which led to
the failure of payment of renewal fees. The application
must

includeastatement

fully

settingout

thecircumstances that led to the failure to pay the renewal fee.
This statement may be supported by evidence and copies ofany documents referred to.
c. The evidence must support the patentee's claim that the114

failure to pay was unintentional and there has been no
undue delay in applying for restoration.
d. The Controller may call for further evidence to justify thatthe failure to pay was unintentional and that there has beenno undue delay for making the application.
e. If a patentee has failed to register a change of name before
cessation he must first apply under Rule 94 for alteration in
the register. If he changed his name after cessation he must
prove his identity. In both cases he must draw and sign theapplication in his new name but in the latter case must add'formerly known as' to his identification.
10.02.01

Procedure for disposal of application for restoration

Section 60, 61,

a. When the Controller is prima facie satisfied that the failure 62.
to pay renewal fee was unintentional and there had been no Rule 84, 85, 86.
undue delay, the application for restoration will be Form-14.
published in the official journal.
b. If the Controller is satisfied that a prima facie case forrestoration has not been made, the Controller may issue a
notice to the applicant to that effect. Within one monthfrom the date of notice, if the applicant makes a request to
be heard on the matter, a hearing shall be given and therestoration application may be disposed. If no request forhearing is received within one month from the date ofnotice by the Controller, the application for restoration isrefused. In case of rejection of the application forrestoration, a speaking order shall be issued.
c. Any person interested may give Notice of Opposition, inthe prescribed manner, to the application within twomonths of the date of Publication in the official journal on
the grounds that the failure to pay the renewal fee was notunintentional or that there has been undue delay in the115

making of the application.
d. The Notice of Opposition shall include a statement settingout the nature of the opponent's interest, the grounds of
opposition, and the facts relied upon. The notice of
opposition shall be sent to the applicant expeditiously by
the Controller.
e. The procedure specified in rules 57 to 63 for post grant
opposition for filing of written statement, reply statement,
reply evidence, hearing and cost shall apply in this case.
[See Chapter 9- Post-grant opposition]
f. When no opposition is received within a period of twomonths from the date of publication of the application forrestoration, or opposition, if any, is disposed of in favour of
the Patentee, the Controller shall issue an order allowing
the application for restoration. The unpaid renewal fee andthe additional fee, as mentioned in the first schedule, shallbe paid within one month from the date of order of theController.
g. The fact that a patent has been restored shall be publishedin the official journal.
h. To protect the persons who have begun to use theapplicant's invention between the date when the Patentceased to have effect and the date of Publication of the
Application for restoration, every order for restoration
includes the provisions and other conditions, as theController may impose, for protection and compensation of
the above-mentioned persons. No suit or other proceeding
shall be commenced or prosecuted in respect of an
infringement of a Patent committed between the date on
which the Patent ceased to have effect and the date of the
Publication of the Application for restoration of the patent.
116

10.03

Registration of assignments/Transfer of Right

Section 68, 69.

a. An assignment of a patent or of a share in a patent, a Rule 90, 91, 92.
mortage, licence or the creation of any other interest in a Form-16.
patent shall be valid only if the same were in writing andthe agreement between the parties concerned is reduced to
the form of a document embodying all the terms andconditions governing their rights and obligations and has
been duly executed.
b. Any person who becomes entitled by assignment,
transmission or operation of law to a patent or to a share inpatent or becomes entitled as a mortgagee, licencee orotherwise to any other interest in a patent, may apply in
writing in Form-16 to the Controller, for the registration of
his title or as the case may be of notice of his interest in theregister. Such an application can also be made by theassignor, mortgagor, licensor or other party as the case maybe.
c. Where such application is made for the registration of title
or notice of interest of any person, the Controller, upon
proof of title or interest to his satisfaction, shall enter in theregister such particulars as are appropriate.
d. If there is any dispute between the parties the Controller
may refuse to take any action to make an entry in theregister, until the rights of the parties have been determinedby a competent court.
e. Except for the purpose of making an application forregistration of right, title or interest in the register ofpatents or for an application for rectification of the registerof patents in the IPAB, a document in respect of which noentry has been made in the register shall not be admitted by
the Controller or by any court as evidence of the title of117

any person to a patent or to a share or interest therein
unless the Controller or the court, for reasons to berecorded in writing, otherwise directs.
f. If requested by the patentee / licensee, the terms of thelicense may be kept confidential and not disclosed to any
person, except under the order of a Court.
10.04

Section 63.

Surrender Of Patents

a. The patentee may at any time offer to surrender his patent Rule 57, 58, 59,
through an application on plain paper. On receipt of such an 60, 61, 62, 63.
offer the Controller publishes the offer in the Official Form-14.
Journal and also notifies every person (other than thepatentee) whose name appears in the register as having aninterest in the patent.
b. An opposition against the offer to surrender the patent may
be filed by any person interested in Form 14 (in duplicate)within 3 months from the date of publication of such offer
in the Official Journal. The Controller shall inform the
Patentee on receipt of such notice.
c. The procedure relating to filing of written statement, reply
statement leaving evidence and hearing of the opposition issimilar to that of the opposition to the grant of Patents as
per Rules 57-63 [See Chapter 9- Post-grant opposition].
d. In case, the Controller accepts the patentee's offer tosurrender the patent, he may direct the patentee to return thepatent and on the receipt of which, the Controller shall byorder, revoke it and publish such revocation in the official
journal.
10.05

Section 83,

Working of Patents

a. Patents are granted to encourage inventions and to secure 146.
that the inventions are worked in India on a commercial Rule 131(2)scale and to the fullest extent that is reasonably practicable Form-27
118

without undue delay.
b. The Controller has the power to call for the informationsuch as periodical statements as to the extent to which thepatented invention has been commercially worked in India,
as may be specified in the notice issued to that effect at any
time during the continuance of the Patentc. A patentee or a licensee shall furnish such information
within two months from the date of such notice or withinsuch further time as the Controller may allow.
d. The patentee and every licensee shall furnish a statement as
to the extent to which the patented invention has been
worked on a commercial scale in India, in Form 27, in
respect of every calendar year, within three months of theend of each year.
10.06

Amendments after the grant of patents

Section 57, 59.

a. After the grant of patent, the patentee may apply in Form- Rule 57, 58, 59,
13 for an amendment of the application for patent, complete 60, 61, 62 63,
specification or any document relating thereto to be 81, 82, 83.
amended subject to such conditions, if any, as the Form-13, 14.
Controller thinks fit. Such a request may be filed in Form13 with prescribed fee. Such request may also be made foramendment of priority date.
b. The request shall state the nature of the proposed
amendment, highlighted in an annexed copy along with thereasons. The amendments are allowable only by way of
disclaimer, correction or explanation. Such amendments
shall be for the purpose of incorporation of actual fact only.
Further, no amendment of a complete specification shall beallowed the effect of which would be that the specificationas amended would claim or describe matter not in substancedisclosed or shown in the specification before the119amendment, or the amended claim(s) do not fall wholly
within the scope of claim(s) of the specification before theamendment.
c. An application for amendment may be published along with
the nature of proposed amendment. However, if the natureof proposed amendment is substantive, the application for
amendment

shall

be

published.

For

instance,

any

application for amending the complete specification or theclaims or the application for patent shall be published.
d. The amended pages have to be filed in duplicate by theapplicant along with duly cancelled original pages.
e. Any person interested may file a notice of opposition in
Form-14 within three months from the date of publicationof the application for amendment. Where such a notice of
opposition is filed, the Controller notifies the applicant foramendment.
f. After giving an opportunity to the applicant and opponent,
if any, the Controller shall dispose off the case. The
procedure specified in rules 57 to 63 for post grant
opposition for filing of written statement, reply statement,
reply evidence, hearing and costs shall apply in this case.
[See Chapter 9- Post-grant opposition]g. Amendments allowed after the grant of patent shall be
published.
h. A leave to amend the complete specification obtained byfraud is a ground for revocation of patent under Section 64.
i. If any suit for infringement is pending before a Court or any
proceeding for revocation of the Patent is pending before
the High Court, the Controller shall not pass any order
allowing or refusing the application for amendment.
10.07

Procedure to be followed, after the grant of patent, in120

Section 44.

case of death of an applicant

Rule 75.

a. If the applicant had died before the grant of patent, but

Form-10, 16.

the patent was granted in his name, a person in whosename the patent ought to have been granted may make arequest to the Controller for substitution. The Controller
may amend the patent by substituting the name of thedeceased applicant with the name of such claimant. Sucha request has to be made in Form-10.
b. If the applicant dies after the patent has been granted,
any person who becomes entitled to the patent or to ashare in the patent, by operation of law, may make arequest for registration of his title. Such a request shallbe made in Form-16.
10.08

Section 67, 72.

Register of Patentsa. A register of patents is available to public at each Patent Rule 88, 93, 94.
Office location and contains details about the patentee,
notifications in respect of assignments, transmissions,patents, licences under patents, and amendments, extension
and revocations of patents.
b. A copy of, or extracts from, the register of patents, certified
to be a true copy under the hand of the Controller or any
officer duly authorized by the Controller is admissible inevidence in all legal proceedings.
c. Upon grant of a patent, the Controller enters in the Registerof Patents the names, addresses and nationality of thepatentee, title of the invention including the categories towhich the invention relates, date of the patent, date of
granting thereof and address for service of the patentee. The
fact of payment of renewal fee shall also be entered in theregister of patents.
d. The Controller shall also enter in the register of patents,
121

particulars regarding proceedings under the Act, before theController or in the Courts in respect of every patent.
e. An application for alteration of name, nationality, addressor address for service as entered in the register of patents
may be made to the Controller in respect of any Patent. The
Controller may require such proof of the alteration as hemay think fit before acting on the request. If the Controller
allows such a request, entries in the register are alteredaccordingly.
f. If a patentee makes a request in writing along with theprescribed fees for entering an additional address for service
in India and the Controller is satisfied that the request shallbe allowed, the additional address shall be entered in theregister.
g. Entries in the register for each patent are available to the
public on the official website.
10.09

Rectification of register of patents
a. An application for rectification of register of patents may bemade to the Intellectual Property Appellate Board (IPAB)
by any person aggrieved:i.

by the absence or omission from the register of any
entry; orii.

by any entry made in the register without sufficientcause; oriii.

by any entry wrongly remaining on the register; oriv.

by any error or defect in any entry in the register.

b. Notice of such application made before the IPAB is given
to the Controller, who is entitled to be heard on theapplication. Further, if so ordered, the Controller shallappear before the IPAB.
c. If IPAB passes any order rectifying the register, a notice of122

Section 71

rectification is served upon the Controller, who, upon suchreceipt, rectifies the register.

123

Chapter-11
Appeals
11.01

Appellate Board and Appeals

11.01.01

Appellate Board

Section 116,

a. An Appellate board, established under the Section 83 of the 117A(2)Trade Marks Act, 1999, is the Appellate Board for the purposesof Patents Act, 1970. An appeal lies to the Appellate Board fromany decision, order or directions of the Controller or Central
Government passed under the provisions mentioned in Section
117A(2) only and not against any other decision or direction.
The Board has been constituted for speeding up legal
proceedings.
b. The Appellate Board became operational on and from 2nd April,2007 vide S.O. 507(E) published in the Gazette of India, Part II,
Section 3, Sub-section (ii)11.01.02

SectionAppealsa. An appeal lies from the decision, order or direction made or 117A(2), 81.
issued under the Patents Act by the Central Government or any
act or order of the Controller for the purpose of giving effect toany such decision order or direction.
b. Further, an appeal shall lie from any decision, order or directionof the Controller or Central Government under Sections 15, 16,
17, 18, 19, 20, 25(4), 28, 51, 54, 57, 60, 61, 63, 66, 69(3), 78,
84(1) to (5), 85, 88, 91, 92 and 94 of the Patents Act.
c. No appeal lies from an Order of the Controller granting
extension of time when such extension is provided in any
provision of the Act or of the rules.
11.02

SectionAppeal procedurea. Every appeal from the decision of the Controller under relevant 117E, 117F.

124

sections as mentioned in Section 117A (2) shall be accompaniedby the certified copy of the decision, order or direction appealed
against. Such application shall be in the form and fee prescribed.
b. Every appeal should be made within three months from the dateof the decision, order or direction of the Controller or of theCentral Government, as the case may be or within such further
time as the Appellate Board may in accordance with the Rules
made by it allow.
c. The Controller shall have the right to appear and be heardi.

in any legal proceedings before the Appellate Board inwhich the relief sought includes alteration or rectificationof the register or in which any question relating to thepractice of the patent office is raised;ii.

in any appeal to the Appellate Board from an order of theController on an application for grant of patent—
A. which is not opposed, and the application is either
refused by the Controller or is accepted by him
subjecttoanyamendments,

modifications,conditions or limitations, or
B. which has been opposed and the Controller
considers that his appearance is necessary in the
public interest.
d. The Controller shall appear in any case, if so directed by theAppellate Board.
e. The Controller may, in lieu of appearing, unless the Appellate
Board otherwise directs, submit a statement in writing signed byhim, giving such particulars as he thinks proper of theproceedings before him relating to the matter in issue or of thegrounds of any decision given by him or of the practice of thepatent office in like cases, or of other matters relevant to theissues and within his knowledge as the Controller may deem it
125necessary, and such statement shall be evidence in theproceedings.

126Chapter-12
Revocation of Patent
12.01

Revocation of Patent

12.01.01

Revocation before High Court or Appellate Board

Section 64

a. Any person interested or the Central Government may
make a petition on any of the grounds, specified forrevocation of Patent under Section 64 of the Patents
Act, before the Appellate Board. A Patent may also be
revoked by the High Court on a counter-claim in a suitfor infringement of patent.
b. Grounds for revocation before the Appellate Board aswell as the High Court are elaborated in Section 64.
c. Without prejudice to the provisions contained in (a)above, a patent may be revoked by the High Court on
the petition of the Central Government, if the High
Court is satisfied that the patentee has without
reasonable cause failed to comply with the request of
the Central Government to make, use or exercise thepatented invention for the purposes of government
within the meaning of Section 99 upon reasonable
terms.
12.01.02

Revocation by Controller on direction of Central
Governmenta. Where at any time after grant of a patent, the Central
Government is satisfied that a patent is for an
invention relating to atomic energy for which nopatent can be granted under sub-section (1) of section
20 of the Atomic Energy Act, 1962 (33 of 1962), it

127

Section 65

may direct the Controller to revoke the patent, andthereupon the Controller, after giving notice, to thepatentee and every other person whose name has beenentered in the register as having an interest in thepatent, and after giving them an opportunity of being
heard, may revoke the patent.
b. In such proceedings, the Controller may allow thepatentee to amend the complete specification in suchmanner as he considers necessary instead of revoking
the patent.
12.01.03

Revocation by Central Government

Section 66

Where the Central Government is of opinion that a patentor the mode in which it is exercised is mischievous to theState or generally prejudicial to the public, it may, after
giving the patentee an opportunity to be heard, make adeclaration to that effect in the Official Gazette andthereupon the patent shall be deemed to be revoked.
12.01.04

Revocation by Controller for non-working
a. Where, in respect of a patent, a compulsory licencehas been granted, the Central Government or any
person interested may, apply to the Controller for an
order revoking the patent on the ground:i.

that the patented invention has not been
worked in the territory of India, orii.

that reasonable requirements of the public withrespect to the patented invention have not beensatisfied, oriii.

that the patented invention is not available tothe public at a reasonably affordable price.

c. Such an application can be made only after the
expiration of two years from the date of the order
128

Section 85

granting the first compulsory licence.
d. Such an application shall contain such particulars as
may be prescribed, the facts upon which theapplication is based, and, in the case of an application
other than the one made by the Central Government, it
shall also set out the nature of the applicant's interest.
e. Such applications shall ordinarily be decided within
one year from the date of presentation to theController.

129

Chapter 13
Compulsory Licensing

13.01

Working of patents - General principles
a. Patents are granted to encourage inventions and to secure that theinventions are worked in India on a commercial scale and to thefullest extent that is reasonably practicable without undue delay.
b. Patents are not granted merely to enable patentees to enjoy amonopoly for the importation of the patented article.
c. The protection and enforcement of Patent rights contribute to thepromotion of technological innovation and to the transfer anddissemination of technology, to the mutual advantage of producers
and users of technological knowledge and in a manner conducive
to social and economic welfare, and to a balance of rights andobligations.
d. Patents granted do not impede protection of public health andnutrition and should act as instrument to promote public interest
especially in sectors of vital importance for socio-economic andtechnological development of India.
e. Patents granted do not in any way prohibit Central Government intaking measures to protect public health.
f.

The Patent right shall not be abused by the patentee or person
deriving title or interest on Patent from the patentee, and thepatentee or a person deriving title or interest on Patent from thepatentee does not resort to practices which unreasonably restrain
trade or adversely affect the international transfer of technology.

g. Patents are granted to make the benefit of the patented invention
available at reasonably affordable prices to the public.
h. Patented inventions are worked on a commercial scale in the
territory of India without undue delay and to the fullest extent thatis reasonably practicable;
130

Section 83, 89

i. The interests of any person for the time being working ordeveloping an invention in the territory of India under theprotection of a patent are not unfairly prejudiced.
13.02

Compulsory License
An application for grant of a compulsory license may be made under
the following provisions:a. Section 84.
b. Section 91.
c. Section 92.

d. Section 92A.
13.02.01

Compulsory License under Section 84

Section 84

a. Any person interested may make an application to the Controller Form-17
for grant of Compulsory License for a patent after the expiry of
three years from the ―date of grant‖ of the patent on the following
grounds:i.

that the reasonable requirements of public with respect tothe patented invention have not been satisfied, orii.

that the patented invention is not available to the public at
reasonably affordable price, oriii.

that the patented invention is not worked in the territory ofIndia.

Such an application may also be made by the licensee.
b. No person shall be stopped from alleging the grounds i-iii above by
reason of any admission made by him in the licence or otherwise or
by reason of his having accepted such a licence.
c. In considering such an application, the Controller shall take into
accounti.

the nature of the invention, the time which has elapsed
since the sealing of the patent and the measures alreadytaken by the patentee or any licensee to make full use of
the invention;ii.

the ability of the applicant to work the invention to the
public advantage;

131

iii.

the capacity of the applicant to undertake the risk inproviding capital and working the invention, if theapplication were granted;iv.

as to whether the applicant has made efforts to obtain alicence from the patentee on reasonable terms andconditions and such efforts have not been successful withina reasonable period as the Controller may deem fit.
Reasonable period shall be construed as a period not
ordinarily exceeding a period of six months. However,these circumstances shall not be applicable in case ofnational emergency or other circumstances of extreme
urgency or in case of public non-commercial use or on
establishment of a ground of anti-competitive practices
adopted by the patentee.

13.02.01.01

Section 84(7)Reasonable requirements of the public
The reasonable requirements of the public shall be deemed not to havebeen satisfied—
I. if, by reason of the refusal of the patentee to grant a licenceor licences on reasonable terms,—i.

an existing trade or industry or the development
thereof or the establishment of any new trade orindustry in India or the trade or industry in India or the
trade or industry of any person or class of persons
trading or manufacturing in India is prejudiced; orii.

the demand for the patented article has not been met toan adequate extent or on reasonable terms; or

iii.

a

marketforexportofthepatented

articlemanufactured in India is not being supplied ordeveloped; oriv.

the establishment or development of commercial
activities in India is prejudiced; or

II. if, by reason of conditions imposed by the patentee upon the
grant of licences under the patent or upon the purchase, hireor use of the patented article or process, the manufacture, use132

or sale of materials not protected by the patent, or theestablishment or development of any trade or industry inIndia, is prejudiced; orIII. if the patentee imposes a condition upon the grant of licences
under the patent to provide exclusive grant back, prevention
to challenges to the validity of patent or coercive package
licensing; orIV. if the patented invention is not being worked in the territoryof India on a commercial scale to an adequate extent or is not
being so worked to the fullest extent that is reasonably
practicable; or
V. if the working of the patented invention in the territory ofIndia on a commercial scale is being prevented or hinderedby the importation from abroad of the patented article by—i.

the patentee or persons claiming under him; orii.

persons directly or indirectly purchasing from him; oriii.

other persons against whom the patentee is not taking
or has not taken proceedings for infringement.

13.02.01.02

Section 84

Contents of application

Such an application shall contain a statement setting out the nature of Form-17
the applicant's interest, the facts upon which the application is based
and the terms and conditions of the licence the applicant is willing toaccept.
13.02.01.03

Section 86, 87,Procedurea. Where the Controller is satisfied, upon consideration of an 88, 89, 90.
application for compulsory licence, that a prima facie case has Rule 62, 96, 97,
been made out, he shall direct the applicant to serve copies of the98, 99, 100, 101.

application upon the patentee and any other person appearing from Form-14
the register to be interested in the patent in respect of which theapplication is made, and shall publish the application in the official
journal.
b. The patentee or any other person desiring to oppose the application
may, within two months from the date of publication of the133

application or within such further time as the Controller may on
application (made either before or after the expiration of theprescribed time) allow, give to the Controller notice of opposition.
c. The notice of opposition shall include grounds on which theapplication is opposed and the terms and conditions of the licence,
if any, the opponent is prepared to grant to the applicant and shallbe accompanied by evidence in support of the opposition.
d. The opponent shall serve a copy of his notice of opposition andevidence on the applicant and notify the Controller when suchservice has been effected.
e. No further statement or evidence shall be delivered by either party
except with the leave of or on requisition by the Controller.
f.

The Controller shall forthwith fix a date and time for the hearing of
the case and shall give the parties not less than ten days notice ofsuch hearing.

g. The procedure specified in sub-rules (2) to (5) of rule 62, shall, so
far as may be, apply to the procedure for hearing under this rule as
they apply to the hearing in opposition proceedings.
h. If, upon consideration of the evidence, the Controller is satisfied
that a prima facie case has not been made out, he shall notify theapplicant accordingly, and unless the applicant requests to be heard
in the matter, the Controller shall refuse the application. The
applicant shall make such a request within one month from the dateof such notification.

i. If the applicant requests for a hearing within the time allowed, theController shall, after giving the applicant an opportunity of being
heard, determine whether the application may be proceeded with orwhether it shall be refused and issue a speaking order on the matteras expeditiously as possible.
13.02.01.04

Section 90

Terms and conditions
In settling the terms and conditions of a licence, the Controller
endeavours to secure -a. that the royalty and other remuneration, if any, reserved to the134patentee or other person beneficially entitled to the patent, isreasonable, having regard to the nature of the invention, theexpenditure incurred by the patentee in making the invention or indeveloping it and obtaining a patent and keeping it in force andother relevant factors;b. that the patented invention is worked to the fullest extent by the
person to whom the licence is granted and with reasonable profit tohim;c. that the patented articles are made available to the public at
reasonably affordable prices;d. that the licence granted is a non-exclusive licence;e. that the right of the licensee is non-assignable;
f. that the licence is for the balance term of the patent unless a shorter
term is consistent with public interest;g. that the licence is granted with a predominant purpose of supply in
the Indian market and that the licensee may also export thepatented product, if need be in accordance with the provisions of
sub-clause (iii) of clause (a) of sub-section (7) of section 84;

h. that in the case of semi-conductor technology, the licence granted
is to work the invention for public non-commercial use;i. that in case the licence is granted to remedy a practice determined
after judicial or administrative process to be anti-competitive, thelicensee shall be permitted to export the patented product, if needbe.
The terms and conditions of a licence settled by the Controller, may berevised upon Application by the licensee after he has worked theinvention on a commercial scale for at least twelve months, on the
ground that the terms and conditions settled have proved to be more
onerous than originally expected and that in consequence thereof thelicensee is unable to work the invention except at a loss. However, nosuch application shall be entertained a second time.
13.02.01.05

Section 88

Application by licenceea. Where the Controller is satisfied on an application for compulsory

135license that the manufacture, use or sale of materials not protectedby the patent is prejudiced by reason of conditions imposed by thepatentee upon the grant of licences under the patent, or upon thepurchase, hire or use of the patented article or process, he may,subject to the provisions of Section 84, order the grant of licences
under the patent to such customers of the applicant as he thinks fit
as well as to the applicant.

b. Where an application for compulsory license is made by a person
being the holder of a licence under the patent, the Controller may,
if he makes an order for the grant of a licence to the applicant,order the existing licence to be cancelled, or may, if the thinks fit,instead of making an order for the grant of a licence to theapplicant, order the existing licence to be amended.
13.02.01.06

Compulsory license in case of two or more patents held by the Section 88
same patentee
Where two or more patents are held by the same patentee and an
applicant for a compulsory licence establishes that the reasonablerequirements of the public have not been satisfied with respect to someonly of the said patents, then, if the Controller is satisfied that theapplicant cannot efficiently or satisfactorily work the licence granted tohim under those patents without infringing the other patents held by thepatentee and if those patents involve important technical advancement
or considerable economic significance in relation to the other patents,
he may, by order, direct the grant of a licence in respect of the otherpatents also to enable the licensee to work the patent or patents inregard to which a licence is granted under section 84.

13.02.02

Section 87, 88,

License for related patentsa. At any time after the grant of a patent, any person who has the 89, 90, 91
right to work any other patented invention, either as patentee or as
licensee thereof, exclusive or otherwise, may apply to theController for the grant of a licence of the first mentioned patent on
the ground that he is prevented or hindered without such licencefrom working the other invention efficiently or to the best

136

Form-17

advantage possible.
b. No order under such an application shall be made unless theController is satisfied –i.

that the applicant is able and willing to grant, or procure thegrant to the patentee and his licensees if they so desire, of alicence in respect of the other invention on reasonable terms;
and

ii.

that the other invention has made a substantial contribution to
the establishment or development of commercial or industrial
activities in the territory of India.

c. Controller, if satisfied, that the grounds alleged have been
established by the applicant, he may make an order on such terms
as he thinks fit granting a licence under the first mentioned patent
and a similar order under the other patent if so requested by the
proprietor of the first mentioned patent or his licensee.
However, such a licence granted by the Controller shall be nonassignable except with the assignment of the respective patents.

d. The procedure as mentioned in Sections 87, 88, 89 and 90 shallapply to licences a licence granted under this provision.
13.02.03

Compulsory licence on notification by Central Government

Section 83, 87,

a. If the Central Government is satisfied, in respect of any patent in

88, 89, 90, 92

force in circumstances of national emergency or in circumstances Form-17
of extreme urgency or in case of public non-commercial use, that itis necessary that compulsory licenses should be granted at any timeafter the sealing thereof to work the invention, it may make adeclaration to that effect, by notification in the Official Gazette,
and thereupon the following provisions shall have effect, that is tosay i.

the Controller shall, on application made at any time after the
notification by any person interested, grant to the applicant alicence under the patent on such terms and conditions as hethinks fit;ii.

in settling the terms and conditions of a licence granted under
this section, the Controller shall endeavour to secure that the137articles manufactured under the patent shall be available to the
public at the lowest prices consistent with the patentees
deriving a reasonable advantage from their patent rights.
iii.

The procedure as mentioned in Sections 83, 87, 88, 89 and 90
shall apply in relation to the grant of such licences as they
apply in relation to the grant of licences under Sec. 84.

iv.

However, where the Controller is satisfied on consideration of
the application that it is necessary inI.

a circumstance of national emergency; orII.

a circumstance of extreme urgency; orIII.

a case of public non-commercial use,which may arise or is required, as the case may be, including
public health crisis relating to Acquired Immuno Deficiency
Syndrome, Human Immune Deficiency Virus, Tuberculosis,
Malaria or other epidemics, the procedure as mentioned in
Section 87 shall not apply. However, the Controller shall, as
soon as may be practicable, inform the patentee of the patent
relating to the application for such non-application of Section
87.

13.02.04

Compulsory licence for export of patented pharmaceutical Section 92A
products in certain exceptional circumstances
a. Compulsory licence shall be available for manufacture and exportof patented pharmaceutical product to any country having
insufficient or no manufacturing capacity in the pharmaceuticalsector for the concerned product to address public health problems,
provided compulsory licence has been granted by such country or
such country has, by notification or otherwise, allowed importationof the patented pharmaceutical products from India.
b. The Controller shall, on receipt of an application in the prescribedmanner, grant a compulsory licence solely for manufacture andexport of the concerned pharmaceutical product to such country
under such terms and conditions as may be specified and publishedby him.
c. The provisions of (a) and (b) shall be without prejudice to the138

Form-17

extent to which pharmaceutical products produced under acompulsory licence can be exported under any other provision ofthis Act.

d. 'Pharmaceutical products' means any patented product, or productmanufactured through a patented process, of the pharmaceuticalsector needed to address public health problems and shall be
inclusive of ingredients necessary for their manufacture anddiagnostic kits required for their use.
13.02.05

Termination of Compulsory License
a. Patentee or any other person deriving title or interest in the patent,
may make an application for termination of compulsory licencegranted under Section 84 on the ground that the circumstances thatgave rise to the grant thereof no longer exist and suchcircumstances are unlikely to recur.
b. The holder of the compulsory licence shall have the right to object
to such termination.

c. While considering such an application, the Controller shall take
into account that the interest of the person, who had previously
been granted the licence, is not unduly prejudiced.

139

Section 94

Chapter 14
Use of patent for purposes of Government
14.01

Use of patent for the purpose of Government

Section 99

An invention is said to be used for the purpose of Government if it
is made, used, exercised or vended for the purposes of Central
Government, a State Government or a Government undertaking.
14.02

Power of Central Government to use inventions
a. Where an invention has, before the priority date of the relevantclaim of the complete specification, been duly recorded in adocument, or tested or tried, by or on behalf of the government
or a government undertaking, otherwise than in consequence ofthe communication of the invention directly or indirectly, by
the patentee or by a person from whom he derives title, any useof the invention by the Central Government or any person
authorized in writing by it for the purposes of government may
be made free of any royalty or other remuneration to thepatentee.
b. If and so far as the invention has not been so recorded or triedor tested as aforesaid, any use of the invention made by theCentral Government of any person authorized by it as above
said, at any time after grant of the patent or in consequence ofany such communication as aforesaid, shall be made uponterms as may be agreed upon either before or after the use,
between the Central Government or any person authorised byCentral Government and the patentee, or, as may in default ofagreement be determined by the High Court on a reference
under Section 103.
In case of any such use of any patent, the patentee shall be paid
not more than adequate remuneration in the circumstances of140

Section 100

each case, taking into account the economic value of the use of
the patent.
c. The authorisation by the Central Government in respect of an
invention may be given either before or after the patent isgranted and either before or after the acts in respect of whichsuch authorisation is given or done, and may be given to any
person, whether or not he is authorised directly or indirectly by
the applicant or the patentee to make, use, exercise or vend theinvention or import the machine, apparatus or other article or
medicine or drug covered by such patent.
d. Where an invention has been used by or with the authority of
the Central Government for the purposes of government thenexcept in case of national emergency or other circumstances ofextreme urgency or for non-commercial use, the government
shall notify the patentee as soon as practicable of the fact andfurnish him with such information as to the extent of the use of
the invention as he may, from time to time, reasonably require.
Where the invention has been used for the purposes of agovernment undertaking, the Central Government may call forsuch information as may be necessary for this purpose fromsuch undertaking.
e. The right to make, use, exercise and vend an invention for the
purposes of government shall include the right to sell on noncommercial basis, the goods which have been made in exerciseof that right, and a purchaser of goods so sold, and a person
claiming through him, shall have the power to deal with thegoods as if the Central Government or the person authorised by
the Central Government were the patentee of the invention.
f. Where in respect of a patent which has been the subject of an
authorisation, there is an exclusive licensee or where suchpatent has been assigned to the patentee in consideration of141

royalties or other benefits determined by reference to the use of
the invention (including payments by way of minimum
royalty), the notice shall also be given to such exclusive
licensee or assignor, as the case may be, and the reference tothe patentee shall be deemed to include a reference to suchassignor or exclusive licensee.
14.03

Section 101

Rights of third parties
a. In relation to any use of a patented invention, or an invention in
respect of which an application for a patent is pending, madefor the purposes of governmenti.

by the Central Government or any person authorised by
the Central Government under section 100; orii.

by the patentee or applicant for the patent to the ordermade by the Central Government,

the provisions of any licence, assignment or agreement granted
or made, between the patentee or applicant for the patent (orany person who derives title from him or from whom hederives title) and any person other than the Central Government
shall be of no effect so far as those provisions—i.

restrict or regulate the use for the purposes ofgovernment of the invention, or of any model,
document or information relating thereto, orii.

provide for the making of payments in respect of any
use of the invention or of the model, document or
information relating thereto for the purposes ofgovernment

and the reproduction or publication of any model or document
in connection with the said use for the purposes of government
shall not been deemed to be an infringement of any copyrightsubsisting in the model or document.
b. Where the patent, or the right to apply for or obtain the patent,142

has been assigned to the patentee in consideration of royalties
or other benefits determined by reference to the use of theinvention then, in relation to any use of the invention made forthe purposes of government by the patentee to the order of theCentral Government, sub-section (3) of section 100 shall haveeffect as if that use were made by virtue of an authority given
under that section, and any use of the invention for the
purposes of government by virtue of sub-section (3) of that
section shall have effect as if the reference to the patentee
included a reference to the assignor of the patent, and any sum
payable by virtue of that sub-section shall be divided between
the patentee and the assignor in such proportion as may be
agreed upon between them or as may in default of agreement
be determined by the High Court on a reference under Section
103.
c. Where by virtue of sub-section (3) of section 100, payments are
required to be made by the Central Government or persons
authorised under sub-section (1) of that section in respect of theuse of an invention for the purposes of government, and where
in respect of such patent there is an exclusive licensee
authorised under his licence to use the invention for the
purposes of government, such sum shall be shared by thepatentee and such licensee in such proportions, if any, as may
be agreed upon between them or as may in default ofagreement be determined by the High Court on a reference
under section 103 to be just, having regard to any expenditure
incurred by the licensee—
i.

in developing the said invention; orii.

in making payments to the patentees other than royalties
or other benefits determined by reference to the use of
the invention in consideration of the licence.
14314.04

Section 102

Acquisition of inventions
a. The Central Government may, if satisfied that it is necessarythat an invention which is the subject of an application for apatent or a patent should be acquired from the applicant or thepatentee for a public purpose, publish a notification to that
effect in the Official Gazette, and thereupon the invention or
patent and all rights in respect of the invention or patent shall,by force of this section, stand transferred to and be vested in theCentral Government.
b. Notice of the acquisition shall be given to the applicant, and,
where a patent has been granted, to the patentee and otherpersons, if any, appearing in the register as having an interest in
the patent.
c. The Central Government shall pay to the applicant, or as thecase may be, the patentee and other persons appearing on theregister as having an interest in the patent such othercompensation as may be agreed upon between the Central
Government and the applicant or the patentee and otherpersons; or, as may, in default of agreement, be determined by
the High Court on a reference under section 103 to be justhaving regard to the expenditure incurred in connection with
the invention and, in the case of a patent, the term thereof, theperiod during which and the manner in which it has alreadybeen worked (including the profits made during such period by
the patentee or by his licensee whether exclusive or otherwise)and other relevant factors.

14.05

Reference of disputes to High Court
a. Any dispute as to the exercise by the Central Government or aperson authorised by it of the powers conferred by section 100,or as to terms for the use of an invention for the purposes ofgovernment thereunder or as to the right of any person to144

Section 103

receive any part of a payment made in pursuance of sub-section(3) of that section or as to the amount of compensation payablefor the acquisition of an invention or a patent under section
102, may be referred to the High Court by either party to thedispute in such manner as may be prescribed by the rules of theHigh Court.
b. In any proceedings under this section to which the Central
Government is a party, the Central Government may—i.

if the patentee is a party to the proceedings, petition by
way of counter-claim for revocation of the patent on
any ground upon which a patent may be revoked under
section 64; andii.

whether a patentee is or is not a party to theproceedings, put in issue the validity of the patent
without petitioning for its revocation.

c. If in such proceedings as aforesaid any question arises whether
an invention has been recorded, tested or tried as is mentioned
in section 100, and the disclosure of any document regarding
the invention, or of any evidence of the test or trial thereof,
would, in the opinion of the Central Government, be prejudicial
to the public interest, the disclosure may be madeconfidentially to the advocate of the other party or to anindependent expert mutually agreed upon.
d. In determining under this section any dispute between theCentral Government and any person as to terms for the use of
an invention for the purposes of government, the High Court
shall have regard to any benefit or compensation which that
person or any person from whom he derives title, may havereceived, or may be entitled to receive, directly or indirectly inrespect of the use of the invention in question for the purposesof government.
145

e. In any proceedings under this section, the High Court may at
any time order the whole proceedings or any question or issue
of fact arising therein to be referred to an official referee,commissioner or an arbitrator on such terms as the High Court
may direct, and 0072eferences to the High Court in theforegoing provisions of this section shall be construed
accordingly.
a. Where the invention claimed in a patent was made by a person
who at time it was made was in the service of the Central
Government or of a State Government or was an employee of agovernment undertaking and the subject-matter of the invention
is certified by the relevant government or the principal officerof the government undertaking to be connected with the work
done in the course of the normal duties of the government
servant or employee of the government undertaking, then,notwithstanding anything contained in this section, any disputeof the nature referred to in sub-section (1) relating to theinvention shall be disposed of by the Central Government
conformably to the provisions of this section so far as may be
applicable, but before doing so the Central Government shallgive an opportunity to the patentee and such other parties as it
considers have an interest in the matter to be heard.

146

Chapter 15
Patent Agents
15.01

Section 126,

Patent Agentsa. A patent application can be filed and prosecuted by an Applicant 127
himself or through a registered Indian patent agent. The Register ofPatent Agents containing the names and addresses of all the registeredpatent agents is available at: www.ipindia.nic.inb. The Patents Act read with the Patents Rules prescribe thequalifications and the eligibility for becoming a patent agent. In orderto get registered as a patent agent one has to pass an examination
conducted by the Controller General of Patents annually. The
notification concerning the examination is published in the official
website www.ipindia.nic.in and also in at least one prominent
newspaper.
c. In order to apply for registration as a patent agent, one has to be a
citizen of India, above the age of 21, and should have a Bachelor‘s
degree in Science or Engineering from a recognized Indian University
or possesses such other equivalent qualifications as the Central
Government may specify in this behalf.

d. All matters relating to registration and subsequent procedures are dealt
with in the Office of The Controller General of Patents, Designs andTrademarks, Mumbai.
15.02

Disqualifications for registration as a patent agent
A person shall not be eligible to be registered as a patent agent, if he a. has been adjudged by a competent court to be of unsound mind;
b. is an undischarged insolvent;c. being a discharged insolvent, has not obtained from the court acertificate to the effect that his insolvency was caused by misfortune
without any misconduct on his part;d. has been convicted by a competent court, whether within or outside
India of an offence to undergo a term of imprisonment, unless the147

Rule 114

offence of which he has been convicted has been pardoned or unlesson an application made by him, the Central Government has, by orderin this behalf, removed the disability;
e. being a legal practitioner has been guilty of professional misconduct;orf.

being a chartered accountant, has been guilty of negligence or
misconduct.

15.03

Section 127

Rights of patent agents
A patent agent is entitleda. to practice before the Controller; andb. to prepare all documents, transact all business and discharge such otherfunctions as may be prescribed in connection with any proceedings
before the Controller under this Act.
15.04

Subscription and verification of certain documents by a Patent Agent

Section 128

All applications and communications to the Controller under this Act may
be signed by a patent agent authorized in writing in this behalf by the
person concerned.
15.05

Restrictions on Practice as Patent Agents

Section 129

Only a person registered as a patent agent is authorized to practice. In thecase of a partnership, the firm may be described or held out as Patent
Agent, only if all of the partners of the Firm are registered as patent agents.
No company or other body corporate shall practice, describe itself or holditself out as Patent Agents or permit itself to be so described or held out.
Each person in the associate group if any constituted should be a registered
Agent and duly authorized by the concerned person on behalf they act.
15.06

Power of Controller to refuse to deal with certain agents
The Controller may refuse to recognize as agent in respect of any businessunder this Act:a. any individual whose name has been removed from, and not restored
to, the register;b. any person who has been convicted of an offence under section 123;c. any person, not being registered as a patent agent, who in the opinionof the Controller is engaged wholly or mainly in acting as agent in

148

Section 131

applying for patents in India or elsewhere in the name or for the
benefit of the person by whom he is employed;d. any company or firm, if any person whom the Controller could refuse
to recognize as agent in respect of any business under this Act, isacting as a director or manager of the company or is a partner in thefirm.

e. any person who neither resides nor has a place of business in India.
15.07

Power of Controller to remove the name of a Patent Agent

Section 130.

a. The name of any person from the Register can be removed if the Rule 116.
Controller is satisfied that: –i.

his/her name has been entered in the Register by error on
account of misrepresentation or suppression of material fact;
orii.

he/she has been convicted of any offence and sentenced to aterm of imprisonment or has been guilty of misconduct in his
professional capacity which in the opinion of the Controller
renders him unfit to be kept in the register.

b. The Controller shall take such decision after giving that person areasonable opportunity of being heard and after any further inquiry, as
he thinks fit to make.
c. Besides, the name of the Patent agent can be removed also when:i.

request has been received from the Patent Agent to that effect;orii.

he/she is dead; oriii.

if he/she has defaulted in the payment of fees specified in theFirst Schedule by more than three months after they are due.

d. The decision of the removal of the name of any person from theRegister of Patent Agents shall be published and will be communicatedto the person concerned.
15.08

Restoration of names of Patent Agents

Rule 117

a. Restoration of names of persons removed from the register of Patent Form-23
Agents can be made by the Controller, on Application made in form 23
within two months from the date of such removal.

149

b. The restoration of name to the register shall be published andcommunicated to the person concerned.

c. If the name of a person is entered in the register of Patents Agents, hisname shall be continued therein for a period of one year from the dateon which his last annual fee became due.

150

Chapter 16
Offences and Penalties
16.01

Section 118

Contravention of S.35 or 39
If any person fails to comply with any direction given under section 35
or makes or causes to be made an application for the grant of a patent incontravention of section 39, he shall be punishable with imprisonment
for a term which may extend to two years, or with fine, or with both.

16.02

Falsification of entries in register, etc.

Section 119

If any person makes, a false entry in any register kept under the Patents
Act or provides any writing or evidence as a result of which the entry in
the register results into a false entry, knowing the entry or writing to befalse, then he is punishable with imprisonment for a term that may
extend to two years or with fine or with both.
16.03

Unauthorized Claim of Patent Rights

Section 120

If any person falsely represents that any article sold by him is patented
in India or is the subject of an Application for a Patent in India, he shallbe punishable with fine that may extend to rupees one lakh.
16.04

Wrongful use of words, "Patent Office"Section 121

If any person uses on his place of business or any document issued by
him which would reasonably lead to the belief that either his place ofbusiness is the Patent Office or is officially connected with the Patent
Office, he shall be punishable with imprisonment for a term that may
extend to 6 months, or with fine, or with both.
16.05

Refusal or failure to supply information

Section 122

If any person refuses or fails to furnish information as required underForm-27

Sections 100(5) and 146, he shall be punishable with fine which may go
up to rupees ten lakh (one million). Section 100(5) provides that any
person including Government undertaking using a patented invention
for the purpose of Government has to furnish any information on theuse of invention as required by the Central Government and Section 146
provides that the patentee has to furnish a statement regarding the151working of the patented invention in a commercial scale in India in
Form 27. This has to be done annually within 3 months of the end ofeach calendar year for that calendar year. If he furnishes false
information knowingly he shall be punishable with imprisonment that
may extend to 6 months or with fine or with both.
16.06

Section 123

Practice by non-registered persons
Any person practicing as a Patent Agent without registering himself assuch is liable to be punished with a fine of rupees one lakh for the first
offence and rupees five lakh for subsequent offence.

16.07

Section 124

Offences by Companies
a. When an offence is committed by a company, the company as well as
every person in charge of, and responsible to the company for the
conduct of its business at the time of the commission of the offence,shall be deemed to be guilty and shall be liable to be proceeded against
and punished accordingly.
However, if such person proves that the offence was committed without
his knowledge or that he exercised all due diligence to prevent thecommission of the office, he shall not be liable.
b. Notwithstanding anything contained above, where an offence under
this Act has been committed by a company and it is proved that theoffence has been committed with the consent, connivance or that thecommission of the offence is attributable to any neglect on the part ofany director, manager, secretary or other office of the company, suchdirector, manager, secretary or other officer shall also be deemed to be
guilty of that offence.

152

Chapter 17
General Powers of Controller
17.01

Section 77

Powers of a Civil Court

Subject to any rules made in this behalf, the Controller in any Rule 136
proceedings before him under this Act, have the powers of a Civil Order XLVII of
Court while trying a suit under the Code of Civil Procedure, 1908 (Act CPC, 1908.
No. 5 of 1908) in respect of the following matters, namely: —a. Summoning and enforcing the attendance of any person andexamining him on oath;b. Requiring the discovery and production of any document;c. Receiving evidence on affidavits;
d. Issuing commissions for the examination of witnesses of
documents;e. Awarding costs;f.

Reviewing his own decision on application made within theprescribed time and in the prescribed manner;g. Setting aside an order passed ex-parte on application madewithin the prescribed time and in the prescribed manner;h. Any other matter which may be prescribed.
17.02

Section 77(1)(e)Awarding Costsa. Any order for costs awarded by the Controller in exercise of Rule 63, 136
the powers conferred upon him is executable as a decree of acivil court. In all proceedings before the Controller, costs may
be awarded by the Controller, as he considers reasonable,
having regard to all the circumstances of the case.
b. However, the amount of costs awarded in respect of any matterset forth in the Fourth Schedule shall not exceed the amountspecified therein.

c. Notwithstanding anything contained in (a) above, theController may, in his discretion, award a compensatory cost in
any proceeding before him which in his opinion is false or153

vexatious.
17.03

Section 77(1)(f).

Reviewa. Any person considering himself aggrieved by any order or decree Rule 130.
of the Controller from which an appeal is allowed but no appeal Form-4, 24.
has been preferred, or from which no appeal is allowed, and who, Section 114 &from the discovery of new and important matter or evidence which, Order XLVII ofafter the exercise of due diligence was not within his knowledge or CPC, 1908.
could not be produced by him at the time when the order or decree
was passed or order made, or on account of some mistake or error
apparent on the face of the record or for any other sufficientreason, desires to obtain a review of the decree passed or ordermade against him, may apply for a review of the order or decree to
the Controller.
b. An application to the Controller for the review of his decision
under clause (f) of sub-section (1) of section 77 shall be madewithin one month from the date of communication of such decision
to the applicant or within such further period not exceeding one
month thereafter as the Controller may on a request allow.
c. An application for review shall be accompanied by a statement
setting forth the grounds on which the review is sought.
d. Where the decision in question concerns any other person in
addition to the applicant, the Controller shall forthwith transmit a
copy of each of the application and the statement to the otherperson concerned.

e. An application to the Controller for setting aside an order passedby him ex-parte under clause (g) of sub-section (1) of section 77
shall be made within one month from the date of communication ofsuch order to the applicant or within such further period notexceeding one month as the Controller may on a request allow andshall be accompanied by a statement setting forth the grounds onwhich the application is based. Where the order concerns any otherperson in addition to the applicant, the Controller shall, forthwithtransmit a copy each of the application and the statement to theother person concerned.
15417.04

Petition for Obviating an Irregularity

Rule 137.

Any document for the amendment of which no special provision is Nippon Steelmade in the Act may be amended and any irregularity in procedure, Corporation Vs.
which in the opinion of the Controller may be obviated without Union of India
detriment to the interests of any person, may be corrected if theController thinks fit and upon such terms as he may direct.
While considering a petition under Rule 137, only such an irregularity
is allowed to be obviated which is without detriment to the interests ofany person. Further, only such amendments for which there is no
special provision in the Act and which may be made without detriment
to the interests of any person are allowable. Generally, a failure to Act
within prescribed time shall not be considered as an irregularity which
can be obviated under this Rule, as the Patents Act and Rules clearlymentions, wherever extensions are allowed.
17.05

Section 28.

Mention of Inventor in Patent

If the controller is satisfied, upon a request or claim made in Rule 57, 58, 59, 60,
accordance with the provisions of this section —61, 62, 63.

i) that the person in respect of or by whom the request or claim isForm 8.

made is the inventor of an invention in respect of which application
for a patent has been made, or of a substantial part of thatinvention; andii) that the application for the patent is a direct consequence of his
being the inventor, the Controller shall, subject to the provisions of
this section, cause him to be mentioned as inventor in any patent
granted in pursuance of the application in the complete
specification and in the register of patents:a. Such a request or claim shall be accompanied by a statement
setting out the circumstances under which the claim is made.
b. However, the mention of any person as inventor under this section
shall not confer or derogate from any rights under the patent.
c. A request that any person shall be mentioned as aforesaid may bemade in the prescribed manner by the applicant for the patent or(where the person alleged to be the inventor is not the applicant or
one of the applicants) by the applicant and that person.
155

d. If any person [other than a person in respect of whom a request in
relation to the application in question has been made under subsection (2)] desires to be mentioned as aforesaid, he may make aclaim in the prescribed manner in that behalf.
e. A request or claim under the foregoing provisions of this section
shall be made before the grant of patent.
f.

Where such a claim is made, the Controller shall give notice of theclaim to every applicant for the patent (not being the claimant) andto any other person whom the Controller may consider to beinterested and before deciding upon any such request or claim, theController shall, if required, hear the person in respect of or bywhom the request or claim is made, and also any person to whom
notice of the claim has been given as aforesaid.

g. Where any person has been mentioned as inventor in pursuance ofsuch an application, any other person who alleges that he ought not
to have been so mentioned may at any time apply to the Controller
for a certificate to that effect, and the Controller may, after hearing,
if required, any person whom he may consider to be interested,
issue such a certificate, and if he does so, he shall rectify the
specification and the register accordingly.
h. The procedure specified in rules 55A and 57 to 63 relating to thefiling of notice of opposition, written statement, reply
statement, leaving evidence, hearing and cost shall, so far as
may be, apply to the hearing of such a claim or application as they
apply to the opposition proceedings subject to the modificationthat reference to patentee shall be construed as the person making
the claim, or an application, as the case may be.
i.

Any mention of the inventor under sub-section (1) of section 28
shall be made in the relevant documents in the following form
namely:―The inventor of this invention/substantial part of thisinvention within the meaning of section 28 of the Patents Act,
1970, is…of…‖.

17.06

Directions Not Otherwise Prescribed
156

Rule 128

a. Where for the proper prosecution or completion of any
proceedings under the Act or these rules, the Controller is of theopinion that it is necessary for a party to such proceedings to
perform an Act, file a document or produce evidence, for which
provision has not been made in the Act or these rules, he may, by
notice in writing, require such party to perform the Act, file thedocument or produce the evidence specified in such notice.

b. Where an applicant or a party to a proceeding desires to be heard
or not heard, the Controller may, at any time, require him tosubmit his statement in writing giving such information as theController may deem necessary within the time specified by him.
17.07

Exercise of Discretionary Power by the Controller

Section 80.

a. Before acting adverse to any party, the Controller shall give an

Rule 129.

opportunity of being heard to the party. The discretionary powers
shall be exercised with due care and caution and not in anarbitrary manner. Such reasons shall be taken judiciously and thereasons shall be recorded in the file. However, this will not apply
to actions resulting from ―deemed‖ provisions in the Act andRules.
b. A party desiring a hearing shall make the request for such hearing
to the Controller at least ten days in advance of the expiry of thetime-limit specified in respect of the proceeding.

c. Before exercising any discretionary power under the Act or theserules which is likely to affect an applicant for a patent or a party to
a proceeding adversely, the Controller shall give such applicant or
party, a hearing, after giving him or them, ten days' notice of such
hearing ordinarily.
17.08

Power of Controller to Correct Clerical Errors, etc.

Section 78.

a. Without prejudice to the provisions contained in sections 57 andRule 122.

59 as regards amendment of applications for patents or complete
specifications or other documents relating thereto and subject tothe provisions of section 44, the Controller may, in accordancewith the provisions of this section, correct any clerical error in any

157patent or in any specification or other document filed in pursuanceof such application or in any application for a patent or any
clerical error in any matter which is entered in the register.
b. A correction may be made in pursuance of this section either upona request in writing made by any person interested andaccompanied by the prescribed fee, or without such a request.
c. Where the Controller proposes to make any such correction as
aforesaid otherwise than in pursuance of a request, he shall givenotice of the proposal to the patentee or the applicant for thepatent, as the case may be, and to any other person who appears to
him to be concerned, and shall give them an opportunity to beheard before making the correction.
d. Where a request is made for the correction of any error in a patent
or application for a patent or any document filed in pursuance ofsuch an application, and it appears to the Controller that thecorrection would materially alter the meaning or scope of the
document to which the request relates and ought not to be madewithout notice to persons affected thereby, he shall require noticeof the nature of the proposed correction to be published in theofficial journal.
e. Such a request for the correction of a clerical error in any
document shall be accompanied by a copy of the document
highlighting the corrections clearly along with the prescribed fees.
f.

Within the prescribed time after any such publication as aforesaid
any person interested may give notice to the Controller ofopposition to the request, and, where such notice of opposition is
given, the Controller shall give notice thereof to the person bywhom the request was made, and shall give to him and to the
opponent an opportunity to be heard before he decides the case.

g. The procedure specified in rules 58 to 63 relating to the filing ofreply statement, leaving evidence, hearing and costs shall, so far
as may be, will be applicable to the above proceedings.
17.09

Ex-parte decision
Before proceeding ex-parte against any party, the Controller shall158

issue a notice to the concerned party clearly stating therein that if theparty fails to attend the hearing so fixed, he shall be proceeded exparte. Such notice shall be sent by Registered Post withacknowledgment due.

159

Chapter 18
General Services
18.01

General Services
a. Patent Office provides certain statutory and non- statutory services
for the dissemination of information related to patent processing.
b. It may be noted that references to some of these services havealready been made in the relevant Chapters.

c. These services are enumerated in the following paragraphs as perstandards set by the Patent Office.
18.02

Section 145

Official Journal
a. Every Friday the Controller publishes the Official Patent Journal
electronically, which is made available on the official website of the
Patent Office.
b. The journal contains the following information:i.

Section 11A publication, including early publication.

ii.

Withdrawal of Patent Applications.

iii.

Cessation of Patents.

iv.

Restoration of lapsed Patents.

v.

Post-Grant amendments.

vi.

Amendment of Patent granted to a deceased applicant.

vii.

Assignment after grant.

viii.

Post-Grant Oppositions.

ix.

Working of Patents.

x.

Revocation of Patents.

xi.

Compulsory Licences.

xii.

Rectification of Register by the Appellate Board.

xiii.

Details of Government use.

xiv.

General matters.

xv.

Surrender of patents.

c. Publications under the Designs Act form the last part of the Journal
published.
160

18.03

Information relating to Patent Applications and Patents

Section 153.

a. At the request of a person (on plain paper), the Controller provides

Rule 134.

the following information regarding a Patent or an Application for a
Patent. Separate requests shall be made in respect of each item:i.

as to when a Complete Specification following a
Provisional Specification has been filed or an Application
for Patent is deemed to be abandoned;ii.

as to when the information under Section 8 has been filed;iii.

as to when Publication of Application has been made under
Section 11 A;

iv.

as to when an Application has been withdrawn under
Section 11B;v.

as to when a request for examination has been made under
Section 11B;vi.

as to when the examination report has been issued under
Section 12;vii.

as to when an Application for Patent has been refused;viii.

as to when a Patent has been granted;ix.

as to when a renewal fee has been paid;x.

as to when the term of a Patent has expired or shall expire;xi.

as to when an entry has been made in the Register or
Application has been made for the making of such entry; orxii.

as to when any Application is made or action taken
involving an entry in the Register, publication in the
Official Journal or otherwise, if the nature of the
Application or action is specified in the request.

b. The report of the Examiner to the Controller under Section 12 is notopen to public unless directed by a Court of Law.

c. Except (b) above, most of the information relating to patents isavailable on the official website. However, the information
available on the official website of the Patent Office would not be
sufficient for legal proceedings, for which a person may takerecourse to (a) above.
18.04

Inspection and supply of copies of documents
161

Section 72, 147,

a. After the publication of application, the application along with the 154.
complete specification, provisional specification, drawing, if any, Rule 27, 74A,
and the abstract may be inspected at the appropriate Patent Office.

132.

b. After the grant of a patent, the application along with the complete
specification, provisional specification, drawing, if any, and abstract
and related thereto may be inspected at the concerned Patent Office.
c. Request for inspection may be made in plain paper along with theprescribed fee.
d. A person may obtain copies of any document open to public upon
payment of the prescribed fee.
e. Certified copy (as may be required for legal proceedings) of any
document open to public may be obtained upon payment ofprescribed fee.
f.

Register of Patents may be inspected during the working hours of
the Patent Office by making a written application along with theprescribed fee.

g. Certified copies of any entry in the Register is available upon thepayment of prescribed fee.

h. If a Certificate of Patent is lost or destroyed, an application for a
Duplicate Certificate of Patent may be made on a plain paper clearlymentioning the grounds for issue of the same.
18.05

Annual report of the Patent Office
The Patent Office publishes an annual report comprising statisticalinformation pertaining to the activities of Patent Office. Such report isplaced before both the Houses of Parliament, whereupon the report ismade available on the official website.

18.06

Information available at the Website
The official website provides the following information:a. Indian Patent Information Retrieval System (IPIRS) provides
information on:i.

Granted Patents;ii.

Published Patent Applications;iii.

Controller‘s decisions; and162

Section 155

iv.

Patent Application status.

b. The objective of the IPIRS is to facilitate search in relation to Indian
Patents / Patent Applications for the purpose of novelty andinventive step and to enable applicants or any other person to
procure information pertaining to the status of a Patent Application.
c. List of registered Patent Agents.
d. Examination schedule for Patent Agents.
Office Orders / Circulars by the Controller General are made available
on the website.

163

Chapter 19
Scientific Advisors
19.01

Section 115

Scientific Advisors
a. In any suit for infringement or in any proceeding before a
Court under this Act, the Court may at any time, suo moto or
on an application made by a party, appoint an independent
Scientific Advisor to assist the Court or to inquire and reportupon any such questions of fact or of opinion (not involving aquestion of interpretation of law) as it may formulate for the
purpose.
b. The remuneration of the Scientific Advisor shall be fixed by
the Court and shall include the cost of preparing/making areport and appropriate fee for Scientific Advisor for any day
on which he/she may be required to attend the hearing of the
Court, and such remuneration shall be defrayed out of funds
provided by the Parliament under law for such purpose.

19.02

Rule 103

Roll of Scientific Advisors
The Controller maintains a panel/list of scientific advisors for the
purpose of Section 115. The panel/list is updated annually. The
panel/list contains the names, addresses, specimen signatures andphotographsofscientificadvisors,

theirdesignations,information regarding their educational qualifications, thedisciplines of their specialisation and their technical, practicaland research experience. The panel/list is also accessible / madeavailable on the official website of the Patent Office at url:
www.ipindia.nic.in
19.03

Qualifications and procedure for empanelment / enrollment

Rule 103, 104,

a. Any person who—

105, 106164

i.

holds a degree in science, engineering, technology orequivalent;ii.

has at least fifteen years' practical or researchexperience; andiii.

holds or has held a responsible post in a scientific ortechnical department of the Central or State
Government or in any other organization,is qualified to have his/her name entered in the panel/list/rollof scientific advisors. However, where the Controller is of
the opinion that it is necessary or expedient to do so, he may,by order, for reasons to be recorded in writing, relax any ofthe qualifications specified above, with respect to any
person, if such person is otherwise well qualified.
b. Any person interested may apply at any time to theController for inclusion of his/her name in the roll ofscientific advisors furnishing his/her bio-data.
c. The list/roll is updated and published annually.
19.04

Removal from the roll/panel of Scientific Advisor
a. The Controller may remove the name of any person from theroll of scientific advisors, if—i.

such person makes a request for such removal; orii.

the Controller is satisfied that his/her name has beenentered in the roll by error or account of
misrepresentation or suppression of any material fact;
or

iii.

such person has been convicted for an offence andsentenced to a term of imprisonment or has been
guilty of misconduct in his professional capacity andthe Controller is of the opinion that his/her nameshould be removed from the roll:b. Before removing the name of any person from the roll of
165

Rule 107

scientific advisors under this rule, such person shall be givena reasonable opportunity of being heard.

166

Chapter 20
Miscellaneous provisions
20.01

Section 79.

Affidavitsa.

Notwithstanding anything to the contrary as and when Rule 126.
directed by the Controller, in all proceedings before theController under this Act, evidence shall be given by way Diplomatic andof an affidavit..

b.

Consular

In cases where the Controller deems it appropriate to do Officers (Oathsso, he may take oral evidence in lieu of, or in addition to, and Fees) Act,
evidence by way of an affidavit, or may allow any party 1948.
to be cross-examined on the contents stated in his/her
affidavit.

c.

Notifications

The affidavits required to be filed before the Controller of u/s 14 of the
Patents under the Act or rules shall be duly sworn in the Notaries Act,
manner as prescribed under Clause (e) below.

d.

Affidavits shall be confined to such facts as the deponent
is able, of his own knowledge, to prove except ininterlocutory matters, where statements of belief of thedeponent may be admitted, provided the grounds thereof
are given.

e.

Affidavits shall be sworn to as follows:i) In India - before any Court or person having by law
authority to receive evidence, or before any officer
empowered by such court as aforesaid to administer oaths
or to take affidavits;ii) In any country or place outside India - before a diplomaticor consular officer, within the meaning of the Diplomaticand Consular Officers (Oaths and Fees) Act, 1948 (41 of
1948); in such country or place or before a notary public

167

1952.

of the country or place, recognised by the Central
Government under section 14 of the Notaries Act, 1952
(53 of 1952); or before a Judge or Magistrate of thecountry or place.
f.

Alterations and interlineations shall, before an Affidavit
is sworn to or affirmed to be authenticated by the initialsof the person before whom the Affidavit is sworn to.

20.02

Rule 127

Exhibits
Where there are exhibits to be filed in an opposition matter or
any other proceeding, a copy or impression of each exhibit shallbe supplied to the other party at his request and expense; if
copies or impressions of the exhibits cannot conveniently befurnished, the originals shall be left with the Controller for
inspection by the person interested by prior appointment. The
exhibits in original if not already left with Controller, shall be
produced at the hearing.

20.03

Officers and employees of Patent Office – Duties

Section 76

An officer or employee of the Patent Office shall not, except
when required or authorised by this Act or under a direction inwriting of the Central Government or Appellate Board or theController or by order of a Court—a.

furnish information on a matter which is being, or has
been, dealt with under this Act; orb.

prepare to assist in the preparation of a document
required or permitted by or under this Act to be lodged in
the patent office; or

c.
20.04

conduct a search in the records of the Patent Office.
Rule 139

Hearing to be in public
Where the hearing is held before the Controller of any dispute
between two or more parties relating to an application for apatent or to any matter in connection with a patent takes place
168

after the date of the publication of the complete specification, thehearing of the dispute shall be in public unless the Controller,
after consultation with the parties to the dispute, who appear inperson or are represented at the hearing, otherwise directs.
20.05

Agency – Power of Attorneya.

Rule 135.

The authorisation of an agent for the purposes of the Act Form-26.
and the rules shall be in Form 26 or in the form of a
Power of Attorney.

b.

Where any such authorisation has been made, service
upon the agent of any document relating to theproceeding or matter under the Act or the rules shall bedeemed to be service upon the person so authorising andall communications directed to be made to a person in
respect of the proceeding or matter may be addressed tosuch agent, and all appearances before the Controller
relating thereto may be made by or through such agent.

c.

If it is considered necessary, require the personal
signature or presence of an applicant, opponent or party
to such proceeding or matter.

d.

As a matter of practice, an application may be acceptedwithout a Power of Attorney, for the purpose of saving
priority. However, any subsequent papers can be filed
only after submitting the required Power of Authority.
Office will not take any action if a Form-26 /authorisation of agent is not present on the record. In
cases where a General Power of Attorney from anapplicant has already been filed in the Office, a copy
attested by the agent shall be filed for subsequent filing.

169Chapter 21
Time Limits
21.01

Time limits
Time limits for various actions while prosecuting a patentapplication and also for post grant procedures have been either
specifically provided in the Patents Act or prescribed through the
Patents Rules. These time limits are required to be followed strictly
by every person concerned. Failure to adhere to the legally imposed
time limits may turn out to be detrimental to the interests of theapplicants, patentees or any other person interested.

21.02

Rule 138

Petition for extension of time
Time limits prescribed in the Rules for an action or any proceedings
thereunder may be extended by the Controller for a period of one
month, if he thinks it fit to do so and upon such terms as he may
direct. He may do so based on a petition under Rule 138. However,
the time limits prescribed under Rules 24B, 55(4) and 80(1A) arenot extendable under this provision.
Any request for extension made under the Rules shall be madebefore the expiry of the prescribed period.
As Rule 138 specifically stipulates that any time limit prescribed by
the Patents Rules can be extended by one month only, any further
extension shall not be allowable by invoking any other provision,
such as Rule 137, except wherever specifically allowed by the Act
or Rules viz. Rules 13(6), 80(1A), 130.

170

21.03: Time limits prescribed by the Patents Act, 1970 and Patents Rules, 2003

Description
1.

2.

3.

Time

Provision

Proof of right to make an

Six months from the date ofSection 7(2)application

filling of application

Rule10Statement and undertaking

Six months from the date ofSection 8(1)regarding foreign applications

filing of application

Rule 12(1A)

Subsequent information

Six months from the date ofSection 8(1)(a)corresponding to foreign filingfiling of application outside

Rule 12(2)

India
4.

Information relating to objections in

Six months from the date ofSection 8(2)respect of novelty, patentability etc.

communication by Controller

Rule 12(3)Filing a complete specification afterTwelve months from the date

Section 9(1)filing provisional specificationof filling of the Provisionalin foreign filing
5.

Specification
6.

Declaration of InventorshipWith the complete(Form 5)

specification or within one

Rule 13(6)month from the date of filingof the complete specification
7.

8.

Reference to deposit of biologicalThree months form the date

Section10(4)materialof filing of application

Rule 13(8)Convention application

Twelve months from the date

Section 135(1)of filing of the basic
application
9.

Convention application (in case of

Twelve months from the datemultiple priorities)

of filing of first filed basic

Section 135(1)application
10. Convention application (cognate)

Twelve months from the dateof earliest filed specification

171

Section 135(2)Description
11. PCT national phase application

Time

Provision

Thirty one months from theRule 20(4)(i)priority date
12. Priority document (for convention
application)

Three months from the date

Section 138(1)of communication from theRule 121

Controller
13. Publication of application

Ordinarily within one month

Rule 24, 24A

from the expiry of eighteenmonths from the date of filingor priority or one month fromthe date of request for early
publication, whichever isearlier
14. Withdrawal of application toprevent publication

Fifteen months from date of

Sec 11A(3)(c)filing or priority, whicheveris earlier

15. Request for examination

Forty eight months from theSection 11B

date of filing or priority,

Rule 24B

whichever is earlier
16. Request for examination, where

Forty eight months from thesecrecy direction imposed

date of filing or priority orRule 24B(1)(iii)sixth months from the date of
revocation of secrecy
direction, whichever expires
later
17. Request for examination (Divisional Forty eight months from date
Application)of filing or priority of firstmentioned application, or
within six months from dateof filing of further
application, whichever
172

Rule 24B(1)(iv)

Description

Time

Provision

Any time before the grant of

Sec 11B(4),patentRule 26

Ordinarily within one month

Rule 24B(2)(i)

expires later
18. Request for withdrawal

19. Upon receipt of the Request for
examination, the Controller refers

from the date of publication

the Application to the Examineror request for examination,
whichever is later

20. Time within which Examiner makes
report to Controller

Ordinarily within one month

Rule 24B(2)(ii)

but not exceeding threemonths from the date of suchreference

21. Controller disposes off the report of
Examiner

Ordinarily within one month

Rule 24B(2)(iii)from the date of receipt ofreport

22. First Examination Report (FER)
sent by the Controller to applicant

Ordinarily within six months

Rule 24B(3)from request for examinationor publication, whichever islater

23. Time for complying with all
requirements imposed by the Act
24. Time, after publication, before
expiry of which no patent is granted
25. Pre-grant opposition

Twelve months from the date

Rule 24B(4)of issuance of the FER
Six months from the date ofRule 55(1A)

publication
Any time before the grant of

Section 25(1)patent26. Reply statement and evidence (pregrant opposition)
27. Decision by Controller upon pregrant opposition

Three months from the date

Rule 55(4)of notice of the Controller
Ordinarily within one monthfrom completion of theproceeding

173

Rule 55(6)Description
28. Notice of Opposition (post-grant
opposition)
29. Reply statement by patenteeTime
One year from the date ofProvision
Section 25(2)publication of grant of patent
Two months from receipt ofRule 58(1)opponent‘s written statement
30. Reply evidence by opponent

One month from date ofRule 59

delivery of patentee‘s reply
statement
31. Opposition Board submits reportThree months from the date

Rule 56(4)on which documents were
forwarded to Board
32. Periodical review of secrecy

Every six months

Section 36(1)Ordinarily within twenty one

Section 39

days from such request

Rule 71

Six weeks after filing theSection 39(1)directions
33. Controller disposes permission forfiling abroad

34. Time after which no permission
required for filing abroad

application in India, where no
direction for secrecy inpresent

35. First renewal fee

In respect of third year,

Rule 80(1)before the expiry of secondyear
36. Payment of first renewal fee, whereThree months from the datepatent has been granted after theof recordal in Register of

expiry of two years from date ofPatents

Section 142(4)filing37. Extension in time for payment of
renewal fee, where patent has been

Extendable at the most by six
monthsgranted after expiry of two years
from date of filing
174

Section 142(4)Description
38. Time for payment of the renewal
fee

Time

Provision

Before the expiry of the nth

Rule 80(1)year from date of patent inrespect of the (n+1) th year

39. Extension in time for payment ofMaximum six months

Rule 80(1)renewal fee
40. Application for restoration of patent

Eighteen months from thedate on which the Patent

Section 60

ceased to have effect
41. Request for hearing by an applicant
for restoration, where prima facie

One month from date ofRule 84(2)intimation by the Controllercase has not been made out
42. Notice of Opposition against
restoration

Two months from the date ofRule 85(1)publication of application forrestoration

43. Payment of the unpaid renewal fee

One month from date of order Rule 86(1)and additional fee when restoration
allowed
44. Notice of Opposition against anoffer to surrender a patent
45. Notice of Opposition against

Three months from the dateof publication of offer
Three months from the dateapplication for post-grantof publication of such

amendment

application

46. Furnishing information relating toworking of patent in respect of theRule 87(2)Rule 81(3)(b)Three months from the end of Section 146(2),each year

Rule 131 (2)Two months from the date ofSection 146(1)calendar year
47. Furnishing information relating toworking of patent, upon notice ofnoticeController

175