Chapter 08

Examination & Grant

 

08.01

Request for Examination

  1. An Application for a Patent will not be examined unless the applicant or any other person interested makes a request for examination. The request is to be filed in Form 18 with the fee as prescribed in First Schedule.
  2. A request for examination has to be made within forty-eight months from the date of priority of the application or from the date of filing of the application, 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 If no such request for examination is filed within the prescribed time limit, the application shall be treated as withdrawn by the applicant.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 made within six months from the date of revocation of the secrecy direction, or within forty-eight months from the date of filing or priority, which ever is later.
  4. The Office will not examine an application unless it is published 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.

Section 11B, 35.

Rule 24B.

Form-18.

First Schedule.

 

 

 

08.02

Reference for Examination

  1. Once a request for examination is received, and the application is published under section 11A, the application is taken up for Examination in the chronological 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 the invention vis-ŕ-vis the area of specialization of the Examiner. At present, the Patent Office has four examination groups based on the broad area of specialization 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 the request is filed.

  1. When an application is referred by the Controller, the Examiner makes a report on the patentabilility as well as other matters ordinarily within one month but not exceeding three months from the date of such reference.

Section 11A,

12.

Rule 24B(2)(i).

 

08.03

Examination of application

 

08.03.01

Search for anticipation by previous publication and prior claiming.

  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, WIPO database, USPTO database, JPO DATABASE, TKDL (Traditional Knowledge Digital Library) and other paid databases. In addition to the above, PCT Minimum required patent and non-patent literature is searched. 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 the complete specification has been claimed in any claim of any other complete specification, filed in India, which has been published on or after the date of filing of the applicant’s complete specification.
  2. The search is conducted with respect to the date of filing 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 the patentability.

g.     Limitation on search if any, such as non clarity of claims or multiplicity of inventions or any other reason due to which a reasonable search cannot be conducted.

Section 13

08.03.02

Novelty

a)      An invention is considered as new if it is not anticipated by prior publication, prior use or prior 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 or otherwise disclosed to the public before the date of filing of complete specification.

b)      For the purpose of determining novelty, an application for Patent filed at the Indian Patent Office before the date 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 of filing 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 of filing of the complete specification, but claims the same subject matter.

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

d)     A prior art will be considered as anticipatory if all the features of the invention under examination are present 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 in the determination of novelty.

g)      A generic disclosure in the prior art may not necessarily take away the novelty of a specific disclosure. For instance, a metal spring may not take away the novelty of a copper spring.

h)      A specific disclosure in the prior art takes away the novelty 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 anticipation in the Examination Report, which is not deemed to be an anticipation by reason on Section 29-34, the onus of proving is on the applicant.

Section 2(1)(j), 13, 29, 30, 31, 32, 33, 34

 

 

08.03.03

Inventive step

 

08.03.03.01

General principle

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

Section 2(1)(j), 2(1)(ja)

08.03.03.02

Determination of inventive step

a)      For determination of inventive step, all or any of the prior art(s) revealed during the search process to perform 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.

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 other words, it is not sufficient to draw the conclusion that a claimed 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 for technical advancement or economic significance in the art, the inventive step is lacking.

f)       For the purpose of establishing obviousness of the invention, 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

Industrial Applicability

  1. In order for an invention to be patentable, an invention must be capable of industrial application. Industrial Application in relation to patentability means that the invention is capable of being made or used in an industry.
  2. The Examiner shall assess if the claimed invention is capable of use in any industry or made using an industrial process. Typically, the specification explains the industrial applicability of the disclosed invention in a self-evident manner. Usually industrial applicability is self-evident. If it is not, a mere suggestion that the matter would be industrially applicable is not sufficient. A specific utility should be indicated in the specification 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.

Section 2(1)(ac)

08.03.05

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.

Section 3

 

 

08.03.05.01

An invention which is frivolous or which claims anything obviously contrary to well established laws is not an invention.

Some examples of a frivolous nature and contrary to natural laws are:-

§              A machine purporting to produce perpetual motion.

§              A machine alleged to be giving output without any input.

§              A machine allegedly giving 100% efficiency.

Section 3(a)

 

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 an invention.

Some examples are:

a.       Any device, apparatus or machine or method for committing theft/burglary.

b.      Any machine or method for counterfeiting of currency 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, a method of adulteration of food.

f.       An invention, the primary or intended use of which is likely to violate the well accepted and settled social, 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 for house-breaking.

h.      However, if the primary or intended purpose or commercial exploitation of a claimed invention is not causing serious prejudice to human, animal or plant 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.

Section 3(b)

08.03.05.03

The mere discovery of a scientific principle or the formulation of an abstract theory or discovery of any living thing or non-living substance occurring in nature is not an invention.

i)     A claim for discovery of scientific principle is not considered to be an invention, but such a principle when used with a process of manufacture resulting in 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 or revolutionary an insight they may provide, since they do not result in a product or process. However, if the theory leads to practical application in the process of manufacture of an article or substance, it may well be patentable. A claim for formulation of abstract theory is not considered to be an invention. For example, the fact that a known material or article is found to have a hitherto unknown property is a discovery and not an invention. But if the discovery leads to the conclusion that the material can be used for making a particular article or in a particular process, then the article or process could be considered to be an invention.

iii) Finding out that a particular known material is able to withstand mechanical shock is a discovery and therefore 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 the tests for novelty and inventive step. Similarly, finding of a new substance or micro-organism occurring freely in nature is a discovery and not an invention.

Section 3(c)

08.03.05.04

The mere discovery of a new form of a known substance which does not result in the enhancement of the known efficacy of that substance or the mere discovery of any new property or new use for a known substance or of the mere use of a known process, machine or apparatus unless such known process results in a new product or employs at least one new reactant is not an invention.

Section 3(d) provides an explanatory clause to make it more clear 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 and other derivatives of known substance shall be considered to be the same substance, unless they differ significantly in properties with regard to efficacy”.

According to this provision, the following are not inventions and hence not patentable:

(a) mere discovery of a new form of a known substance which 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 new reactant;

(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 be considered as patentable only if they differ significantly in properties with regard to efficacy.

The Examiner on a case to case basis applies the test as to what constitutes such salts, esters, ethers, polymorphs, metabolites, pure form, particle size, isomers, mixtures of isomers, complexes, combinations and other derivatives to differ significantly in properties with regard to efficacy from the known substance. The complete specification may bring out clearly and categorically in the description, as to how the subject matter differs significantly in properties with regard to efficacy from the known substance thereof, at the time of filing of the application or subsequently by way of an amendment 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 to show is, how effective the new discovery made would be in healing a disease having a good effect on the body? In other words, the patent applicant is definitely aware as to what is the “therapeutic effect” of the drug for which he had already got a patent and what is the difference between the therapeutic effect of the patented drug and the 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 new form of a known substance had resulted in the enhancement of the known efficacy of the original substance and the derivatives so derived will not be the 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).

Section 3(d)

08.03.05.05

A substance obtained by a mere admixture resulting only in the aggregation of the properties of the components thereof or a process for producing such substance is not an invention.

An admixture resulting in synergistic properties is not considered as mere admixture, e.g., a soap, detergent, lubricant and polymer composition etc, and hence may be considered to be patentable.

A mere aggregation of features must be distinguished from a combination invention. The existence of a combination invention requires that the relationship between the features or groups of features be one of functional reciprocity or that they show 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 be patentable. Synergistic effect should be clearly brought out in the 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 a further support of synergy. However, such submitted data may be incorporated in the Specification, subject to the provisions of Section 59.

Section 3(e)

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.

In order to be patentable, an improvement on something known before or a combination of different matters already known, should be something more than a mere workshop improvement; and must independently satisfy the test of invention or an 'inventive step'. To be patentable, the improvement 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 that by 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 be good subject-matter. An improvement on something known may also afford subject-matter; so also a different combination of matters already known. A patentable combination 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 economical manner. If the result produced by the combination is either a new article or a better or cheaper article than before, the combination may afford subject-matter of a patent. (Lallubhai Chakubhai Vs. Chimanlal and Co. (AIR 1936 Bom 99.) 

An invention claiming a mere juxtaposition of known devices in which each device functions independently is not considered patentable. Merely placing side-by-side old integers so that each performs its own function independently of the others is not a patentable combination. [As for example: a flour mill provided with sieving means]. However, where the old integers when placed together have some working interrelation, producing a new or improved result, then there could be a patentable subject matter in the working interrelation brought about by the collection of the integers.

When two or more features of an apparatus or device are known, and they are juxtaposed without any inter-dependence on their functioning, they should be held to have been 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 and transistor 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 independently of each other.

As for instance, in the case of an application for a patent in 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 made on known types of hydraulic forming and roll forming machines functioning independently of each other.

A new combination may be the subject matter of a patent although every part of the combination, per se, is old, for here the new article is not the parts themselves but the assembling and working of the parts, together. The merit of a new combination very much depends upon the result produced. Where a slight alteration turns that which was 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).

Section 3(f)

08.03.05.07

A method of agriculture or horticulture is not an invention.

Examples of subject matters excluded from patentability under this provision are:

(a) A method of producing a plant, even if it involved a modification 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.

Section 3(h)

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 of animals to render them free of disease or to increase their economic 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 of administering 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 cleaning plaque from teeth.

(d) Prophylactic methods: As for example a method of vaccination.

(e) Diagnostic methods: Diagnosis is the identification of the nature of a medical illness, usually by investigating its history and symptoms and by applying tests. Determination of the general physical state of an individual (e.g. a fitness test) 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 method of 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 their products. As for example, a method of treating sheep for increasing wool yield or a method of artificially inducing the body mass of poultry.

(h) Further examples of subject matters excluded under this provision 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, embryo transplants, treatments for experimental and research purposes and the removal of organs, skin or bone marrow from a living donor, any therapy or diagnosis practiced on the human or animal body and further includes methods of abortion, 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, therapeutic or diagnostic instrument or apparatus. Also the manufacture of prostheses or artificial limbs and taking measurements thereof on the human body are patentable.

Section 3(i)

08.03.05.09

Plants and animals in whole or any part thereof other than 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 the nature, may be patentable. For instance, genetically modified microorganisms may be patentable subject to other requirements of Patentability.

A new process of preparation of a vaccine under specific scientific conditions, the vaccine useful for protecting poultry against contagious bursitis infection was held to be patentable by the Court on the ratio that the statute does not make a manner 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 the provisions of the ‘Protection of Plant Varieties and Farmers’ Rights Act, 2002.

Section 3(j)

08.03.05.10

A mathematical or business method or a computer programme per se or algorithms are not inventions and hence not patentable.

a.       Under this provision, mathematical methods, business methods, computer programmes per se and algorithms are not considered as patentable subject matter.

b.      ‘Mathematical methods’ are considered to be acts of mental skill. A method of calculation, formulation of equations, finding square roots, cube roots and all other methods directly involving mathematical methods are therefore not patentable. With the development in computer technology, mathematical methods are used for writing algorithms and computer programs for different applications and the claimed invention is sometimes camouflaged as one relating to the technological development rather than the mathematical method itself. These methods, claimed in any form, are considered to be not patentable.

c.       “Business Methods” claimed in any form are not patentable subject matter. The term ‘Business Methods’ involves whole gamut of activities in a commercial or industrial enterprise relating to transaction of goods or services. With the development of technology, business activities have grown tremendously through e-commerce and related B2B and B2C business transactions. The claims are at times drafted not directly as business methods but apparently with some technical features such as internet, networks, satellites, tele-communications etc. This exclusion applies to all business methods and, therefore, if in substance the claims relate to business methods, even with the help of technology, they are not considered to be a patentable subject matter.

d.      Algorithms in all forms including but not limited to, a set of 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 or computational method, recursive or otherwise, are excluded 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 a computer programme per se.

f.       If the claimed subject matter in a patent application is only a computer programme, it is considered as a computer programme per se and hence not patentable. Claims directed at ‘computer programme products’ are computer programmes per se stored in a computer readable 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 matter is sufficiently disclosed in the specification and forms an essential part of the invention.

g.      If the subject matter of a patent application is not found excluded under the foregoing provisions, it shall be examined with respect to other criteria of patentability.

Section 3(k)

08.03.05.11

A literary, dramatic, musical or artistic work or any other aesthetic 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-musical works, choreographic works, cinematographic works, drawings, architecture, engravings, lithography, photographic works, applied art, illustrations, maps, plans, sketches, three-dimensional works relating to geography, topography, translations, adaptations, arrangements of music, multimedia productions, etc. are not patentable. Such works fall within the domain of the Copyright Act, 1957.  

Section 3(l)

08.03.05.12

A mere scheme or rule or method of performing mental act 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 from patentability, 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.

Section 3(m)

08.03.05.13

A presentation of information is not an invention.

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 not patentable. For example, a speech instruction means in the form of printed text where horizontal underlining indicated stress and vertical separating lines divided the works into rhythmic groups is not patentable. For instance, railway time table, 100years calendar etc. 

In the matter of application No. 94/Cal/2002, the Controller held that the Patent system was meant for protecting only one kind of creativity i.e. technological creativity and since the claimed invention relates to business method and method of presenting information, it is not allowed.

Section 3(n)

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 configuration of the electronic circuits used in microchips and semiconductor chips is not patentable.

Section 3(o)

08.03.05.15

An invention which in effect, is traditional knowledge or which is an aggregation or duplication of known properties of traditionally known component or components is not an invention.

Traditional Knowledge, being knowledge already existing, is not patentable. An example is the antiseptic properties of turmeric for wound healing. Another example is the pesticidal and insecticidal properties of neem.

The Examiner conducts an investigation by using the Traditional Knowledge Digital Library (TKDL) and other resources to decide as to whether the claimed subject matter falls within the purview of this provision.

Section 3(p)

08.03.06

Sufficiency of Disclosure

Sufficiency of disclosure is yet another aspect, which is checked by the Examiner while examining a patent application. 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, has been disclosed.

f.       approval obtained from Biodiversity Authority, wherever applicable.

g.      accession number and other details of the depository are given, if applicable

Section 10

 

08.03.07

Unity of Invention

a)      The Claims of a Specification shall relate to a single inventive concept. In case, an application comprises a plurality 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 so linked as to form a single inventive concept shall be made without regard to whether the inventions are claimed in separate claims or as alternatives within a single claim.

c)      Unity of invention between process and apparatus or means requires that the apparatus or means have been specifically designed for carrying out the process, or at least 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 the process.

3.      A mould for casting an article, a method of making that mould, a process of casting the article by using the said mould will constitute a single invention.

4.      A locking system containing plug and socket wherein separate independent claims for a plug and socket may constitute a single inventive concept.

5.      A broadcasting system comprising transmitter and receiver.

6.      If an invention relates to a new type of spray bottle, claims may be directed to the spray bottle itself (a product) and a method of making the spray bottle (a process).

7.      In case of a genetically modified Gene Sequence/ 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.

Section 10(5)

08.03.08

 

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 specification and other documents relating thereto are in accordance 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.

  1. The examiner prepares the report after conducting a prior art search to ascertain the novelty, and examining as to whether the invention disclosed in the 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 provisions of the Act.

Section 3, 4, 12, 13

 

08.04

Consideration of the Report by Controller and issuance of FER

  1. The Controller considers the report of the examiner ordinarily within one month from the date of the receipt of such report and a gist of objections, if any, is sent to the applicant in the form of a report - First Examination Report (FER) - along with the application and 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 the earliest.
  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 to such 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 the Act.

  1. The applicant is required to comply with all the requirements imposed upon him by the Act as communicated through FER or subsequent communication, at the earliest. However, if applicant fails to respond to the FER, within twelve months from the 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.
  2. If the response / amendment filed by the applicant do not satisfy the requirements laid down by the Act, the Controller offers an opportunity of hearing and decides the case on merits.
  3. If for reasons beyond the control of the applicant, the applicant 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.
  4. When the applicant re-files the documents within twelve 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 been met, the Patent is granted.
  5. 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 his observations as to whether or not the specification is to be amended, an opportunity of being heard is given, if requested by the applicant.
  6. 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 the patent unless the amendments so specified are made or any other requirements of the Act and Rules are not complied with.
  7. If the Controller differs with the report of the Examiner at any stage of the Examination and Grant Process, he shall record the reasons for such disagreement in the file.
  8. 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 is appeallable before the Intellectual Property Appellate Board.

Section 3, 4, 14, 15, 18, 21

 

08.05

Post-dating of Application

1.      The application for patent may be post-dated to a date not later than six months from the date of application on a request made by the applicant at any time before the grant of patent along with the prescribed fee.

                    i.            Where such request is made before the examination of application, the same may be allowed and the examination shall be conducted with reference to the date so post-dated.

                  ii.            Where such request is made after the issuance of First Examination Report, the same may be allowed 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 requirements 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 with reference 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 an amendment, for the purpose of meeting the office objections during Section 15 proceedings, by the applicant.

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

Section 9(4), 15, 17

08.06

Pre-Grant Opposition

a.       Any person may file an opposition by way of representation to the Controller against the grant of Patent, 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 the date on which the Controller orders the grant of patent in the file. Simultaneously, the patent number is generated and the fact of granting the patent is available on the official website.

b.      If any pre-grant opposition is received after the grant of the patent, the Controller shall return the pre-grant 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 a 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 of patent.

d.      The representation shall include a statement and evidence, 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, is considered 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 to the opponent, if requested. After hearing the opponent, if the Controller is still of the opinion that the opposition shall be refused, a speaking order shall be issued rejecting the pre-grant opposition, ordinarily within one month.

h.      However, if the Controller is of the opinion that pre-grant opposition has merit and the application shall be refused or amended, a notice is given to the applicant along with a copy of the representation. The applicant shall, if he so desires, give reply to that representation along with his statement and evidence, if any, in support of his application within three months from the date of the notice.

i.        The Controller shall consider the statement and evidence filed by the applicant and may either refuse the grant of patent or ask for amendment of the complete specification to his satisfaction before the grant of patent. 

j.        After considering the representation and submissions 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.

Section 11A, 15, 25(1).

Rule 55.

08.07

Grant of Patent

 

08.07.01

Compliance of conditions under the Act

The Patent is granted as expeditiously as possible when

  1. the application has not been refused by the Controller by virtue of any power vested in him by this Act, or
  2. the application has not been found to be in  contravention of any of the provisions of the Act, or

For instance,

  1. 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.
  2. In cases where the FER contains reference to a prior art which was published before the date of filing of complete specification but after the date of priority of the application, the applicant will have to prove that the priority date of the claim of his complete specification is earlier than the date on which the relevant document was published. The priority date of such claim is the date on which the matter was first disclosed in the relevant specification. In the alternative, the applicant may amend his complete specification to overcome the objection in respect of such document. In the absence of above mentioned proof or amendment, the application is liable to be refused, after following the procedure elaborated in Rule 28, 28-A
  3. In cases where the FER contains reference to a prior art which was published after the date of filing of his complete 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 the matter was first disclosed in the relevant specification. In the alternative, the applicant may amend his complete specification to overcome the objection in respect of such document. In the absence of above mentioned proof or amendment, a reference to the other specification shall be inserted by way of notice to the public in the applicant’s specification, after following the procedure elaborated in Rule 29-31.
  4. 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 the 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.

Section 18, 43.

Rule 28, 28A, 29, 30, 31.

08.07.02

Consequences of grant

  1. On the grant of patent, every patent is allotted a serial number by the electronic system. A Certificate of Patent is generated in the prescribed format and an entry in the e-register is made simultaneously. In the present electronic system, the date of recordal of Patent in the Register of Patents is the same as the date of grant of Patent by the Controller.
  2. The complete specification as granted is made available to public through official website.
  3. The application, specification and other related documents are open for public inspection on payment of prescribed fee.
  4. The fact that the patent has been granted is published in the official journal of the Patent Office.
  5. On the grant of patent, the patentee is required to pay the accumulated fee within 3 months from the date of recordal of Patent in the Register of Patents, which is now the same as the date of Certificate of Patent.
  6. A post-grant opposition under section 25(2) can be filed by any person interested within 12 months from the date of publication of grant.
  7. Every patentee and licensee has to furnish a statement regarding the working of the patented invention on commercial scale in India at regular intervals (not less than six months) in the prescribed format.

Form-27

 

 

08.07.03

Date of Patent

a.       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 filing date.

  1. 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 is same as the date of generation of Certificate of Patents.

Section 45

 

08.07.04

Conditions subject to which a Patent is granted

  1. any machine, apparatus or other article in respect of which 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;
  2. 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;
  3. any machine, apparatus or other article in respect of which the patent is granted or any article made by the use of the process in respect of which the patent is granted, may be made or used, and any process in respect 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 to pupils; and
  4. in the case of a patent in respect of any medicine or drug, the medicine or drug may be imported by the 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 the government 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 this behalf by notification in the Official Gazette.

Section 47

 

08.07.05

Rights of Patentee

  1. In case of a patented product, the patentee shall have the exclusive right to prevent third parties, from the act of making, using, offering for sale, selling or importing for those purposes that product in India.
  2. In case of a patented process, the patentee shall have the exclusive right to prevent third parties, from the act of 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.

Section 48

08.07.06

Rights of co-owners

  1. Where a patent is granted to two or more persons, each of those persons shall, unless an agreement to the contrary is in force, be entitled to an equal undivided share in the patent.
  2. Subject to the provisions contained in this section and in Section 51, where two or more persons are registered as grantee or proprietor of a patent, then, unless an agreement to the contrary is in force, each of those persons shall be entitled, by himself or his agents, to the rights conferred by Section 48 for his own benefit without accounting to the other person or persons.
  3. Subject to the provisions contained in this section and in section 51 and to any agreement for the time being in force, 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 patent shall not be assigned by one of such persons except with the consent of the other person or persons.
  4. 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 same manner as if the article had been sold by a sole patentee.
  5. Subject to the provisions contained in this section, the rules of law applicable to the ownership and devolution of movable property generally shall apply in relation to patents, 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 of a deceased person or their rights or obligations as such.
  6. Nothing in this section shall affect the rights of the assignees of a partial interest in a patent created before the commencement of this Act.

Section 50, 51

08.07.07

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 for which the term had not expired on 20th May, 2003, when Patent (Amendment) Act 2002 came into force, provided that the renewal fee is paid every year before the due date or within the extended period (maximum six months).

Section 53

 

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