Trichy SRM Medical College Hospital and Research Centre Intellectual Property Rights Policy

TRICHY SRM MEDICAL COLLEGE

HOSPITAL AND RESEARCH CENTRE
Irungalur, Tiruchirapalli
[Affiliated to The Tamilnadu Dr. M.G.R. Medical University, Chennai]

INSTITUTIONAL RESEARCH BOARD

(IRB)

Intellectual Property Rights (IPR) Policy

[Uncontrolled Copy]

Institutional Research Board

III Floor, College Block
(0431-2258691/ 2258817)
[email protected]

Date of Preparation: 05.09.2020 Date of Verification: 07.09.2020

Date of Approval: 09.09.2020 Date of Implementation: 09.09.2020
Next Review Date: 08.09.2021
Trichy SRM Medical College Hospital and Research Centre Intellectual Property Rights Policy

Contents

S. Index Page
No. No.
1.0 Preamble 1
2.0 Purpose 1
3.0 Mandate 1
4.0 Objectives 2
5.0 Definitions 2
6.0 Basic criteria for IP 4
7.0 Ownership of IP 4
8.0 Licensing agreement and Revenue sharing 5
9.0 Publications 6
10.0 Guidelines for Intellectual Property Rights (IPR) cell 6
10.1 Overview 6
10.2 Objectives 6
10.3 Mandate activities 7
10.4 Composition 8
10.5 Membership 8
10.6 Terms of Appointment 9
10.7 Quorum Requirements 9
10.8 Frequency of meetings 9
11.0 Different types of IPs and terminology used 10
12.0 Filing Patents/ Copyrights 10
13.0 Copies of SOP 12
14.0 Request for formulation of new SOP/ Revision of SOP 12
15.0 Things to Remember 13
16.0 Documents to be maintained by IPR cell 14
17.0 Annual Activity Report 14
18.0 Abbreviations 15
19.0 References 15
Annexures
1 Application for grant of patient
2 Provisional/ Complete Specification
3 Statement and Undertaking Under Section 8
4 Requests for Publication
5 Request/ Express request for examination of Applications
6 Form for authorization of a patient agent
7 Declaration as to Inventorship
Trichy SRM Medical College Hospital and Research Centre Intellectual Property Rights Policy

Trichy SRM Medical College Hospital and Research Centre

Irungalur, Tiruchirapalli – 621 105
[Affiliated to the Tamilnadu Dr. M.G.R. Medical University, Chennai]
------------------------------------------------------------------------------------------------------------
Document No.: IRB – 04 Department: Institutional Research
Board (IRB)
Title of the SOP: Intellectual Property Supersedes: New
Rights (IPR) policy
Date of Preparation: 05.09.2020 Date of Verification: 07.09.2020
Date of Approval: 09.09.2020 Date of Implementation: 09.09.2020
Next Review Date: 08.09.2021
------------------------------------------------------------------------------------------------------------
Intellectual Property Rights (IPR) Policy
1.0. Preamble
Intellectual property (IP) refers to creations of the mind either invention, literary and
artistic works, symbols, names and images. IP is protected in law by, for examples – patents,
copyright and trademarks which enable the individual to earn recognition or financial benefits
from what they invent or create.

2.0. Purpose
This policy related to Intellectual property rights (IPR) is the cornerstone of innovation
and creativity of Trichy SRM Medical College Hospital and Research Centre
(TSRMMCH&RC). It provides structure, predictability and a framework for talented minds to do
what they do best, create and innovate.

3.0. Mandate
To nurture the spirit of innovation and transfer the innovative products, protocols and
other end materials for commercialization in wider public usage. The main aim of this policy is
to provide a platform to transform the product/ protocol for large scale production and utilization
in the industry and society, by delivering research lead education, promoting innovation,
collaborations and fostering human values.
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4.0. Objectives
 To provide a framework to foster innovation and creativity in the areas of biomedical
science and technology by nurturing novel ideas and research in an ethical environment.
 To protect IP generated by the faculty/ individual, students and staff of TSRMMCH&RC
by translating their creative and innovative works into IP Rights.
 To lay down an efficient, fair and transparent administrative process for ownership of the
products/ protocols, sharing royalty and revenues between institution(s) and reseacher(s).
 To promote more collaborations between the institutions and industries through better
clarity on IP ownership and licensing.
 To create a mechanism for knowledge generation and its commercial exploitation
 To establish IPR cell for supporting all innovations, creativity and IPR related endeavors
of students, research scholars and faculty members of TSRMMCH&RC.

5.0. Definitions
Author: An individual who is involved in the research and innovation who claims a total royalty
Collaborative Activity: Research undertaken by the individual (researcher) in academic
institution, in collaboration with another researcher(s) of other institution(s) or industry(s).
Creator: Researcher who contributed to the creation of IP (copyrights and designs)
External partners: Includes Government of India, Government of Tamilnadu, Other state
Governments, Government departments, Foreign Governments, International Organizations,
Public sector undertaking (PSUs), Private sector organizations, Multinational corporations, Non-
Governmental Organizations (NGOs), other institutions that provide research projects or
consultancy assignments to researchers on regular or irregular basis or any combinations of the
above.
Moral Rights: enshrined under the aegis of section 57 of the Copyright Act, 1957 which include
right of integrity.
Intellectual property: works related to Patents, Trade Marks, Design, Copyright, Trade Secrets
that includes inventions, technologies, developments, improvements, materials, compounds,
protocols, tangible research properties (software) etc.
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Intellectual Property Rights: Ownership and associate rights relating to aforementioned

Intellectual Property, either registered or unregistered and including applications or rights to
apply for them and together with all extensions and renewals of them and in each and every case,
all rights or forms of protection that are having equivalent or similar effect anywhere in the
world.
Inventor: Researcher who contributed to the creation of IP (essentially patents)
Research: Ownership rights over IP generated in academic institutions may vary as per source
of funding, for the research through which IP was generated. Hence, it is important to understand
the different contexts in which IP may be generated within the academic institutions. Some of the
important contexts in which they produce IP are
 Research undertaken by a researcher in the normal course of his/ her appointment
with the academic institution, utilising resources of the institution - includes, but is not
limited to, use of space, facilities, materials, or other resources of the academic
institution, specific monetary support for research through grants or fellowships, funds
for procuring books/ equipment or materials for specific research projects, and creation/
modification of infrastructure like labs for the specific needs of research.
 Research undertaken by a researcher in collaboration with an external partner -
support from external partners includes, but is not limited to, specific monetary support
given for research through grants or fellowships
Researcher: a. Persons employed by the academic institution and technical staff; b. students
(undergraduate, postgraduate, research scholars of any level, doctoral and post-doctoral
scholars); c. any other persons (visiting scientists, consultants etc); and d. any person who is an
external using the institutional resources or participate in any research project.
Research Agreement or MoU: May includes research services and consultancy, collaborative
research, mutual sharing of resources, material transfer and other research pursued by researchers
and develop IP at TSRMMCH&RC.
Royalty: payment made to an inventor/ author or an institution for legal use of a patented
invention or any intellectual property when licensed.
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6.0. Basic criteria for IP

Invention that deserve for IP/ Patent/ Copyright

Novelty Industrial Application

Non-Obviousness
7.0. Ownership of IP
The ownership rights on IP may vary according to the context in which the concerned IP was
generated and may adopt with two broad areas
7.1. IP generated from research conducted by utilizing resources at TSRMMCH&RC
Patents – Inventions made by the students/ researcher/ facutly, developed by utilizing the
resources or facilities or funds of the institution shall be vested with the institution. In this
juncture, the sharing of the royalty will be 50/50.
Copyright – ownership rights in scholarly and academic works including books, articles, students
projects/ dissertations/ theses/ lecture notes/ audio or visual aids shall be vested with the
author(s). The institution has enough rights to copyright the data which is taken from the
institution for the purpose of preparation of the abovesaid materials.
Trade Marks – Ownership rights in all trademarks involving the institution shall be vested with
the academic institution. For example usage of institutional logo, letter pad without the
permission of the administration apart from the academic purpose is punishable.
Industrial designs - Designs made by the students/ researcher/ facutly, developed by utilizing the
resources or facilities or funds of the institution shall be vested with the institution. In this
juncture, the sharing of the royalty will be 50/50.
7.2. IP generated from research conducted in collaboration with external partners/
Institutions
 With regard to research conducted in collaboration with external partners, ownership of
IP shall be determined as per the terms and conditions in the agreement signed between
the concerned parties. However, unless agreed upon explicitly, the academic institution
shall normally retain perpetual, royalty free license to use the IP for research and
educational purposes.
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 In the absence of a specific agreement between the academic institution, and the external
partner, who is providing support for research, the IP rights shall be shared amongst the
concerned parties.
 The specific agreement of sharing the funds, royalty, publication authorship, patents etc
will be clearly mentioned and a legal document should be prepared. Without prior legal
writeups none of the research collaboration with external partners or institutions is
permitted.
8.0. Licensing agreement and Revenue sharing
8.1. Revenue outputs generated as a result of utilization of resources of the Academic
Institution
 The academic institution has to prepare a pinpointed revenue sharing agreement(s) with
the researcher(s), in cases of commercialisation of innovation(s), creation(s) and product
as per the advice of the IP cell of the institution.
 The details of revenue sharing may be decided, based on the type of IP and the nature of
commercialisation. TSRMMCH&RC adopt a model for royalty sharing amongst
creator(s)/ inventor(s) and institution/ organization; a suggestive arrangement is “60:40
ratio of revenue sharing: 60% of the royalty/ technology transfer amount with the
researcher and 40% with academic institution”.
 Both institution and researcher have to magnanimously provide 5% of the share to
service account (money may be used for the promotion and upgradation of the invention/
promotion of commercialization/ IP protection and other related activities.
 The IP filing cost should be shared by the institution and researcher. If the institution
feels that the researcher is a permanent asset, then the full IP filing cost may be borne by
the institution.
8.2. Revenue outputs generated in collaboration with external partners/ Institution
 The revenue sharing on any IP generated from a partnership between the academic
institution and external partners may be based on the agreement signed between the
academic institution and the external partner at the beginning of such collaborations.
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 In circumstances wherein, the assignee or the licensee has not taken adequate steps for
the commercialisation of the academic institution – owned intellectual property, the
academic institution may consider revocation of the license and assigning it to another
party, after following due process. It is important to add this as a clause in any agreement
entered into by the academic institution, with regard to commercialisation of
technologies.

9.0. Publications
 Any publication, document and/or paper arising out of research activities shall be owned
jointly by the institution and researcher(s).
 Particular care needs to be taken that no publication is made till the patent, if applicable,
is filed.
 The institution may retain the right to require exclusion of certain portions from the
information being published if the researcher is leaving the institution.

10.0. Guidelines for IPR cell

10.1. Overview
Recognizing the importance of IPR and inculcating respect for the same, amongst innovators,
researchers, industries, etc. is an important mandate of the National IPR Policy, 2016. In order to
engage students/ personnel and motivate them to work in the field of IPRs, a first step would be
through the creation of “IPR cell” in the academic institution. To ensure the effective
applicability, the IPR cell so formed, has been proposed as the common network for innovation
and creativity.
10.2. Objectives
 To envision promoting academic freedom and safeguarding the interests of inventor in
creation and commercialization of intellectual property with legal support.
 To promote student-led startups and entrepreneurial ventures that protects and respect
intellectual property.
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 To create a nationwide reach and network of IPR Cell which will create awareness about
IPRs, encourage students/ faculty members/ personnel to file for IPRs and also help in
commercialization of the product/ protocol
10.3. Mandate activities
 Conducting IPR awareness programme for different groups
 Organizing self training workshops/ advanced level awareness programmes
 Providing environment for academic and R&D excellence and organize regular IPR
counselling programmes
 Exposing students, faculty, researchers and officials to various IP law practices and
provide opportunity to learn legal skills under the guidance of IP practitioners and legal
officers.
 Getting clearance from Institutional Research Board (IRB), Institutional Ethics
Committee (IEC), Institutional Animal Ethics Committee (IAEC) and Incubation centres
wherever necessary before submitting the proposal to IPR.
 Facilitating, encouraging, promoting and establishing collaborative frameworks for
industry-institution partnerships at local, regional, state, national and international scale
for initiating research, development and innovations for commercial value.
 Preparing and approving Royalty distribution arrangements
 Monitoring and maintaining records for already approved IP portfolio and guiding for
further renewals and activities.
 Encouraging undergraduates (if needed), postgraduates, research scholars and faculty
members to undertake patent search before publishing any research papers and guiding
them to apply for the same.
 Seeking assistance and having tie-up with Patent Information Centers (PIC), (Intellectual
Property Facilitation Centers (IPFC) and Technology Innovation Support Centres (TISC)
for legal certainty in research activities and technology based relationships.
 Preparing annual reports and identify the acheivements, milestones and gaps
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10.4. Composition
Designation Name and Affiliation
Chairperson Head of the Institution
Vice Chairperson Vice Principal
Member Secretary Professor – full time facutly (having ideas on legal issues related to
research and outcomes; must have basic knowledge in IPR)
Coordinator Any middle level full time faculty or Research faculty who is responsible
for active functioning the IPR cell by fulfilling the mandate activities
Members (Upto 10) Faculty who are involving in technical aspects of various disciplines,
having interest on IPR, possess ideas to analyze, perusing the proposals
and maintaining confidentiality.
Members from Engineering and Chemistry backgrounds are recommended
Legal Advisor Institutional legal officer
Biomedical Engineer Qualified Biomedical Engineer
Layman/ Community Non-scientific and non-affiliated to the institution. Readable person and
Representative ask some basic societal queries

10.5. Membership
The Head of the Institution, TSRMMCH&RC appoints the Member Secretary and Coordinator
of the IPR cell. All IPR members will be appointed by the Head of the Institution,
TSRMMCH&RC in consultation with the Member Secretary and Coordinator of the IPR. The
Head of the Institution is the licensing authority and he/ she shall be informed in writing about
the constitution of the IPR Committee or in case of any change in the membership.
10.5.1. Criteria for selection of members
 It is the duty of the member secretary of the IPR in discussion with the Coordinator of
IPR to select the new or additional members.
 Members will be selected in their personal capacities, based on their interest, technical/
scientific knowledge and expertise, experience in the domain field and profile, and
research experiences.
 The members representing medical scientist and clinicians should have post graduate
qualification and adequate experience in their respective fields.
 The members representing Engineering and Chemistry should have doctorate
qualification and adequate experience in their respective fields.
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 The member secretary of IPR is eligible to propose the addition and modification of the
IPR committee by submitting a proposal to the head of the Institution with the new
members’ detailed biodata and justification.
 The official appointment order has to be issued to all the members by the Head of the
Institution and their written consent and joining report will be kept as Controlled copy.
10.6. Terms of Appointment
10.6.1. Duration - The Member Secretary, Coordinator and members of the IPR cell,
TSRMMCH&RC will be appointed for a duration of 3 years.
10.6.2. Renewal - The membership will be renewed after the stated term of 3 years based on the
recommendation of the Member secretary.
10.6.3. Resignation/ Replacement procedure - The members who have resigned may be
replaced at the discretion of the Head of the Institution, TSRMMCH&RC. Based on the
proposal submitted by the Member Secretary, appointments may be made.
10.7. Quorum Requirements - All proposals for approval by the full board of the IPR shall be
reviewed at convened meetings at which a majority of the members of the IPR will be present. In
order for the proposal to be approved, it shall receive the approval of a majority of those
members present at the meeting. The presence of the 60% of the members (excluding member
secretary) is required to form part of the quorum without which a meeting cannot be convened
and a decision regarding the project cannot be taken.
10.8. Frequency of meetings - The IPR meetings are scheduled at regular intervals or on ad-hoc
basis. In TSRMMCH&RC, the IPR meetings will be planned quarterly (a minimum three per
year), depending on the number of proposal and activities to be reviewed.

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11.0. Different types of IPs and terminology used

Intellectual Property IPRs Definition Section or Act
Text, Graphics, Softwares, Data Copyright Rights given to Section 57 of the
compilations, Art, Music creators Copyright Act, 1957
Databases Copyright/
Database Right
Models, Posters of creativity, Design Rights Protect product Section 2(d) of the
logo, decorations appearance Designs Act 2000
Brands, Images and Reputation Trade marks Symbol denotes Section 2(zb) of Trade
the product/ logo Marks Act, 1999
New technical concepts, New Patents Granting of Section 2(m) of the
protocols, inventions, Novel and property right Patents Act, 1970
newer products
Confidential informations/ sharing Law of contract Collaborations, Indian Contract Act,
of informations through MoUs/ MoUs, 1872
collaborations Consultancy etc

12.0. Filing Patent/ Copyrights

12.1. Who can apply?
The application can be filed either alone or jointly; any person claiming to be true and first
inventor; any person being the assignee of person claiming to be true and fisrt inventor and legal
representative of any deceased person or assignee.
12.2. Where to file?
The appropriate patent office shall be the head office or branch office as the case may be within
whose territorial limits to residence of applicant or place where the invention actually originated.
Office: Patent Office Branch, Intellectual Property building, GST Road, Guindy, Chennai -600
032; Phone: 044-22505242; Fax: 044-22502066; and Email: [email protected]
12.3. How to file application?
Documents can be filed in the patent office through online (e-filing) via
www.ipindiaonline.gov.in/online or through post or can be submitted in person.
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12.4. General procedure for applying patent/ copyright

Filing of patent application Publication after 18 months Pre Grant Opposition/

Representation by any person

Publication of Examination –
Grant of patent Grant or Refusal Request for Examination

Post Grant Opposition to grant of patent Decision by Controller

12.5. Details of Application

Legal Information Technical Information
Form 1 (Annexure 1) Form 2 (Annexure 2)
Name and Address Background of the invention
Contact Details Summary of the invention
Inventor How the invention works?
Assignee Preferred embodiment
Form 3 (Annexure 3) Claims
Assignments Important part
Details of Foreign filing Independent claims
Request for Examination Dependent claims
Form 9 (Annexure 4) Abstract
Request for Early publication
Form 18 (Annexure 5)
Request for Examination
Form 26 (Annexure 6)
Power of authority (if assigned
to patent agent)

12.6. Documents required for filing a patent application

1. Covering letter – indicating the list of 5. Power of Attorney in Form 26 (if filed
documents through attorney)
2. Application for Grant of patent in Form 1 6. Declaration of Inventor-ship in Form 5
(in duplicate) (only in case of an Indian Application)
3. Complete/ Provisional specification in (Annexure 7)
Form 2 (in duplicate) 7. Request for Examination in Form 18
4. Statement and Undertaking in Form 3 8. Requisite Statutory fees in cheque or DD
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13.0. Copies of SOP

The IPR Coordinator will prepare the master/ controlled/ uncontrolled copy. The issuance
of controlled and uncontrolled copies will be done.
Standard Operating Protocol for IPR
Master copy Controlled copy Uncontrolled copy
 Approved original copy  Copy of the master copy  Copy of master copy with a
of documents and will with a stamp/ watermark of stamp/watermark of
have a stamp/watermark “Controlled copy”. “Uncontrolled copy”.
of “Master copy”.  Controlled copies shall be  Uncontrolled copies shall be kept
 Master copy shall be kept in the IRB with access in the IRB with access control.
kept in the IRB office control.  Uncontrolled copy is a reference
with access control.  This copy will be copy of the master copy for the
 Signature in all pages is circulated to all IRB users such as researchers/
mandatory members research staff, sponsor, regulators
 Counter signature is and any other stake holders in
mandatory research
Note: All these data will be maintained as Archives and only the uncontrolled copies shall be
distributed upon request. The issuance log book of uncontrolled copies will be maintained.

14.0. Request for Revision of SOP

This form is to be completed and submitted to the Chairperson of IPR, the Dean by any
IPR member/ Research Faculty whenever a problem or a deficiency in SOP is identified and
maintained with the SOP until an authorized replacement is in place. Finally the Coordinator of
IPR who prepared the SOP/ Member Secretary will present this issue in the forthcoming IPR
meeting as for approval
SOP No.
Title of the SOP
Details of problems or deficiency in the existing SOP

Identified by: Date

Discussed in IPR meeting held on
References to be modified or
clarified
Points to be revised
Date SOP revised
Date of SOP approved
Date of SOP become effective
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15.0. Things to remember

1. Publication/ Display in Public Exhibition of Invention before filing for Patent:
Generally, an invention, if published or publicly displayed cannot be patented; as such
publication or public display leads to lack of novelty.
2. Inventions/ Innovations that cannot be patented: Innovations/ Inventions falling under
the category of Sections 3 and 4 of the Indian Patents Act, 1970 cannot be patented in
India.
3. Additionally, in cases of government funded research, the inventor(s)/ organization(s)
should disclose their IP filings to the Government Agency(s) that have funded their
research
4. Acts that do not constitute copyright infringement: Section 52 of the Indian Copyright
Act, 1957, specifically states certain acts as not being infringement of copyright. The
“doctrine of fair dealing” envisaged under section 52 of the Indian copyright law allows
certain use(s) of copyrighted works in special cases such as private use for the purpose of
education, research, critique, review etc.
5. Attribution or Citation should be done wherever references have been sourced from
other work(s): Copying or using any work from an already published or non-published
work, whether digital or in physical form, should be rightly attributed and referenced to
the original source. Unless allowed as “fair dealing”, copying should not be done without
obtaining required permissions/ licences from the author/ creator. Remember, plagiarism
is not only immoral, it is also illegal.
6. Keep a record of all legal and related documents: All agreements which are to be
entered into with co-creators/ inventors/ third parties should be documented properly to
establish the ownership of any IP created. Additionally, keep a record of all documents
relating to the IP, since the expressed inception of the idea.
7. Rain check regarding names/ brands before choosing a trade mark: A prior public
search for trademarks would prove beneficial before choosing a name or a brand name.
This would aid in checking whether the same has been registered already as a trade mark.
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16.0. Documents to be maintained by IPR Cell

16.1. Administrative documents
 Constitution and composition of the  Regulatory notifications
IPR  Meeting-related documents with
 Appointment letters circular, agenda, attendance,
 Signed and dated copies of the most comments and minutes
recent curriculum vitae of all IPR  All communications received or
members made by the IPR
 Financial records of IPR  SOPs
16.2. Proposals related documents
 One hard copy and a soft copy of the  All correspondence between the IPR
initial proposal and all related Cell and researchers
documents  Final report of the study
 Decision letters  Follow up status report
 Protocol deviations/ violations  IPR certification details
 Progress reports, continuing review
activities, site monitoring reports

17.0. Annual activity report

The Coordinator of IPR in Consultation with the Member Secretary shall prepare an
annual activity report of the IPR cell and the same will be submitted to the office of the Head of
the Institution for approval and further may display for inspection and accreditation purposes.
This shall include:
 A quantitative evaluation of the activities of the committee in a year.
 List of the proposals/ activities reviewed in a year.
 Status of each proposal/ activities.
 Outcome including awards, patents, copyrights, etc.

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18.0. Abbreviations
IAEC – Institutional Animal Ethics NGOs – Non-Governmental Organizations
Committee PIC – Patent Information Centre
IEC – Institutional Ethics Committee PSUs – Public Sector Undertakings
IP – Intellectual Property R&D – Research and Development
IPFC – Intellectual Property Facilitation SOP – Standard Operating Procedure
Centre TISC – Technology Innovation Support
IPR – Intellectual Property Rights Centre
IRB – Institutional Research Board TSRMMCH&RC – Trichy SRM Medical
MoU – Memorandum of Understanding College Hospital and Research Centre

19.0. References

Basant R, Srinivasan S. Intellectual property protection in India and implications for health
innovation: emerging perspectives. Innov Entrepr Hlth 2016; 3: 57-68.

Hockaday T. Phases of growth in university technology transfer. Les Nouvelles 2013; 12: 275-
279.

http://www.ipindia.nic.in/

Joris JH, Elmar SP, Leloux M, Morpurgo M, Hamblin MR, Heger M. Importance of intellectual
property generated by biomedical research at universities and academic hospitals. J Clin Transl
Res 2017; 24: 250-259.

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 “FORM 1 (FOR OFFICE USE ONLY)
THE PATENTS ACT 1970 (39 of 1970) and
THE PATENTS RULES, 2003
APPLICATION FOR GRANT OF PATENT
(See section 7, 54 and 135 and sub-rule (1) of rule 20)
Application No.
Filing date:
Amount of Fee
paid:
CBR No:
Signature:
1. APPLICANT’S REFERENCE /
IDENTIFICATION NO. (AS ALLOTTED BY
OFFICE)
2. TYPE OF APPLICATION [Please tick ( ) at the appropriate category]
Ordinary ( ) Convention ( ) PCT-NP ( )
Divisional Patent of Divisional Patent of Divisional Patent of Addition ( )
() Addition ( ) () Addition ( ) ()
3A. APPLICANT(S)
Name in Full Nationality Country of Address of the Applicant
Residence
House No.
Street
City
State
Country
Pin code
3B. CATEGORY OF APPLICANT [Please tick ( ) at the appropriate category]
Natural Person ( ) Other than Natural Person
Small Entity ( ) Startu Others ( )
p (
)
4. INVENTOR(S) [Please tick ( ) at the appropriate category]

Are all the inventor(s) Yes ( ) No ( )

1
 same as the applicant(s)
named above?
If “No”, furnish the details of the inventor(s)

Name in Full Nationality Country of Address of the Inventor

Residence
House No.
Street
City
State
Country
Pin code
5. TITLE OF THE INVENTION

6. AUTHORISED REGISTERED PATENT IN/PA No.

AGENT(S)
Name
Mobile No.
7. ADDRESS FOR SERVICE OF APPLICANT IN Name
INDIA Postal Address
Telephone No.
Mobile No.
Fax No.
E-mail ID
8. IN CASE OF APPLICATION CLAIMING PRIORITY OF APPLICATION FILED IN CONVENTION
COUNTRY, PARTICULARS OF CONVENTION APPLICATION
Country Application Filing date Name of the Title of the IPC (as classified in the
Number applicant invention convention country)

9. IN CASE OF PCT NATIONAL PHASE APPLICATION, PARTICULARS OF INTERNATIONAL

APPLICATION FILED UNDER PATENT CO-OPERATION TREATY (PCT)
International application number International filing date

10. IN CASE OF DIVISIONAL APPLICATION FILED UNDER SECTION 16, PARTICULARS OF

ORIGINAL (FIRST) APPLICATION
Original (first) application No. Date of filing of original (first) application
2
11. IN CASE OF PATENT OF ADDITION FILED UNDER SECTION 54, PARTICULARS OF MAIN
APPLICATION OR PATENT
Main application/patent No. Date of filing of main application
12. DECLARATIONS
(i) Declaration by the inventor(s)
(In case the applicant is an assignee: the inventor(s) may sign herein below or the applicant
may upload the assignment or enclose the assignment with this application for patent or
send the assignment by post/electronic transmission duly authenticated within the
prescribed period).
I/We, the above named inventor(s) is/are the true & first inventor(s) for this Invention and
declare that the applicant(s) herein is/are my/our assignee or legal representative.
(a) Date
(b) Signature(s)
(c) Name(s)
(ii) Declaration by the applicant(s) in the convention country
(In case the applicant in India is different than the applicant in the convention country: the
applicant in the convention country may sign herein below or applicant in India may
upload the assignment from the applicant in the convention country or enclose the said
assignment with this application for patent or send the assignment by post/electronic
transmission duly authenticated within the prescribed period)

I/We, the applicant(s) in the convention country declare that the applicant(s) herein is/are
my/our assignee or legal representative.
(a) Date
(b) Signature(s)
(c) Name(s) of the signatory

3
 (iii) Declaration by the applicant(s)
I/We the applicant(s) hereby declare(s) that: -
 I am/ We are in possession of the above-mentioned invention.
 The provisional/complete specification relating to the invention is filed with this
application.
 ‬The invention as disclosed in the specification uses the biological material from India
and the necessary permission from the competent authority shall be submitted by
me/us before the grant of patent to me/us.
 ‬There is no lawful ground of objection(s) to the grant of the Patent to me/us.
 I am/we are the true & first inventor(s).
 I am/we are the assignee or legal representative of true & first inventor(s).
 The application or each of the applications, particulars of which are given in
Paragraph-8, was the first application in convention country/countries in respect of
my/our invention(s).
 I/We claim the priority from the above mentioned application(s) filed in convention
country/countries and state that no application for protection in respect of the
invention had been made in a convention country before that date by me/us or by
any person from which I/We derive the title.
 My/our application in India is based on international application under Patent
Cooperation Treaty (PCT) as mentioned in Paragraph-9.
 The application is divided out of my /our application particulars of which is given in
Paragraph-10 and pray that this application may be treated as deemed to have been
filed on DD/MM/YYYY under section 16 of the Act.
 The said invention is an improvement in or modification of the invention particulars
of which are given in Paragraph-11.

13. FOLLOWING ARE THE ATTACHMENTS WITH THE APPLICATION

(a) Form 2
Item Details Fee Remarks
Complete/ No. of pages
provisional
specification)#
No. of Claim(s) No. of claims and
No. of pages
Abstract No. of pages
No. of Drawing(s) No. of drawings and
No. of pages
4
# In case of a complete specification, if the applicant desires to adopt the drawings filed with his
provisional specification as the drawings or part of the drawings for the complete specification
under rule 13(4), the number of such pages filed with the provisional specification are
required to be mentioned here.
(b) Complete specification (in conformation with the international application)/as amended
before the International Preliminary Examination Authority (IPEA), as applicable (2 copies).
(c) Sequence listing in electronic form
(d) Drawings (in conformation with the international application)/as amended before the
International Preliminary Examination Authority (IPEA), as applicable (2 copies).
(e) Priority document(s) or a request to retrieve the priority document(s) from DAS (Digital Access
Service) if the applicant had already requested the office of first filing to make the priority
document(s) available to DAS.
(f) Translation of priority document/Specification/International Search Report/International
Preliminary Report on Patentability.
(g) Statement and Undertaking on Form 3
(h) Declaration of Inventorship on Form 5
(i) Power of Authority
(j)…………………………………………………………………………………………………..
Total fee ₹……….in Cash/ Banker's Cheque /Bank Draft bearing No.......... Date…………...on
…………. Bank.
I/We hereby declare that to the best of my/our knowledge, information and belief the fact
and matters slated herein are correct and I/We request that a patent may be granted to
me/us for the said invention.
Dated this…………………day of………………….20……………………
Signature:
Name:
To,
The Controller of Patents
The Patent Office, at………………..
Note: -
* Repeat boxes in case of more than one entry.
* To be signed by the applicant(s) or by authorized registered patent agent otherwise where
mentioned.
* Tick ()/cross (x) whichever is applicable/not applicable in declaration in paragraph-12.
* Name of the inventor and applicant should be given in full, family name in the beginning.
* Strike out the portion which is/are not applicable.
* For fee: See First Schedule”;

5
 FORM 3
THE PATENTS ACT, 1970
(39 of 1970)
and
THE PATENTS RULES, 2003
STATEMENT AND UNDERTAKING UNDER SECTION 8
(See section 8; Rule 12)
1. Name of the applicant(s). I/We……………………………………………………………………………
…………………………………………………………………………………
……………………………………………………………………………………
hereby declare:
2. Name, address and nationality (i) that I/We have not made any application for the
of the joint applicant. same/substantially the same invention outside
India
Or
(ii) that I/We who have made this application
No…….dated …..……..alone/jointly
with ………………………., made for the same/
substantially same invention, application(s) for
patent in the other countries, the particulars of
which are given below:
Name of Date of Applicati Status of Date of publication Date of grant
the application on No. the
country application

3. Name and address of the (iii) that the rights in the application(s) has/have been
assignee assigned
to…………………………………………………………………………
 ……………………………………………………………………………………
that I/We undertake that upto the date of grant of
the patent by the Controller, I/We would keep him
informed in writing the details regarding
corresponding applications for patents filed outside
India within six months from the date of filing of such
application.

Dated this………day of………..20…..

4. To be signed by the applicant Signature. ………………….
or his authorized registered
patent agent.
5. Name of the natural person (……………………………………).
who has signed.
To
The Controller of Patents,
The Patent Office,
at…………………………………
Note.- Strike out whichever is not applicable;