## Report on the Patents Amendment Rules, 2021
**1. Executive Summary:**
This report analyzes the Patents Amendment Rules, 2021, as notified by the Ministry of Commerce and Industry, Department for Promotion of Industry and Internal Trade on September 21, 2021. This amendment modifies the Patents Rules, 2003, primarily to include “educational institutions” within the ambit of entities eligible for certain benefits and fee structures related to patent applications. The key change involves extending specific provisions related to fees and documentation requirements to educational institutions, aligning them with startups and small entities. This amendment aims to promote innovation and patent filings by educational institutions.
**2. Introduction:**
The purpose of this report is to provide an informative overview of the Patents Amendment Rules, 2021, based on the official notification. This analysis focuses on the key changes introduced by the amendment and their likely implications for affected stakeholders, particularly educational institutions, startups, and small entities.
**3. Policy Overview:**
* This document amends the existing Patents Rules, 2003.
* **Core Objective(s):** The amendment aims to encourage patent filing by educational institutions by providing them with similar benefits as startups and small entities. This objective is inferred from the inclusion of “educational institutions” in the same categories as startups and small entities concerning fee structures and documentation.
**4. Background and Rationale:**
The rationale behind this amendment appears to be to incentivize innovation and research within educational institutions. By aligning them with startups and small entities in terms of patent application processes and fees, the government likely intends to reduce the financial burden and administrative hurdles faced by these institutions in protecting their intellectual property. This aims to encourage them to actively pursue patenting their inventions and contributing to technological advancements. The inclusion of the Micro, Small and Medium Enterprises Development Act, 2006 is to provide definitions to the amendments.
**5. Key Provisions / Changes:**
This amendment introduces the following key changes to the Patents Rules, 2003:
* **Definition of "Educational Institution":** A new sub-rule “ca” is inserted in Rule 2, defining an "educational institution" as a university established or incorporated by or under Central Act, a Provincial Act, or a State Act, and includes any other educational institution as recognised by an authority designated by the Central Government or the State Government or the Union territories in this regard. This provides a clear definition for the purpose of these rules.
* **Amendment to Rule 7 (Fee Structure):**
* **Specific Change:** The second proviso of sub-rule 1 in Rule 7 is amended to include "educational institutions" alongside "small entity" and "startup." This means that, like small entities and startups, educational institutions must accompany every document for which a fee has been specified with Form 28.
* **Specific Change:** Subrule 3 of Rule 7 is substituted. The substituted subrule clarifies that if an application processed under the reduced fee structure (i.e., by a natural person, startup, small entity, or educational institution) is transferred to an entity that doesn't qualify for the reduced fee, the difference in fees must be paid.
* **Effect of Change:** This change extends the reduced fee benefits, and associated documentation requirements (Form 28), to educational institutions, making patent applications more affordable for them. This prevents entities who are not eligible for the reduced fees to attempt to file as a smaller entity.
* **Amendment to FIRST SCHEDULE (Table 1):** The heading of Table 1 in the FIRST SCHEDULE is amended to include educational institutions alongside natural persons, startups, and small entities regarding fee structures for e-filing and physical filing.
* **Substitution of Form 28:** Form 28 is substituted to include a declaration by the applicant/patentee that they are a small entity, startup *or* educational institution. It also specifies the documents required to prove the status of an educational institution (any document as evidence of eligibility, as defined in rule 2ca for an Indian applicant; any other document in case of a foreign educational institution).
**6. Target Audience and Stakeholders:**
The primary target audience and stakeholders affected by these amendments are:
* **Educational Institutions:** Universities and other recognized educational institutions stand to benefit from the reduced fee structure and simplified documentation requirements.
* **Startups and Small Entities:** These entities were already benefiting from the previous rules, and the amendment maintains their status while clarifying procedures related to the transfer of applications.
* **Natural Persons:** As with Startups and Small Entities the natural person is already benefiting from the previous rules, and the amendment maintains their status while clarifying procedures related to the transfer of applications.
**7. Implementation Aspects (Inferred):**
* **Responsible Agency:** The Ministry of Commerce and Industry, specifically the Department for Promotion of Industry and Internal Trade, is the responsible agency for implementing these rules.
* **Timelines:** The rules came into force on the date of their publication in the Official Gazette (September 21, 2021).
* **Procedures (Related to Changes):** Educational institutions seeking to avail the benefits of these amendments must submit Form 28, along with evidence of their eligibility as defined in rule 2ca. In case of a transfer of patent application, the person who is not eligible must pay the difference in fees.
**8. Expected Outcomes / Impact of Changes:**
The likely intended outcomes of these changes are:
* **Increased Patent Filings by Educational Institutions:** The reduced financial burden is expected to encourage more educational institutions to file patent applications, protecting their research and innovations.
* **Enhanced Innovation Ecosystem:** By promoting patenting within educational institutions, the amendment aims to foster a stronger innovation ecosystem and encourage the commercialization of research findings.
**9. Conclusion:**
The Patents Amendment Rules, 2021, represent a significant step towards promoting innovation within educational institutions. By extending similar benefits to educational institutions as are currently afforded to startups and small entities, the government aims to lower barriers to patenting and encourage the protection of intellectual property developed within these institutions. These changes are expected to foster a more vibrant innovation ecosystem and contribute to technological advancements.
Key Entities Referenced
Patents Rules, 2003: The rules being amended by this notification.
Patents Act, 1970: The act under which the Patents Rules are framed and amended.
Patents Amendment Rules, 2021: The name given to the rules introduced via this notification.
Central Government: The governing body enacting the amendments to the Patents Rules.
Ministry of Commerce and Industry: The ministry under which the Department for Promotion of Industry and Internal Trade operates.
Department for Promotion of Industry and Internal Trade: The department within the Ministry of Commerce and Industry that published the notification.
New Delhi: Location of the notification issuance.
Micro, Small and Medium Enterprises Development Act, 2006: Law under which registration can be used as evidence for claiming small entity status.
Union territories: Reference to the authority designated by the Union territories regarding educational institutions.
Ring Road, Mayapuri, New Delhi: Address of the Government of India Press.
Delhi: Location of the Controller of Publications.
Form 28: A form to be submitted by a small entity startup educational institution.
रजजस्ट्री स.ं डी.एल.- 33004/99 REGD. No. D. L.-33004/99
xxxGIDHxxx
सी.जी.-डी.एxलx.x-GअID.-E2xx1x0 92021-229845
CG-DL-E-21092021-229845
ऄसाधारण
EXTRAORDINARY
भाग II—खण्ड 3—ईप-खण्ड (i)
PART II—Section 3—Sub-section (i)
प्राजधकार स ेप्रकाजित
PUBLISHED BY AUTHORITY
स.ं 530] नइ ददल्ली, मगं लवार, जसतम्ब र 21, 2021/भाद्र 30, 1943
No. 530] NEW DELHI, TUESDAY, SEPTEMBER 21, 2021/BHADRA 30, 1943
वाजणज्य और ईद्योग मत्रं ालय
(ईद्योग सवं धनध और अतं ररक व्यापार जवभाग)
ऄजधसचू ना
नइ ददल्ली, 21 जसतम्ब र, 2021
सा.का.जन. 646(ऄ).—पेटेंट ऄजधजनयम, 1970 (1970 का 39) की धारा 159 की ईपधारा (3) के ऄधीन यथा-
ऄपेजित पेटेंट जनयम, 2003 का और संिोधन करन े के जलए कजतपय जनयमों के प्रारूप भारत सरकार के वाजणज्य और
ईद्योग मंत्रालय (ईद्योग संवधनध और अतं ररक व्यापार जवभाग) की ऄजधसूचना संख्या सा.का.जन. 106 (ऄ), तारीख
09 फरवरी, 2021 द्वारा भारत के राजपत्र, ऄसाधारण, भाग-II, खण्ड 3, ईपखण्ड (i) में प्रकाजित दकए गए थे जजसमें ऐसे
सभी व्यजियों से, जजनकी आससे प्रभाजवत होने की संभावना ह,ै ईस तारीख स,े जजसको, ईि ऄजधसूचना में ऄंतर्ववष्ट
राजपत्र की प्रजतया ाँ जनता को ईपलब्ध करा दी गईं थीं, तीस ददनों की ऄवजध के ऄवसान स े पूवध अिेप और सुझाव
अमंजत्रत दकए गए थ;े
और, जजस राजपत्र में ईि ऄजधसूचना प्रकाजित की गइ थी ईसकी प्रजतयााँ 09 फरवरी, 2021 को जनसाधारण
को ईपलब्ध करा दी गईं थीं;
और, ईि प्रारूप जनयमों के संबंध में जनता स े प्राप्त अपजियों और सझु ावों पर केंद्रीय सरकार द्वारा जवचार दकया
गया ह;ै
ऄतः, ऄब, केंद्रीय सरकार, पेटेंट ऄजधजनयम, 1970 (1970 का 39) की धारा 159 द्वारा प्रदि िजियों का प्रयोग
करते हुए, पेटेंट जनयम, 2003 का और संिोधन करन े के जलए जनम्नजलजखत जनयम बनाती ह,ै ऄथाधत:-
1. (1) आन जनयमों का संजिप्त नाम पेटेंट (संिोधन) जनयम, 2021 ह।ै
(2) ये राजपत्र में ईनके प्रकािन की तारीख को प्रवृि होंगें।
5339 GI/2021 (1)2 THE GAZETTE OF INDIA : EXTRAORDINARY [PART II—SEC. 3(i)]
2. पेटेंट जनयम, 2003 में (जजसे आसमें आसके पश्चात् मलू जनयम कहा गया ह)ै , के जनयम 2 के, ईपजनयम (ग) के
पश्चात,् जनम्नजलजखत ऄंतःस्ट्थाजपत दकया जाएगा, ऄथाधत:-
“(गक) “िैजिक संस्ट्था” स े केंद्रीय ऄजधजनयम, प्रांतीय ऄजधजनयम ऄथवा राज्य ऄजधजनयम द्वारा या ईसके ऄधीन
स्ट्थाजपत ऄथवा जनगजमत जवश्वजवद्यालय ऄजभप्रेत ह ै व जजसमें केंद्रीय सरकार ऄथवा राज्य सरकार ऄथवा संघ
राज्य िेत्र द्वारा नामजनर्ददष्ट प्राजधकरण द्वारा मान्यता प्राप्त कोइ ऄन्य िैजिक सस्ट्ं था िाजमल ह;ै ”।
3. मूल जनयम के, जनयम 7 म,ें -
(i) ईप जनयम (1) म,ें दसू रे परंतुक के स्ट्थान पर,जनम्नजलजखत परंतुक को रखा जाएगा,ऄथातध :-
“परंत ु यह और दक दकसी लघ ु ऄजस्ट्तत्व, ऄथवा स्ट्टाटधऄप, ऄथवा िैजिक संस्ट्था के मामले में, प्रत्येक दस्ट्तावेज़
जजसके जलए िल्ु क जवजनर्ददष्ट ह,ै ईसके साथ प्ररूप -28 संलग्न होगा।”;
(ii) ईप-जनयम (3) के स्ट्थान पर,जनम्नजलजखत रखा जाएगा, ऄथाधत:-
“(3) ऐसे मामले में जहां दकसी प्रकृत व्यजि, स्ट्टाटधऄप, लघ ु ऄजस्ट्तत्व ऄथवा िैजिक संस्ट्था द्वारा दकसी प्रकृत
व्यजि, स्ट्टाटधऄप, लघु ऄजस्ट्तत्व ऄथवा िैजिक संस्ट्था से जभन्न दकसी व्यजि को पूणधतः ऄथवा ऄंितः ऄंतररत करन े
के जलए अवेदन पर कारधवाइ की जाती ह ै वहााँ प्रकृत व्यजि, स्ट्टाटधऄप, लघु ऄजस्ट्तत्व ऄथवा िैजिक संस्ट्था से
प्रभाररत फीस और प्रकृत व्यजि, स्ट्टाटधऄप, लघु ऄजस्ट्तत्व ऄथवा िैजिक संस्ट्था स े जभन्न व्यजि से प्रभायध फीस की
मात्रा का ऄंतर, यदद कोइ हो, नए अवेदक द्वारा ऄंतरण के ऄनुरोध के साथ भगु तान दकया जाएगा”।
4. मूल जनयम म,ें पहली ऄनुसूची की सारणी 1 म,ें िीर्ध और ईपिीर्ध, के स्ट्थान पर,
“
प्रजवजष्ट जजस पर संबद्ध इ-फाआललग के जलए वास्ट्तजवक रूप में फाआल करने के जलए
संख्या संदये ह ै प्रपत्र
प्रकृत व्यजि ऄन्य, ऄकेले या प्रकृत प्रकृत व्यजि ऄन्य, ऄकेले या प्रकृत
संख्या
(व्यजियों) व्यजि (व्यजियों) (व्यजियों) व्यजि (व्यजियों)
ऄथवा ऄथवा स्ट्टाटध-ऄप ऄथवा ऄथवा स्ट्टाटध-ऄप
स्ट्टाटधऄप (ऄप्स) ऄथवा छोटी स्ट्टाटधऄप (ऄप्स) ऄथवा छोटी
(ऄप्स) ऄथवा कंपनी /( यों) के साथ (ऄप्स) ऄथवा कंपनी /(यों) के साथ
छोटी कंपनी / छोटी कंपनी /
(यों) के जलए (यों) के जलए
”,
जनम्नजलजखत िीर्ध तथा ईप-िीर्ध रख ेजाएंग,ें ऄथाधत:-
“
प्रजवजष्ट जजस पर सुसंगत इ-फाआललग के जलए वास्ट्तजवक रूप में फाआल करने के जलए
की संख्या संदये ह ै प्ररूप
प्रकृत ऄन्य, ऄकेले या प्रकृत प्रकृत ऄन्य, ऄकेले या प्रकृत
की
व्यजि/(व्यजियों) व्यजि/(व्यजियों) व्यजि/(व्यजियों) व्यजि/(व्यजियों) ऄथवा
संख्या
ऄथवा ऄथवा स्ट्टाटध- ऄथवा स्ट्टाटध-ऄप/(स्ट्टाटधऄपों)
स्ट्टाटधऄप/(स्ट्टाटधऄपों) ऄप/(स्ट्टाटधऄपों) स्ट्टाटधऄप/(स्ट्टाटधऄपों) ऄथवा लघु
ऄथवा लघु ऄथवा लघु ऄथवा लघु ऄजस्ट्तत्व/(ऄजस्ट्तत्वों)
ऄजस्ट्तत्व/(ऄजस्ट्तत्वों) ऄजस्ट्तत्व/(ऄजस्ट्तत्वों) ऄजस्ट्तत्व/(ऄजस्ट्तत्वों) ऄथवा िैजिक
ऄथवा िैजिक ऄथवा िैजिक ऄथवा िैजिक संस्ट्था/(संस्ट्थाओं) के
संस्ट्था/(संस्ट्थाओं) के संस्ट्था/(संस्ट्थाओं) के संस्ट्था/(संस्ट्थाओं) के साथ
जलए साथ जलए
”.[भाग II—खण् ड 3(i)] भारत का राजपत्र : ऄसाधारण 3
5. मूल जनयम म,ें दसू री ऄनुसूची में, प्ररूप 28 के स्ट्थान पर जनम्नजलजखत प्ररूप को रखा जाएगा, ऄथाधत:-
“
प्ररूप 28
पटे ेंट ऄजधजनयम,1970
(1970 का 39)
और
पटे ेंट जनयम, 2003
लघ ुऄजस्ट्तत्व/ स्ट्टाट-ध ऄप/िजै िक सस्ट्ं था द्वारा प्रस्ट्ततु दकया जाएगा
[जनयम 2 (चक), 2 (चख), 2 (गक) और 7 दखे ]ें
1 नाम, पता और राष्ट्रीयता प्रजवष्ट करें मैं/हम -------------------------------------------------------
पेटेंट अवेदन सं. ------------------ या पेटेंट सं.--------------
के संबंध में अवेदक/पेटेंटी ----------------------------------
यह घोजर्त करता ह/ाँ करत े ह ैं दक म ैं /हम जनयम 2 (चक) के
ऄनुसार एक लघु ऄजस्ट्तत्व या जनयम 2(चख) के ऄनुसार एक
स्ट्टाट-ध ऄप या जनयम 2(गक) के ऄनुसार एक िैजिक संस्ट्था
ह/ाँह ैं और जनम्न दस्ट्तावेज़ (दस्ट्तावेजों) को सबूत के रुप म ें
प्रस्ट्तुत करता/करत े ह/ाँह:ैं
2 प्रस्ट्तुत दकए जाने वाले दस्ट्तावेज़
i. लघु ऄजस्ट्तत्व होन े का दावा करने के जलए:
क.भारतीय अवेदक के जलए: सूक्ष्म, लघ ु और मध्यम ईद्यम जवकास ऄजधजनयम, 2006 (2006 का 27) के ऄधीन
रजजस्ट्रीकरण का साक्ष्य
ख. जवदेिी ऄजस्ट्तत्व के मामले में: कोइ ऄन्य दस्ट्तावेज़
ii. स्ट्टाट-ध ऄप होने का दावा करने के जलए
क. भारतीय अवेदक के जलए : जनयम 2 (चख) में यथा पररभाजर्त पात्रता के साक्ष्य के रूप म ेंकोइ दस्ट्तावेज़
ख. जवदेिी ऄजस्ट्तत्व के मामले म:ें कोइ ऄन्य दस्ट्तावेज़
iii िैजिक संस्ट्था होन े का दावा करन े के जलए
क. भारतीय अवेदक के जलए : जनयम 2 (गक) म ेंयथा पररभाजर्त पात्रता के साक्ष्य के रूप म ेंकोइ दस्ट्तावेज़
ख. जवदेिी ऄजस्ट्तत्व के संदभ धम:ें कोइ ऄन्य दस्ट्तावेज़
3 अवेदक (अवेदकों)/ पेटेंटी (पेटेंटीयों)/ / प्राजधकृत रजजस्ट्रीकृत पेटेंट यहााँ प्रदि सूचना मेरे/हमारे सवोिम ज्ञान
ऄजभकताध द्वारा हस्ट्तािररत दकया जाए और जवश्वास के अधार पर सत्य ह।ै
………अज तारीख ..............20…..
4 हस्ट्तािर करन े वाले प्रकृत व्यजि का नाम
हस्ट्तािर…………….
”.
[फा. सं. पी-24027/4/2020-अइपीअर-III]
श्रुजत लसह, संयुि सजचव4 THE GAZETTE OF INDIA : EXTRAORDINARY [PART II—SEC. 3(i)]
रटप्पण : मूल जनयम संख्याक का.अ. 493(ऄ) तारीख 2 मइ, 2003 के द्वारा भारत के राजपत्र, ऄसाधारण, भाग-II,
खण्ड 3, ईप-खण्ड (ii) में प्रकाजित दकए गए थे और ऄंजतम बार ऄजधसूचना संख्या सा.का.जन. 689 (ऄ) तारीख
04 नवंबर, 2020 के द्वारा संिोजधत दकए गए थे।
MINISTRY OF COMMERCE AND INDUSTRY
(Department for Promotion of Industry and Internal Trade)
NOTIFICATION
New Delhi, the 21st September, 2021
G.S.R. 646(E).—Whereas the draft of certain rules, further to amend the Patents Rules, 2003 was
published as required under sub-section (3) of section 159 of the Patents Act, 1970 (39 of 1970), vide
notification of the Government of India in the Ministry of Commerce and Industry (Department for
Promotion of Industry and Internal Trade) number G.S.R. 106 (E), dated the 09th February, 2021 in the
Gazette of India, Extraordinary, Part II, Section 3, Sub-section (i) inviting objections and suggestions from
all persons likely to be affected thereby before the expiry of a period of thirty days from the date on which
copies of the Official Gazette containing the said notification were made available to public;
And, whereas, copies of the Official Gazette in which the said notification was published were
made available to the public on the 09th February, 2021;
And, whereas, the objections and suggestions received from the public in respect of the said draft
rules have been duly considered by the Central Government;
Now, therefore, in exercise of the powers conferred by section 159 of the Patents Act, 1970 (39 of
1970), the Central Government hereby makes the following rules further to amend the Patents Rules, 2003,
namely: -
1. (1) These rules may be called the Patents (Amendment) Rules, 2021.
(2) They shall come into force on the date of their publication in the Official Gazette.
2. In the Patents Rules, 2003 (hereinafter referred to as the principal rules), in rule 2, after sub-rule (c),
the following shall be inserted, namely:-
“(ca) “educational institution” means a university established or incorporated by or under Central
Act, a Provincial Act, or a State Act, and includes any other educational institution as recognised
by an authority designated by the Central Government or the State Government or the Union
territories in this regard;”.
3. In the principal rules, in rule 7,-
(i) in sub-rule (1), for the second proviso, the following proviso shall be substituted, namely:-
“Provided further that in the case of a small entity, or startup, or educational institution, every
document for which a fee has been specified shall be accompanied by Form-28.”;
(ii) for sub-rule (3), the following sub-rule shall be substituted, namely:-
“(3) In case an application processed by a natural person, startup, small entity or educational
institution is fully or partly transferred to a person other than a natural person, startup, small entity
or educational institution, the difference, if any, in the scale of fees between the fees charged from
the natural person, startup, small entity or educational institution and the fees chargeable from the
person other than a natural person, startup, small entity or educational institution, shall be paid by
the new applicant along with the request for transfer.”.[भाग II—खण् ड 3(i)] भारत का राजपत्र : ऄसाधारण 5
4. In the principal rules, in the FIRST SCHEDULE, in Table 1, for the headings and sub-headings,
“
Number of On what Number For e-filing For physical filing
Entry payable of the
Natural Other(s), alone or Natural Other(s), alone or
relevant
Form person(s) or with natural person(s) or with natural
Startup(s) or person(s) or Startup(s) or person(s) or
Small Startup(s) or Small Startup(s) or
entit(y)/(ies) Small entit(y)/(ies) Small
entit(y)/(ies) entit(y)/(ies)
”,
the following headings and sub-headings shall be substituted, namely:—
“
Number of On what Number For e-filing For physical filing
Entry payable of the
Natural Other(s), alone or Natural Other(s), alone or
relevant
Form person(s) or with natural person(s) or with natural
Startup(s) or person(s) or Startup(s) or person(s) or
Small Startup(s) or Small Startup(s) or
entit(y)/(ies) Small entit(y)/(ies) Small
or entit(y)/(ies) or or entit(y)/(ies) or
educational educational educational educational
institution(s) institution(s) institution(s) institution(s)
”.
5. In the principal rules, in the SECOND SCHEDULE, for Form 28 the following form shall be
substituted, namely:-
“
FORM 28
THE PATENTS ACT, 1970
(39 of 1970)
AND
THE PATENTS RULES, 2003
TO BE SUBMITTED BY A SMALL ENTITY /STARTUP/EDUCATIONAL INSTITUTION
[See rules 2 (fa), 2(fb), 2(ca) and 7]
1 Insert name, address and nationality. I/We…………………….
applicant/patentee in respect of the
patent application no......... or patent
no..............hereby declare that I/we
am/are a small entity in accordance
with rule 2(fa) or a startup in
accordance with rule 2(fb) or an
educational institution in
accordance with rule 2(ca) and
submit the following document(s) as
proof:6 THE GAZETTE OF INDIA : EXTRAORDINARY [PART II—SEC. 3(i)]
2 Documents to be submitted
i. For claiming the status of a small entity:
A. For an Indian applicant: Evidence of registration under the Micro, Small and Medium
Enterprises Development Act, 2006(27 of 2006).
B. In case of a foreign entity: Any other document.
ii. For claiming the status of a startup
A. For an Indian applicant: Any document as evidence of eligibility, as defined in rule 2(fb).
B. In case of a foreign entity: Any other document.
iii For claiming the status of an educational institution
A. For an Indian applicant: Any document as evidence of eligibility, as defined in rule 2(ca).
B. In case of a foreign educational institution: Any other document.
3 To be signed by the applicant(s) /patentee(s)/authorized The information provided herein is
registered patent agent. correct to the best of my/our
knowledge and belief.
Dated this ... day of..... ..20 …...
4 Name of the natural person who has signed.
Signature…………….
”.
[ F. No. P-24027/4/2020-IPR-III]
SHRUTI SINGH, Jt. Secy.
Note : The principal rules were published in the Gazette of India, Extraordinary, Part-II, Section 3,
Sub-Section (ii) vide number S.O. 493 (E) dated the 2nd May, 2003 and last amended vide
notification number G.S.R. 689 (E) dated the 4th November, 2020.
Uploaded by Dte. of Printing at Government of India Press, Ring Road, Mayapuri, New Delhi-110064
and Published by the Controller of Publications, Delhi-110054.