Research Methodology &

Intellectual P ro pe r t y R i g ht s
Module 1

In tro ducti on

Syllabus

Introducti on : Meaning of Research, Objectives of Engineering Research, and Moti-

vation in Engineering Research, Types of Engineering Research, Finding and Solving a
Worthwhile Problem. Ethics in Engineering Research, Ethics in Engineering Research
Practice, Types of Research Misconduct, and Ethical Issues Related to Authorship
Textbook :

1. Meaning of Research:

1. W h a t is Research? :

Research refers to a careful, well-defined (or redefined), objective, and systematic method
of search for knowledge or formulation of a theory that is driven by inquisitiveness for that
which is unknown and useful on a particular aspect so as to make an original contribution

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to expand the existing knowledge base.

Research can be defined as the search for knowledge or as any systematic investigation
to establish facts. Research is like a careful and organized journey to find new informa-
tion or create new knowledge. It involves setting a clear goal, asking questions, forming
hypotheses (educated guesses), analyzing data, and making sure your conclusions match
your initial ideas.
Example: Imagine you are curious about why plants in your garden grow differently.
Your research could involve observing, making guesses (hypotheses), collecting data about
sunlight, soil, and water, and then figuring out why plants grow differently.

1.1.2 S ta r ti n g a Research C y c l e :

The research process (or research cycle) basically begins with a practi cal problem or an
existing gap in knowledge or practice. This could be a practical challenge, an unanswered
question, or an area that needs improvement.

Once the problem is identified, researchers formulate a clear and concise problem state-
ment. From the formulated problem statement, researchers then develop specific research
questions. Building on the research questi ons, researchers set clear objectives for the
study. Objectives outline what the research aims to achieve and contribute to solving the
identified problem. They serve as a roadmap for the research project.

Based on the research questions and objectives, researchers design a methodology to

gather relevant data and conduct the investigation. This may involve selecting research
methods, data collection techniques, and analytical tools suitable for addressing the re-
search questions. Researchers collect data according to the defined methodology.

This data is then analyzed to derive meaningful insights and results or answers to
the research questions. The results of the analysis are interpreted in the context of the
research questions and objectives. The final step involves translating research findings
into practical implications. This helps to solve the practical problem that one started
with in the first place, as shown in the following figure.
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Example: If you notice your plants are not growing well, the problem is the poor plant
growth. Your research question might be, ”What factors affect plant growth in my gar-
den?”

1.1.3 B u i l d i n g B a ckgrou n d :

The building up of background for doing good research includes connecting different areas
or different pieces of knowledge. The purpose is to prepare the mind for active work. as
opposed to becoming a repository or an encyclopedia. Research is not just about reading
a lot of books and gathering a lot of existing information. It is about adding our own
ideas to what we already know. It involves critical thinking, analysis, and the generation
of new insights. Research is about asking questions that matter in the real world and
then finding answers through a careful and organized approach. It involves systematically
exploring, investigating, and understanding topics that are relevant to our lives.

The purpose is to prepare the mind for active work as opposed to becoming a repository
or an encyclopedia. Research is not just about reading or gathering a lot of existing
information. It is instead adding, maybe small and specific, yet original, contribution to
that existing body of knowledge.
Example: Before fixing your garden, you might learn about soil types, sunlight needs,
and plant nutrition. Instead of just gathering facts(existing information), you aim to
contribute something new and specific.
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1.1.4 Ways of Developing Knowledge:

The ways of developing and accessing knowledge come in three, somewhat overlapping,
broad categories. They are observation (seeing things), models (simplified descriptions or
equations), and processes (methods or designs).

(i)Observation:Observation is described as the most fundamental way to gather infor-

mation. It becomes particularly important when the subject being observed is unusual,
exciting, or challenging to study. Observation can take various forms, ranging from tra-
ditional measurements in a laboratory setting to conducting surveys among a group of
subjects.

(ii)Models : After making observations, the collected data often needs to undergo
some form of processing, which leads to the second category of knowledge, which is the
“model”. Models are described as approximated and simplified representations in the
form of a statistical relationship, a figure, or a set of mathematical equations. Models
help us understand and interpret observed phenomena more abstractly, providing a way
to analyze and make sense of the data.

(iii)Processes and Algorithms: The final category involves methods for organizing and
doing things to achieve a specific result. This category includes processes, algorithms, pro-
cedures, arrangements, or reference designs.

E xamp l e 1: In gardening research, observation involves directly watching and recording

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how plants respond to sunlight. This may include noting changes in leaf color, growth
patterns, or flowering times. For instance, you might observe that certain plants thrive in
direct sunlight, while others prefer shaded [Link] direct observations form the foun-
dation of your understanding of the plants’ behavior in different light conditions. You
might create a simple model to predict growth based on sunlight hours. This could involve
developing a simple equation or chart that correlates the number of sunlight hours with
plant growth. For example, your model might suggest that plants receiving more sunlight
tend to grow taller or produce more flowers. The model serves as a tool to generalize and
make predictions about how plants are likely to respond to varying sunlight conditions.
Finally, you develop a process (a watering schedule) to achieve the desired plant growth.
Your process could involve adjusting the frequency and amount of water based on the
observed sunlight levels. This systematic approach ensures that your gardening efforts
are aligned with the knowledge gained from observation and modeling, ultimately aiming
for the desired plant growth.

E xamp l e 2 : Let us consider an example related to the development of a smartphone:

Engineers observe user interactions with existing smartphones, studying how people use
different features, how they hold the device, and identifying common issues such as battery
life and durability concerns. This observation helps engineers understand user behavior
and preferences, as well as identify potential problems or areas for improvement.

Based on the observed data, engineers create models to simulate the behavior of various
smartphone components. These models help predict factors like power consumption, sig-
nal strength, and heat dissipation, influencing design choices.

Engineers follow a detailed development process for manufacturing the smartphone. This
involves procedures for designing the circuit board, arranging hardware components such
as the battery, processor, camera, and sensors within the device, implementing algorithms
for software functionalities, and adhering to reference designs to ensure compatibility with
industry standards.
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5. G o o d Research :

Good research involves a systematic approach to collecting and analyzing information.

Good research includes systematically collecting and analyzing information. It goes be-
yond existing knowledge, attempting to add valuable discoveries. The research journey in
engineering typically starts with a broad research area (e.g., computer science and engi-
neering) and narrows down to a specific topic (e.g., machine learning algorithms for image
recognition), ultimately focusing on a well-defined problem (e.g., enhancing accuracy in
image recognition systems). This progression from area to topic to problem showcases
the gradual refinement of research focus.

Example: In gardening research, after applying your watering schedule, you analyze
plant growth data. If you discover a new and effective way to make plants thrive, you
have made an important discovery.

6. En gineer in g Research:

In engineering, research involves recognizing, planning, designing, and executing investi-

gations to improve knowledge and skills.

Engineering research is the process of developing perspectives and seeking improve-

ments in knowledge and skills to enable the recognition, planning, design, and execution
of research in a wide range of forms relevant for engineering and technology investigations
and developments. In other words, engineering research is a systematic and disciplined
process aimed at discovering new knowledge or improving existing knowledge in the field
of engineering.

Example: If you are an engineer wondering why a machine works a certain way, your
research might involve studying its parts, creating models to understand interactions, and
eventually suggesting ways to make it work better.
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1.2 Objecti ves of Engineering Research

The primary goal of engineering research is to address new and significant problems.
While the ultimate conclusion is unknown at the start, the process begins with educated
guesses based on circumstantial evidence, intuition, and imagination. A guess gives a tar-
get to work toward. and after initial attempts, it may turn out that the guess is incorrect.

Engineering research serves various important objectives, contributing to the advancement

of knowledge, technology, and societal well-being. Some key objectives of engineering
research include the following:

(i) Innovati on and Advancement: Engineering research aims to push the bound-
aries of current knowledge and technology. By exploring new ideas, concepts, and
methodologies, researchers seek to innovate and advance the field, leading to the
development of new technologies and solutions.

(ii) Problem Solving: Engineering research often focuses on solving real-world prob-
lems. Researchers aim to address challenges and issues faced by industries, communi-
ties, or individuals, seeking practical and effective solutions through the application
of engineering principles.

(iii) Opti mizati on: Research in engineering aims to optimize existing processes, sys-
tems, and products. This involves improving efficiency, reducing costs, enhancing
performance, and minimizing environmental impacts.

(iv) Knowledge Expansion: One of the primary objectives of research is to expand

the body of knowledge in engineering. Through experimentation, analysis, and doc-
umentation, researchers contribute to the understanding of fundamental principles
and phenomena in various engineering disciplines.

(v) Interdisciplinary Collaborati on: Many engineering challenges require a multi-

disciplinary approach. Research objectives may involve collaboration between en-
gineers, scientists, and professionals from other fields to address complex problems
that span multiple domains.

(vi) Educati on and Training: Engineering research contributes to the education and
training of future engineers and scientists. The dissemination of research findings
through publications, conferences, and other channels helps educate the next gener-
ation of professionals.
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(vii) Technological Transfer: Research often leads to the development of new tech-
nologies and methodologies. The objective is not only to create knowledge but also
to transfer this knowledge to industry, enabling the practical application of research
findings for the benefit of society.

(viii) Societal Impact: Many engineering research projects are driven by a desire to have
a positive impact on society. This could involve improving infrastructure, addressing
environmental issues, enhancing healthcare technologies, or promoting sustainable
practices.

(ix) Quality and Safety Improvement: Engineering research aims to enhance the
quality and safety of products, processes, and systems. This is particularly important
in fields such as aerospace, healthcare, and transportation, where safety standards
are crucial.

(x) Global Challenges: Engineering research often addresses global challenges such
as climate change, resource scarcity, and public health issues. The objective is to
contribute to solutions that can have a positive impact on a global scale.

3. Moti vati on in Engineering Research

Motivation in engineering research plays an important role in driving researchers to ex-

plore new frontiers, address challenges, and contribute to the advancement of knowledge
and technology. Motivations can broadly be categorized into intrinsic, extrinsic, and
sometimes a blend of both. The combination of both intrinsic and extrinsic motivators
can shape the overall motivation of individuals engaging in engineering research. The
possible motives may be the result of one or more of the following desires:

1. Intrinsic Moti vati ons

Intrinsic motivations refer to the internal factors that drive a person to engage in an
activity,

(i) Curiosity and Intellectual Interest: Many researchers are motivated by a nat-
ural curiosity and a genuine interest in understanding how things work. Studies
have shown that intrinsic motivations like interest, challenge, learning, Meaning and
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purpose are linked to strong creative performance.

Example: An engineer may be naturally curious about the functioning of renew-

able energy systems. This curiosity drives him to explore innovative approaches to
harnessing solar energy, leading to research in the development of more efficient solar
panels.

(ii) Personal Fulfi llment: For some researchers, the pursuit of knowledge and the sat-
isfaction of contributing to the greater body of human understanding are personally
fulfilling. The intrinsic rewards of research, such as personal growth and a sense of
accomplishment, can be powerful motivators. Personal motivation for solving un-
solved problems, intellectual joy, service to the community, and respectability are
all driving factors.

Example: An environmental engineer driven by a sense of purpose to address

pollution may engage in research on innovative waste management solutions. The
meaningful impact on the environment serves as a driving force.

(iii) Passion for Technology: Individuals with a genuine passion for engineering and
technology may find motivation in the joy of working with and contributing to the
development of advanced technologies.

Example: An engineer with a deep passion for robotics may initiate research to
enhance the capabilities of autonomous robots. The joy and satisfaction derived
from contributing to the field of robotics serve as intrinsic motivators.

2. E x t r i n s i c Moti vati ons

(i) Career Development: Engaging in research can contribute to career advance-

ment in academia, industry, or both. Researchers may be motivated by the desire
to establish themselves as experts in their field, gain recognition, and open up new
opportunities for professional growth. Extrinsic motivating factors like rewards for
good work, such as money, fame, awards, praise, and status, are very strong moti-
vators but may block creativity.

Example: Research outcomes may enable a researcher to obtain a patent, which is

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a good way to become rich and famous, opening up opportunities for career growth
and recognition.

(ii) Competi ti ve Drive:The desire to be at the forefront of a field or to compete with

other researchers and institutions can drive motivation. The pursuit of excellence
and the aspiration to be recognized for outstanding contributions can be strong
motivating factors.

(iii) Infl uences from others: Influences from others, like collaboration, commitment,
and encouragement, are also motivating factors in research.

For example: my friends are all doing research and so should I, or a person that I
dislike, be doing well and I want to do better.

1.3.3 M i x of E x t r i n s i c and Intrinsic Moti vati ons

The following factors would be a mix of extrinsic and intrinsic aspects in Engineering
Motivation:

(i) Wanti ng to do bett er than what has been achieved in the world: This is an
intrinsic motivation, driven by personal motivation and a desire for self-improvement
& excellence, and a sense of internal fulfillment.

(ii) Improve the state of the art in technology: The pursuit of advancing technol-
ogy is typically motivated by an intrinsic interest in innovation, curiosity, and the
internal satisfaction derived from pushing the boundaries of knowledge and capabil-
ity.

(iii) Contribute to the improvement of society:This comes under both intrinsic and
extrinsic types of motivation. It arises from an internal sense of purpose and the
desire to make a positive impact on society and address societal challenges. It may
also be influenced by external factors such as recognition, social approval, or a sense
of duty.

(iv) Fulfi llment of the historical legacy in the immediate socio-cultural con-
text: This is a mixed type of motivation. The fulfillment of a historical legacy
may be driven by intrinsic factors, such as personal meaning and connection to the
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historical and cultural context, emphasizing a sense of identity and continuity. Si-
multaneously, external factors like societal expectations or recognition may also play
a role.

(v) Government directi ves and funding opportuniti es: This represents a mixed
type of motivation, influenced by external factors such as government policies and
financial incentives. The motivation to align research with targeted areas for funding
is primarily driven by external rewards like financial support. Simultaneously, it
supports researchers in pursuing projects that align with their personal interests,
curiosity, and passion for contributing to knowledge and innovation.

(vi) Terms of employment:This represents an extrinsic type of motivation. Terms

of employment, including benefits, salary, promotions, or job security, are exter-
nal factors that can motivate individuals to engage in specific activities, including
engineering research.

4. Ty p e s of Engineering Research

The different types of research are :

1. Descripti ve versus A na l y ti ca l:

A descripti ve type of research aims to describe the characteristics of a phenomenon

through fact-finding inquiries to effectively describe the present state of art. It involves
observing, recording, and reporting without manipulating variables. Descriptive research
can be further classified into comparative (comparing different groups or conditions) and
correlational (examining relationships between variables) methods. The researcher holds
no control over the variables but rather only reports them as they are. Descriptive re-
search also includes attempts to determine causes, even though the variables cannot be
controlled.
On the contrary, analyti cal research involves critically evaluating existing information
and analysing it to gain a deeper understanding.
Example: Research Topic: Traffi c Congesti on in U r b a n Areas.
The following comparison gives us a clear understanding of how descriptive research aims
to provide a comprehensive overview, while analytical research explores the underlying
causes and potential solutions.
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Descripti ve Research: Analyti cal Research:

Objective: Describe the current state Objective: Analyze the factors
of traffic congestion in a specific urban con-
area. tributing to traffic congestion and pro-
pose potential solutions.

Methodology: Conduct surveys and Methodology: Use statistical methods to

collect data on traffic patterns, peak identify correlations between variables
hours, and congestion levels. Use traffic such as population growth, urban devel-
cameras and sensors to gather real-time opment, and traffic congestion. Analyze
information. Analyze historical data to the impact of specific interventions or
identify trends. traffic management strategies. Compare
the effectiveness of different approaches
through modeling and simulation.

Findings: Present a detailed descrip- Findings: Provide insights into the root
tion of the current traffic congestion sit- causes of traffic congestion and propose
uation, including statistics on peak con- analytical solutions. For example, the
gestion times, affected areas, and com- research may suggest optimizing traf-
mon causes. fic signal timings, implementing public
transportation improvements, or intro-
ducing congestion pricing.

1.4.2 A p p l i e d versus Fundamental:

Research can either be applied research or fundamental (basic or pure) research.

Applied research is practical and problem-oriented. It is conducted to address specific

issues or problems faced by organizations or industries. In Applied research, the goal is
to find solutions that can be implemented in real-world situations. Research to identify
social or economic trends, or those that find out whether certain communications will be
read and understood are examples of applied research. The primary objective of applied
research is to determine a solution for compelling problems in actual practice, while basic
research is aimed at seeking information which could have a broad base of applications in
the medium to long term.

Fundamental Research is also known as basic or pure research. Fundamental research

is driven by a desire to expand knowledge and understanding rather than to solve a prac-
tical problem. It focuses on concerned with generalizations and formulation of a theory,
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contributing to the development of a broader knowledge base. Research concerning nat-

ural phenomena or relating to pure mathematics are examples of fundamental research.
E xamp l e :
Research Topic: Treatment for a Specifi c Disease (e.g., Diabetes)
The following comparison demonstrates how engineering research can contribute to the
development of practical solutions (Applied Research) and, at the same time, deepen the
scientific understanding of the disease at a fundamental level (Fundamental Research).

Applied Research: Fundamental Research :

Objective: Develop a new drug or treat- Objective: Investigate the molecular
ment protocol for managing diabetes in mechanisms underlying insulin resis-
patients. tance in diabetes to deepen our under-
standing of the disease.

Methodology: Conduct clinical trials Methodology: Use molecular biology

with diabetic patients to test the ef- techniques to study the interactions of
fectiveness and safety of a new drug insulin with cells and identify the fac-
or treatment approach. Collect data tors contributing to insulin resistance.
on blood sugar levels, side effects, and Explore the genetic and biochemical as-
overall health outcomes. Analyze the pects of diabetes at the cellular level.
results to determine the practical bene-
fits and risks of the proposed treatment.

Findings: Provide a treatment option Findings: Contribute to the broader

that can be immediately applied in clin- scientific knowledge of the cellular and
ical settings to improve the manage- molecular basis of diabetes. While the
ment of diabetes. immediate application might not be ev-
ident, the research lays the foundation
for future therapeutic approaches and a
deeper understanding of the disease.

1.4.3 Quanti tati ve versus Qualitati ve:

Quantitative research involves the collection and analysis of numerical data, using sta-
tistical observations of a sufficiently large number of representative cases to draw any
conclusions. It aims to quantify relationships and patterns, making use of measurable
variables. Surveys, experiments, and statistical analyses are common in quantitative re-
search.
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Qualitative Research focuses on a few non-representative cases or verbal narrative in be-

havioral studies such as clustering effect in intersections in Transportation engineering to
make a proposition. Qualitative methods include interviews, focus groups, observations,
and content analysis. It provides in-depth insights into the complexity of human behavior
and social phenomena.
Example:
Research Topic: Evaluati on of an Online Learning Platf orm for Engineering
Educati on
The following table effectively illustrates how student satisfaction with a learning plat-
form for engineering education can be approached using both quantitative and qualitative
research methods.

Quanti tati ve Research: Qualitati ve Research :

Objective : Measure overall satisfaction Objective : Explore detailed feedback
levels of engineering students using a and experiences of engineering students
numerical rating scale. using open-ended questions.
Methodology : Methodology :

Administer a satisfaction survey Conduct interviews or open-ended

with quantifiable rating questions surveys with engineering students
tailored to engineering course- to gather qualitative responses.
work.
Analyze qualitative data themati-
Collect numerical data on satis- cally, focusing on aspects relevant
faction scores. to engineering education.

Use statistical analysis to iden-

tify trends and overall satisfaction
levels specific to engineering edu-
cation.

Findings : Findings
Provide numerical insights into the av- Offer rich, detailed descriptions of engi-
erage satisfaction level and key trends neering student’s experiences and cap-
specific to the engineering learning con- ture refined feedback that quantitative
text. measures might miss, shedding light on
unique challenges and opportunities in
online engineering education.
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5. F i n d i n g and Solving a Worthwhile P rob l em :

1. F i n d i n g a Research P ro b l e m :

A researcher may start with problems stated by the Supervisor or posed by others that are
yet to be solved. Alternately, it may involve rethinking basic theories or formulating ideas
from provided information or need to be formulated or put together from the information
provided in a group of papers suggested by the Supervisor. Research scholars face the
task of finding an appropriate problem to begin their research.

2. Skills Needed:

Skills required for finding a research problem are crucial but often not explicitly taught.
Critical thinking about possible implications is important.

3. Identi fying a Problem:

Once the problem is identified, the process of literature survey and technical reading takes
place to further ascertain the significance and validity of the intended [Link],
An initial spark is ideally required before the process of literature survey may duly begin.
The process may involve an initial spark from an oral presentation by somebody which is
followed by asking questions or introspection provides this perspective oral presentation,
asking questions, or introspection. Developments in other subjects may produce a tool or
a result which has direct implications to the researcher’s subject and may lead to problem
identification.

4. Att r i b u te s or characteristi cs of a Worthwhile Research

Problem:

Once a potential research problem is identified, the researcher faces the critical task of
evaluating its worthiness. A worthwhile research problem possesses one or more
attributes, such as being nonintuitive(something that goes against common intuition )
or counterin-
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tuitive(does not align with what one might naturally expect based on prior knowledge or
experience), even to someone familiar with the area. These attributes include:

(i) Addresses a topic that the research community has been anticipating.

(ii) Simplifies a central part of theory.

(iii) Introduces a new result, initiating a new subject or area.

(iv) Offers a novel method or enhancements to existing methods with practical applica-
tions.

(v) sometimes, provides a result that stops further work in a particular area.

1.5.5 Decision to Tackle a Pro bl em:

The researcher must be thoroughly convinced that the problem is worthwhile before ini-
tiating the investigation. Optimal efforts come when the work is worth doing, and the
problem and/or solution has a better chance of being accepted by the research community.

I t is essenti al to recognize that not every solved problem needs to be of great

importance or impact. Sometimes major advancements are made through solutions
to small problems dealt with effectively. Some problems are universally considered hard
and open, and have deep implications and connections to different concepts.

Majority of researchers may not engage with such problems during their careers. How-
ever, hard problems get solved only because people take them seriously as challenging
problems and tackle them with willingness and with determination. Such people have
a mindset that embraces complexity and uncertainty in the pursuit of solutions. They
approach problems with a mindset that welcomes complexity and uncertainty in the quest
for solutions.

Even if the attempt to solve a challenging problem is unsuccessful, there might be partial
or side results that can still fulfill the immediate requirement of generating content for
the dissertation.
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6. Pro b l e m-So l vi n g Methodology: Polya’s A p p ro a c h :

George P´olya (1887–1985) proposed a 4-step procedure for mathematical problem-

solving, which has been found to be applicable to engineering researchers. Recent studies
have affirmed the relevance of these recommendations. The suggested steps to solve a
research problem are:

1. Understand : Understand the problem, Restate the problem in your own words ,
and visualize the problem by drawing figures, and determine if additional informa-
tion is needed.

2. Explore Strategies : Explore various strategies to solve the problem, systemati-

cally. Look for patterns that might lead to a solution.

3. Implement : Implement the chosen strategy(plan) to solve the problem, to see

if it works. If the plan doesn’t work, start over(iterate) with another approach.
Having engaged with the problem extensively and revisiting it multiple times, one
may develop a new idea to solve the problem.

4. Refl ect : After completing the problem-solving process, take the time to look back
and reflect on the journey. This practice aids in understanding and assimilating the
strategy. Such reflective practice serves as an investment in the future for continuous
improvements in problem-solving and personal growth.

6. Et h i c s in Engineering Research

Ethics in engineering research is focused on the ethical considerations within the research
process. Ethics refers to a set of rules distinguishing acceptable and unacceptable con-
duct, distinguishing right from wrong. Most people learn such norms in their formative
years but moral development continues through different stages of growth. Although ev-
eryone recognizes common ethical norms, there can be differences in interpretation and
application.

1. Historical Evo l u ti on of Research Et h i c s :

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Nuremberg C o d e :

International norms for the ethical conduct of research have a deep-rooted history, dating
back to the adoption of the Nuremberg C o d e in 1947. The Nuremberg Code, is a set of
ethical principles for human experimentation. It originated in response to the Nuremberg
Trials, where Nazi doctors were prosecuted for conducting inhumane experiments during
World War II. Researchers must obtain informed consent from participants, especially in
studies involving human subjects.

Infl uence of the Briti sh Royal Society on Research Credit:

The issues associated with research credit find their roots in the seventeenth-century
establishment of the British Royal Society (BRS), which aimed at refining the methods
and practices of modern science. B R S played a crucial role in shaping the timing and
credit issues related to research results. According to this, priority for publication was
given to whoever first submitted findings, rather than focusing on determining who had
first made the discovery.

1.6.2 Et h i c a l Considerati ons in A u t h o rs h i p :

Two simple but significant questions to address the tricky issue of authorship in research
are :
(i)who should be included as an author and
(ii)the appropriate order of listing authors.
In today’s interconnected world, the issue of coauthorship is very relevant to all re-
searchers, challenging the contributions during different phases of [Link] are is-
sues around individuals may be actively involved in the research process but may not
contribute to the drafting phase. Moreover, certain universities have imposed restrictions
on coauthorship to prevent malpractices.
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1.6.3 Disti n gu is h in g Research Et h i c s and Responsible C o n d u c t

of Research in En gi neer in g :

Government bodies, and universities worldwide have adopted certain codes for research
ethics. However, there is a common misconception regarding the interchangeable use of
two terms: research ethics and responsible conduct of research. Research ethics and the
responsible conduct of research are related but not interchangeable. Research ethics looks
at the ethical application of research outcomes, while Responsible Conduct of Research
addresses the ethical considerations in how the research work is undertaken.

Research Ethics:
Research ethics primarily focuses on the moral principles and guidelines governing the
conduct of research. It focuses on ensuring integrity, honesty, and fairness in the re-
search process. Key areas include the treatment of research subjects, confidentiality, data
handling, and ethical communication of research outcomes. In essence, research ethics
addresses the ethical implications of the research itself.

Responsible Co n d u c t of R e s e a r c h ( R C R ) :
Responsible Conduct of Research is a broader concept that extends beyond the ethical
dimensions of the research itself. It encompasses the entire research process, emphasizing
ethical behavior in interactions, collaborations, and the dissemination of results. R C R
aims to maintain high standards of integrity and professionalism throughout the research
process.
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Research Et h i cs Responsible Co n d u c t of Research

(RCR)
Research ethics involves moral principles Responsible Conduct of Research is a
governing the conduct of research. For broader concept that extends beyond
example, in engineering, it ensures the the ethical dimensions of the research it-
fair treatment of participants in a hu- self. In engineering, this includes main-
man subjects study, protection of intel- taining integrity in project management,
lectual property, and honest reporting of acknowledging collaborators’ contribu-
results. tions, and avoiding the fabrication or fal-
sification of data.

Key areas include the treatment of R C R aims to maintain high standards

research subjects, confidentiality, data of integrity and professionalism through-
handling, and ethical communication of out the research endeavor. It involves
research outcomes. ethical considerations in how the re-
search work is undertaken, including in-
teractions and collaborations.

Example: Consider a project focused on developing driverless(autonomous) cars. During

testing, researchers uncover vulnerabilities that could be exploited for malicious purposes.
Research ethics considerati ons in this scenario might involve:
(i) What ethical considerations should guide the development of such technology?
(ii)How can the team prevent the misuse of autonomous vehicles for harmful activities?
(iii) Are there ethical guidelines for the responsible development of autonomous systems?
Responsible Co n d u c t of Research Now, consider how the research is carried out. It
involves challenges such as:
(i) Are researchers actively engaged in developing safety measures for autonomous cars?
(ii) Do they collaborate with cybersecurity experts to secure the technology?
(iii) How do they communicate potential risks to the public and regulatory bodies?
In this way, research ethics addresses the broader implications and applications of the
research outcomes, while the responsible conduct of research focuses on the integrity and
methodology of the research process itself.

1.7 Et h i c s in Engineering Research Practi ce

Ethics in engineering research practice extends beyond the laboratory or research setting
to encompass the ethical challenges faced by engineers in the practical application of their
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knowledge and skills.

1.7.1 Et h i c a l C o n c e r n s in Technological Developments:

Technological progress in engineering introduces ethical considerations, especially regard-

ing privacy and data in surveillance systems. Engineering researchers bear the responsi-
bility of making ethical decisions, and they are answerable for the consequences arising
from their research outcomes.

D ata Collecti on and Pr i vac y

Ethics is crucial in engineering research, especially when working with data, as it directly
influences human well-being. For example, Research involving data collection, especially
personal or sensitive information, requires respect for individuals’ privacy and obtaining
informed consent.

Example: A mobile weather app that requests location data for accurate forecasts.
Ethical concerns arise if the app shares this data without explicit user consent or uses it
for purposes beyond weather predictions.

Acceptability and Validity

Certain practices may be acceptable in specific situations, but the reasons for their unac-
ceptability can be valid. Engineering ethics serves as our rulebook, offering guidance on
determining what is ethically acceptable and and what is not, providing a framework for
responsible data use.

Example: The use of facial recognition in smartphones for unlocking devices might
be acceptable for convenience, but concerns arise if the technology lacks accuracy and
wrongly denies access to users based on facial features.
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1.7.2 Et h i c a l Decis ion-Maki n g in Technological Ch o i ces

Engineering research is closely interconnected with ongoing technological developments,

and researchers make numerous choices that hold ethical significance, influencing the
impact of technology in various ways.

Setti ng Ethical Requirements

At the outset of a project, engineering researchers can shape the effects of the developed
technology by establishing ethically sound requirements. This initial step sets the stage
for the responsible technological advancements.

Example: Engineers working on smart home devices may set ethical requirements for
user privacy, ensuring that devices like voice-activated assistants only record and transmit
data when explicitly activated by users.

Infl uencing T h ro u gh Design

Influence may also be applied by researchers through design, which is a process that trans-
lates the requirements into a blueprint to fulfill those requirements. During the design
process, decision is to be made about the priority in importance of the requirements tak-
ing ethical aspects into consideration.

Example: In the design of automobiles, engineers may prioritize safety features such as
collision avoidance systems and advanced driver assistance. Ethical considerations involve
protecting occupants and other road users from potential accidents.

Choosing Alternati ves

Throughout the research journey, engineering researchers have to choose between different
alternatives fulfilling similar functions, considering their ethical implications.

Example: When developing packaging materials, engineers might choose between tra-
ditional plastics and biodegradable alternatives. Ethical considerations include the envi-
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ronmental impact and long-term sustainability of each option.

1.7.3 M i n i m i z i n g Unintended Consequences

Research outcomes can have unintended and adverse side effects. It is important for re-
searchers to ethically address these issues by minimizing the hazards and risks associated
with their technologies. This involves considering safer alternatives, incorporating inher-
ent safety features in designs, implementing safety factors, utilizing multiple independent
safety barriers, and establishing supervisory mechanisms to take control if the primary
process fails. This commitment to safety demonstrates a careful approach to mitigating
potential negative consequences from research outcomes.

Example: Agricultural engineers developing autonomous farming machinery consider

unintended consequences, such as potential impacts on employment in rural communities.
Ethical considerations involve implementing strategies to support affected workers and
communities.

1.8 Ty p e s of Research Misconduct

Engineering research should be undertaken with the primary goal of advancing the current
state-of-the-art technologies. Research integrity plays a crucial role in achieving this
objective and involves fair dealings with others, honesty in presenting methods and results,
and replication of findings whenever possible to minimize errors. Additionally, upholding
the welfare of research subjects, ensuring laboratory safety, and addressing other ethical
considerations are integral aspects of research integrity. In order to prevent mistakes and
enhance the quality of research, peer reviews should take place before the research output
is published.

To prevent errors and enhance the quality of research, it is imperative to subject research
outputs to peer reviews before publication. This practice guarantees that the research
undergoes thorough examination by subject-matter experts, contributing to the overall
reliability and credibility of the research findings.

Serious deviations from accepted conduct is construed as research misconduct. Differ-

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Rights) 33

ent types of research misconduct are :

1. Fabricati on (Illegiti mate C re ati o n of D a t a )

This involves the act of creating data or experiments with preconceived

notions about the expected conclusions. This unethical practice may arise
when there are time constraints imposed by supervisors or customers,
leading researchers to generate data rather than waiting for genuine results.

Example: Imagine a student conducting a science experiment on the

growth of plants under different light conditions. Due to a lack of time, the
student decides to fabricate the data by recording measurements that
were never actually taken. The fabricated data might show consistent and
impressive growth differences between plants subjected to various light
[Link] this case, the fabrication involves making up experimental
results instead of honestly recording the actual outcomes of the plant growth
experiment. This kind of behavior is unethical and goes against the
principles of honesty and integrity in research.

2. Falsifi cati on (Inappropriate Alterati on of D a t a )

:Falsification involves the inappropriate alteration of data or experiments,

including mis- representation, misinterpretation, or illegitimate changes to
support a desired hypothesis. This unethical practice occurs even when the
actual data obtained from experiments indicate a different outcome.
Falsification undermines the credibility and reliability of scientific research
by presenting distorted information to align with a preconceived notion or
agenda.

3. Consequences of Fabricati on and Falsifi cati on

Negative impacts of fabrication and falsification include:

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Percolati on of False D ata

When researchers engage in falsification or fabrication, it hampers engineering research,

and inaccurate results (conclusions) may find their way (percolate) into published lit-
erature. This compromises the reliability of existing knowledge and can mislead other
researchers who rely on this information for their work.

Wrecking Trustworthiness

Unethical practices wreck the trustworthiness of individuals (researchers) involved, dam-

aging their reputation.

Additi onal Costs

Discovering falsification or fabrication often requires extensive investigations and correc-

tive actions, leading to additional financial burdens.

Impeded Progress and Delays in Technical Advancement

Unethical practices, like falsification and fabrication, slow down research progress by
injecting false information into the body of knowledge. This misguides other researchers,
leading to actual delays in technical advancement.

H u r t to Honest Researchers

Fabrication and falsification create a challenging environment for honest researchers.

When dishonest or misleading data is already published due to misconduct, it can set
a false standard. Honest researchers may face challenges in getting their legitimate work
recognized and published if it falls short of the falsely elevated standards created by
misconduct.
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Publicati on Barriers

The presence of fraudulent or manipulated data in the published literature can create
barriers for honest researchers. This can make it harder for legitimate research to be
accepted and published.

Establishment of Misconduct

Until misconduct is established and proven, the fraudulent data may remain in the pub-
lished literature. This process can take time and may involve investigations and retrac-
tions. During this period, the misleading information continues to influence the research
community. The retraction may not fully erase the impact of the false data on the scien-
tific community.

Engineering researchers are often perceived as objective truth seekers. They can prevent
misconduct by independently reproducing results whenever they are interested in doing
further work on published material, which is likely to be part of their literature survey.

1.8.4 Pl a gia r is m

Plagiarism is defined as the act of using or reusing someone else’s work, including text,
data, tables, figures, illustrations, or concepts, without proper attribution. It involves
presenting the work as if it were one’s own without explicit acknowledgment.
The concept of self-plagiarism occurs when researchers verbatim copy or reuse their
own previously published work without appropriate citation. This practice is considered
unacceptable in scientific literature.

Challenges of Internet Availability

The increasing availability of scientific content on the internet may encourage plagiarism
in some cases, but also enables detection of such practices through automated software
packages designed to identify similarities between texts.
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Detecti on of Plagiarism

How are supervisors, reviewers or editors alerted to plagiarism?

Original author comes to know and informs everyone concerned.

Reviewers might discover plagiarism during the review process.

Readers conducting research may come across plagiarized content in articles or

books.

Plagiarism Detecti on Tools

Plagiarism Detecti on Tools:The availability of both free and paid plagiarism detec-
tion tools, often accessible through institutional licenses, offers a way to assess the orig-
inality of written content. it is important to note that these tools provide a similarity
score,indicating the level of similarity between published and unpublished content, rather
than a conclusive identification of plagiarism. A similarity score is not conclusive evidence
of plagiarism, it only serves as a metric for assessing similarity.

However, a low similarity score doesn’t guarantee that the document is plagiarism free.
It requires human evaluation to determine whether the content has been plagiarized or
not. Additionally, it is essential to consider individual scores of sources rather than
just the overall similarity index. Setti ng a maximum allowable similarity index may be
insufficient in utilizing the tool effectively. This is because certain types of plagiarism,
such as patchwork plagiarism, where sections of text are strategically rearranged, can be
more challenging to detect through automated tools.

Ethical Writi ng Practi ces:

To avoid a high similarity count, researchers can use relevant published content by rephras-
ing or summarizing the content in their own words. This maintains the original meaning
without replicating the original text. Whenever using ideas, concepts, or findings from
other sources, cite them appropriately. This gives credit to the original authors and
demonstrates transparency in acknowledging the use of external information. It is impor-
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tant to note that citing a source does not justify verbatim copying. A researcher should
practice writing in such a way that the reader can recognize the difference between the
ideas or results of the authors and those that are from other sources.

1.8.5 O t h e r A s p e c t s of Research Mi s con d u ct

Decepti on and Damage: Fraudulent Practi ces

Serious deviations from accepted conduct could be construed as research misconduct.

When there is both intentional deception (misleading actions) and damage (negative con-
sequences), the actions are officially recognized as fraudulent, and the term “research
misconduct” is often used to describe such behavior. Such ethical violations are likely to
be discovered or exposed over time sooner or later.

Simultaneous Submission

Engaging in practices that violate publication policies can be considered research mis-
conduct. Simultaneous submission of the same article to two different journals violates
publication policies.

Handling Mistakes in Published Content

If a researcher discovers mistakes in their published work and fails to report or correct
them, it may be viewed as a form of research misconduct, unless a researcher takes
responsibility for the accuracy of their work, acknowledges the mistake, and is motivated
to contribute a corrected version.

1.9 Et h i c a l Issues Related to Authors hip

Academic authorship involves communicating scholarly work and establishing priority for
their discoveries and building peer reputation. It also comes with an intrinsic burden
of accepting responsibility for the contents of the work, serving as the primary basis for
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evaluation in areas such as employment, promotion, and other honors.

Here are some common ethical issues related to authorship:

1. G i ft or G u e st A u t h o rs h i p

Including ”guest” or ”gift ” authors, where coauthorship is granted to someone with little
or no contribution to the work, is misleading and unethical. This practice dilutes the
contributions of those who did the actual work, artificially enhances the credentials of the
listed authors, and raises concerns about possible research misconduct.

2. C a re e r- B o o st A u t h o rs h i p

Sometimes, the primary author may grant coauthorship in a suspicious way to a junior
faculty member or a student with the intention of enhancing their chances of employment
or promotion. This practice is referred to as career-boost authorship. This may misrep-
resent contributions, weaken or diminish the integrity of authorship, and be considered
unethical manipulation for personal gain.

3. Career-Preser vati on A u t h o rs h i p

This malpractice, termed ”career-preservation authorship,” involves adding department

heads, deans, or other administrators as coauthors in exchange for benefits or
maintaining a ”good relationship.” In such cases, the principal author benefits from a
favorable rela- tionship with superiors, while the administrator gains authorship credits
without fulfilling the necessary work for it, resulting in a mutually beneficial arrangement.
This raises con- cerns about fairness, transparency, and the actual contributions of
individuals listed as authors.

4. G h o st Co a u t h ors h i p

Sometimes, an actual contributor may choose not to be included in the list of authors
due to an undisclosed conflict of interest (personal or financial) within the organization or
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other reasons. Such instances of coauthorship are referred to as ghost coauthorship. This
lack of transparency can compromise the integrity and credibility of the research process
and findings. Full disclosure of all individuals engaged in the research is essential to
enable a comprehensive evaluation based on both the research findings and an assessment
of potential influences arising from conflicts of interest.

5. Re ci p ro ca l A u t h o rs h i p

In this form of questionable authorship, researchers may include each other as coauthors
in a reciprocal gesture, often without genuine collaboration. The inclusion is based on
mutual agreements with an expectation of shared benefits or outcomes. In some cases,
there might be minimal collaboration, limited to basic tasks such as reading and editing.
This practice lacks genuine engagement in thoroughly reviewing the work, potentially
diminishing the credibility of authorship and the research itself.

6. Misrepresentati on of Sole A u t h o rs h i p

Some authors try to present their work as solely authored, even when they depend on
significant contributions from others. They choose to acknowledge those contributions
only in the form of a general acknowledgment. This approach misrepresents the true extent
of the contributions made by those not listed as authors. In this case, the unrecognized
contributors are then unavailable to readers for additional clarification or explanation
about their role in the research.

7. A u t h o r i a l A ccou nta bi l i t y

All listed authors have full responsibility for all contents within a research article, and so
naturally, they should also be made aware of a journal submission by the corresponding
author. Obtaining consent from all authors regarding the content and submission of the
paper is essential. All listed authors are responsible for the content, but determining
individual accountability can be challenging. If one author commits misconduct, it is
unclear to what extent other coauthors are responsible. Establishing a method to quantify
individual contributions would be beneficial in appropriately recognizing and assessing the
degree of associated accountability for each coauthor.
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1.9.8 Dou ble Submission

Double submission is an important ethical issue related to authorship, which involves the
submission of a paper to two forums simultaneously. This practice is motivated by the
desire to enhance the possibility of publication and potentially reduce the time to publica-
tion. This practice violates the principle of publishing original work, as reputable journals
discourage double submissions to maintain the integrity of the publication process. Rep-
utable journals aim to publish original papers — ones that have not been previously
published elsewhere—and strongly discourage double submission.

Questi on B a n k-M o d u l e 1 :

Mean i ng of Research:

1. Describe the key steps involved in starting a research cycle.

2. Discuss the significance of building background in the research process.

3. Identify and explain the three broad categories of developing knowledge.

4. Define engineering research. What are the different stages of engineering research?

5. Define research and explain the essential components of starting a research cycle.
How does building background knowledge contribute to the research process?

Objecti ves of En gineer in g Research

6. Explain, in detail, the diverse objectives of engineering research.

7. Discuss in brief on objectives of engineering research.

8. Outline the primary objectives of conducting research in the field of engineering.

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Moti vati on in En gineer in g Research

1. Discuss the primary objectives of engineering research. Explore the concepts of

intrinsic and extrinsic motivations in the context of engineering research. Provide
examples of how motivation influences the research process.

2. Analyze the intrinsic and extrinsic types of motivations. Provide examples of how
both types of motivations can influence an engineer’s involvement in research.

3. What are the different motivations for engineering research.?

4. Discuss the factors that motivate researchers in the field of engineering.

5. Explain the importance of motivation in sustaining long-term research endeavors.

Ty p e s of En gineer in g Research:

6. Provide an overview of different types of engineering research.

7. Compare and contrast descriptive research and analytical research in engineering.

8. Compare and contrast fundamental research and applied research in engineering.

9. Compare and contrast qualitative research and quantitative research in engineering.

F i n d i n g and Solvin g a Worthwhile Pro bl em:

[Link] skills are essential for identifying and solving a research problem in engi-
neering? Explain the attributes of a worthwhile research problem. Discuss the
decision-making process when choosing to tackle a specific problem. Explore Polya’s
problem-solving approach.

[Link] the process of finding and defining a worthwhile problem in engineering

research.

[Link] on the steps involved in finding a worthwhile problem for engineering

research. How does the identification of a meaningful problem contribute to the
research process?
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Et h i c s in En gineer in g Research:

1. Trace the historical evolution of research ethics. Differentiate between ethical con-
siderations in authorship and the responsible conduct of research in engineering.
Why is maintaining ethical standards crucial in the field of engineering research?

2. Define ethics in the context of engineering research.

3. Discuss why ethical considerations are crucial in engineering research practices.

Et h i c s in En gineer in g Research Practi ce:

4. Identify and discuss ethical concerns associated with technological developments.

How does ethical decision-making play a role in technological choices? Explain
strategies for minimizing unintended consequences in engineering research.

5. Explain how ethical principles are applied in the practice of engineering research.

6. Discuss potential ethical challenges faced by researchers in engineering.

Ty p e s of Research Misconduct:

7. Define and elaborate on the types of research misconduct, including fabrication, fal-
sification, and plagiarism. Discuss the consequences of fabrication and falsification.
Explore other aspects of research misconduct and their implications.

8. Define research misconduct and provide examples of different types.

9. Discuss the consequences of research misconduct on the scientific community.

Et h i c a l Issues Related to A u t h o rs h i p :

[Link] ethical considerations in determining authorship of research papers.

[Link] how issues related to authorship can impact the credibility of research.

[Link] the ethical issues surrounding academic authorship.

Module 2

Literature Review and

Technical Re a di ng

Syllabus

Literature Review and Technical Reading, New and Existing Knowledge, Analysis and
Synthesis of Prior Art, Bibliographic Databases: Web of Science, Google and Google
Scholar, Effective Search: The Way Forward, Introduction to Technical Reading, Concep-
tualizing Research, Critical and Creative Reading, Taking Notes While Reading, Reading
Mathematics and Algorithms, Reading a Datasheet. Attributions and Citations: Giving
Credit Wherever Due, Citations: Functions and Attributes, Impact of Title and Keywords
on Citations, Knowledge Flow through Citation, Citi ng Datasets, Styles for Citations, Ac-
knowledgments and Attributions, What Should Be Acknowledged, Acknowledgments in
Books Dissertations, Dedication or Acknowledgments.
Textbook :
Dipankar D eb , Rajeeb Dey, Valenti na E . Balas
“Engineering Research Methodology”, ISSN 1868-4394 ISSN 1868-4408 (electronic),
Intelligent Systems Reference Library, ISBN 978-981-13-2946-3 ISBN 978-981-13-2947-0
(eBook), [Link]
Reference Book:
Davi d V. T h i el “Research Methods for Engineers” Cambridge University Press, 978-1-
107-03488-4

43
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1. Signifi cance of Literature Review and

Technical Readi n g :

The term “literature” is commonly used to refer to the body of written works on a
particular subject or within a specific field of study. A literature review, is a systematic
and critical analysis of existing scholarly works, literature, and research relevant to a
specific research topic.
The primary goals of literature review are :

Identi fi cati on of Vaguely K n o w n Problem: To know the use of content,

ideas, or approaches in the literature to correctly identify the problem that is not
clearly known before delving into existing research.

Advocati ng a Specifi c Approach: The literature review enables researchers

to advocate for a specific approach or methodology in understanding and
addressing the identified problem.

Assessing Methods Used:Researchers evaluate and assess the methods used

in the literature to address similar problems.

E n su r i n g Contributi on of Something New and Innovati ve:The literature

review helps researchers in clearly understanding that their proposed research(the
research to be undertaken) will contribute something novel and innovative.

Evaluati ng the Quality of a Literature Review: The quality of such a

review can be determined by evaluating whether it includes the appropriate breadth
and depth of the area under study, clarity, rigor, consistency, and effective analysis.

2. N e w and E x i sti n g Knowledge

New knowledge in research can only be interpreted within the context of what is already
known, and cannot exist without the foundation of existing knowledge.

Foundati on of Exi sti n g Knowledge: New knowledge is built upon the foundation
of existing knowledge. Understanding what is already known is is essential or very impor-
tant in the context of academic writing or research and to support and understand new
findings.
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Constructi ng the Foundati on:

Constructing a strong foundation involves reading and surveying literature, both histor-
ical and recent. Existi ng knowledge provides context, significance, originality, and tools
necessary for new research.

Sources of Exi sti n g Knowledge:

Where does this existing knowledge come from? Normally, one finds this knowledge by
reading and surveying the literature in the field that was established long ago, as well as
more recent knowledge, which is always changing.

(i) Textbooks: Literature survey involves reading textbooks on one’s topic for estab-
lished knowledge. Textbooks serve as a starting point for understanding basics.
Reading a textbook is not too difficult because it is written as a teaching instru-
ment. The author of the textbook normally starts from the basics and takes the
reader through everything needed to understand that topic.

(ii) Research Papers: Research papers contain newer work but assume prior knowl-
edge. Normally, the goal of a research paper is to present a small piece of new
knowledge. A research paper contributes newer work but assumes a certain level of
prior knowledge in the field from the reader.

Review Process:

The Literature review process explains how a research item builds on existing
work, providing a clear and detailed explanation or clarification of the technical
develop- ment. A good literature survey provides a convincing answer to why the
research is undertaken.

An effective review of the literature ensures a firm foundation for advancing

knowl- edge, facilitates theoretical growth, and identifies gaps for future work.

An efficient literature review focuses on concepts rather than authors.

Generally, a good literature survey is the first expectation of a supervisor from

the research student, and when done well can create a good impression that the
state of art in the chosen field is well understood.
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Steps for a Literature Survey:

A good literature survey is typically a two-step process as given below:
(1)Identi fi cati on: Identify major topics, subtopics, or concepts relevant to the research
subject under consideration.
(2)Categorizati on: Organize the topics by placing citations of relevant sources(article/website/data,
etc.) in the correct category of concepts.

Eff ecti ve Reading and Note-Taking:

In the process, Highlight important sections and then write about them without copy-
ing. Writing about highlighted parts helps shape and integrate the knowledge into the
researcher’s foundation. It helps the stay focused on key points and enhances your un-
derstanding of the material.

Conti nuous Learning and Writi ng :

To build a strong understanding of a subject, continuous reading and learning are essen-
tial. When reading, marking key sections with an asterisk, highlighting or underlining is
a form of active engagement. Beyond marking, expressing one’s understanding in writ-
ing or taking notes in the margins or in a separate notebook solidifies your understanding.

Comprehensive Literature Survey:

The literature survey serves as the foundation for your research by providing a compre-
hensive overview which involves a thorough analysis and synthesis of existing scholarly
work. This includes articles, books, conference papers, and other archived materials rel-
evant to the chosen topic. By reviewing existing methodologies used in previous studies,
the literature survey aids in the identification of suitable research methodologies for your
own investigation, provides a firm foundation for a topic of interest, and demonstrates
that the proposed work would make a novel contribution to the overall field of research.

2.3 Analysis and Synthesis of P r i o r A r t

After collecting the sources, usually articles, intended to be used in the literature review,
the researcher is ready to break down each article and identify the useful content in it,
and then synthesize the collection of articles. Breaking Down Eac h Arti cle:
A researcher should analyze the relevant information
(i) Understanding the Hypothesis : Clearly comprehend the main hypothesis or
research question addressed in each article. (ii)Understanding Models and E x p er i -
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Table 2.1: Literature Survey Grid

TOPIC\Source Source 1 Source 2 ··· Source M
Topic 1 ✓
Topic 2 ✓ ✓
.
. ✓
Topic N ✓ ✓

mental Conditi ons: Gain insight into the models and experimental setups used in each
study. (iii)Making Connecti ons: Identify commonalities, patterns, or trends across
the articles.
(iv)Comparing and Contrasti ng: Highlight similarities and differences among the
articles.
(v)F i n d i n g Strong Points and Loopholes: Evaluate the strengths and weaknesses
of each article, acknowledging areas of robust evidence and potential limitations.

Cr iti cal Analysis :

(vi)Being Suspicious of Claims: Approach the information with a critical mindset,
especially when encountering bold claims.
(vii)Avoiding B l i n d Acceptance: Resist accepting information at face value; critically
analyze and question the data.
Literature Survey Goal:
(viii)Identi fying Unsolved Issues: Recognize gaps or unresolved issues in the existing
literature.
(ix)Determining Problems in Models or Designs: Evaluate flaws or limitations in
current models and experimental designs.
(ii)Presenti ng Novel Ideas and Recommendati ons: Aim to contribute something
new by suggesting innovative ideas or proposing recommendations.
Cr iti cal Evaluati on of Informati on:Here are a few criteria that could help the re-
searcher in the evaluation of the information under study.
Authority: Assess the author’s credentials and affiliation, as well as the publisher of the
information.
Accuracy: Verify the credibility of the information based on existing knowledge and the
presence of citations to support claims.
Scope: Determine if the source is at an appropriate comprehension or research level.
Additi onal Criteria:
Currency: Ensure the information is up-to-date.
Objecti vity: Assess the neutrality and impartiality of the information.
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Purpose: Understand the goal or intention behind the information.

Avoiding Extremes: It is important to ensure that the search question is neither too
narrow nor too broad, striking a balance for effective exploration.

4. Bibliographic Databases

Bibliographic databases are referred to as “abstracting and indexing services.” P u r -

pose: They play a crucial role in collecting citation-related information and abstracts
of research articles from scholarly literature. Accessibility: The gathered information
is made available through search functionalities, aiding researchers in retrieving relevant
literature efficiently.
Example Databases: I E E E Xplore, Engineering Village, Scopus etc.

Advantages of Simultaneous Searches:

Diversifi cati on: Simultaneous searches across large databases help avoid excessive de-
pendence on any individual database.
Limitati on Miti gati on: This approach helps researchers to overcome or bypass the
inherent limitations or shortcomings associated with a specific database, thereby signifi-
cantly enhancing the overall quality of their research.

Criteria for Database Selecti on

Swift Identi fi cati on: Researchers should be capable of quickly identifying databases
relevant to their research.
Tailored Selecti on: The selection of databases should be based on the specific ideas or
problems the researcher intends to explore.

1. We b of Science

Web of Science (formerly known as ISI or Thomson Reuters) includes multiple databases,
as well as specialized tools. It is a good search tool for scholarly materials requiring
institutional license and allows the researcher to search in a particular topic of interest.
Search criteria include the fields that are available in drop down menu such as such as
title, topic, author, address, etc. The tool also allows sorting by number of citations
(highest to lowest), publication date etc.
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Eff ecti ve Searching Techniques :

Use quotes around phrases for precise search.

Add more keywords to refine results.

Utilize the ”Refine Results” panel on the left for advanced filtering.

Explore options such as peer-reviewed journals, date, language, etc.

Broaden the search outcomes by taking into account alternative word forms, vari-
ations in word endings, and incorporating alternate search terms related to the
research topic and connecting them with O R .

Example: ( for a structured approach) :

Research Topic: Graph Theory and Network Analysis.

Search Criteria: Title, Topic, Author.

Keywords: Graph theory, network analysis, connectivity, algorithms.

Refine Results: Select peer-reviewed journal articles, published within the last 3
years.

C i te d Reference Search :

“Cited Reference Search” option enables a researcher to trace articles which have
cited a formerly published paper.

Using this element, it is possible to find how a familiar idea has been applied,
improved, or extended subsequently.

Example : Discover how a particular concept has evolved over time.

Example: (for Cited Reference Search)

**Research Focus:** Influential papers in Graph Theory.

**Search:** Cited references for a classic paper in Graph Theory.

**Outcome:** Identify newer papers citing the classic work, exploring

advancements or applications.
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Structured Search for Opti mal Results

Structured searches enable narrowing and refining of results. Based on the re-
searcher’s need the search result can be broadened or narrowed down using the built-
in fields provided in the web of science website.

This method is effective and ensures relevance and well-utilized time.

When clicked on any of the search results, this website provides the title of the
paper, authors, the type of journal, volume, issue number and year of publication,
abstract, keywords, etc., so that the researcher has enough information to decide if
it is worthwhile to acquire the full version of the paper.

Example: (for Structured Search) :

Objective: Recent developments in network connectivity algorithms.

Structured Search: Use drop-down menus for precise selection (e.g., Topic:
Network Analysis, Sorting: Citations - Highest to Lowest).

Outcome: Access a list of highly-cited articles on recent developments in network

connectivity algorithms.

2. Google and Google Scholar

Google is a starting point for research. It is useful for finding freely available information
from various sources such as reports from governments, organizations, companies, and so
on However, there are limitations:

(i) It is a ”Black box” of information, It searches everything on the Internet, with no

quality control -one does not know where results are coming from.

(ii) There are limited search functionality and refinement options.

Google Scholar Focuses one’s search to scholarly literature . However, there are limita-
tions:

(i) Some of the results are not actually scholarly. An article may look scholarly at first
glance, but is not a good source upon further inspection.
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(ii) Not comprehensive as some publishers do not make their content available to Google
Scholar.

(iii) There is limited search functionality and refinement options.

Search Operators in Google and Google ScholarThere are search operators in

Google and Google Scholar that can be used to help narrow down the results. These
help one find more relevant and useful sources of information. Here are some basic search
operators:

(iv) O R - Broadens search by capturing synonyms or variant spellings of a concept.

Example: Synchronous O R asynchronous will find results that have either term
present.

(v) Brackets/Parentheses ( ) - Gathers OR’d synonyms together, while combining

them with another concept.
Example: R A M (synchronous O R asynchronous).

(iii) Quotati on marks “ ”- Narrows the search by finding words together as a phrase
instead of separately.
Example: R A M (synchronous O R asynchronous) “Texas Instruments”.

(iv) Site - limits the search to results from a specific domain or website. This operator
is helpful when searching specific websites such as the B C government.
Example: RAM(synchronous O R asynchronous) “Texas Instruments” site:
[Link]

(v) Filetype- Limits the search to results with a specific file extension. One could look
for pdf’s, PowerPoint presentations, Excel spreadsheets, and so on.
Example: R A M (synchronous O R asynchronous) “Texas Instruments” site: http://
[Link], filetype: pdf.

Search Tools and Other Options The Search Tools button at the top of the Google results
gives you a variety of other options, such as limiting the results by date. There are other
operators and tools that one can use in Google and Google Scholar. Google is just one
among many available search tools. Researchers are advised to consider other options
beyond Google, for comprehensive research.

Challenges and Considerati ons:

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It can be hard to carefully examine (Sift ) through numerous results in Google or

Google Scholar, especially when seeking scholarly resources within a specific subject
area.

To find the best resources on a topic, one should search in academic

databases, in addition to Google. Databases provide access to journal articles and
conference proceedings, as well as other scholarly resources.

One should choose databases based on subject area, date coverage, and
publica- tion type. Interfaces vary between databases, but the search techniques
remain essentially the same.

2.5 Eff ecti ve Search : T h e Way Forward

Scholarly and popular publications play distinct roles in sharing information in the field
of engineering. A thorough understanding of their unique characteristics and knowing
where to locate relevant information is essential for conducting research effectively.

Scholarly Publicati ons:

Scholarly publications are authored by researchers in a specific field of skill. Such work
cites all source contents used and is generally peer-reviewed for accuracy and validity
before publication. The audience for such works is fellow experts and students in the
field. The content is typically more complex and advanced than those found in general
magazines.

Scholarly publications contribute to the academic knowledge base and are often a result
of original research or in-depth analysis. They adhere to a formal structure, including
abstracts, methodologies, results, and conclusions.
Example:

Title: ”Advancements in Robotics: A Comprehensive Review”

Authors: Dr. Engineer, Prof. Researcher

Published in: Journal of Robotics

Popular Publicati ons :

Popular publications are informal and aim to reach a large number of readers, including
experts and enthusiasts. They focus on news and trends, making them suitable for general
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reading.
Popular publications serve as a bridge between experts and the general public, providing
accessible information on current developments in the field. They may include interviews,
case studies, and discussions that make the content more approachable.
Example:

Title: ”The Future of Sustainable Energy”

Author: Science Enthusiast

Published in: Engineering Today Magazine

Search Strategies :
Conducting a comprehensive search is essential for researchers. No single source provides
all information needed, so various search tools should be utilized. Information may not
be solely online. Researchers should consider the type of information needed and its
availability, including print resources. Remember to explore various sources and iterate
through different methods to get comprehensive results in your research.

Iterati ve Searching Process:

Searching is an iterative process involving experimenting with keywords and operators.
evaluating results, and modifying searches. Once results are generated, carefully evaluate
and assess them, utilizing filters to refine the relevant information. If the initial search
doesn’t yield the desired outcomes, be ready to modify your search terms based on ini-
tial results. Additionally, explore citations and references in relevant articles for further
sources.

Cr iti cal Reading:

Following the initial search, engaging in criti cal reading becomes a crucial step in the
literature review process. Through this critical reading, researchers are able to make
careful observations of salient points within the selected sources. The next steps involve
summarizing the key findings extracted from the literature and conducting a detailed
comparison and contrast of these findings. This iterative process of observation, summa-
rization, and comparison enhances the depth of understanding and provides a foundation
for synthesizing information from various sources. After the search, critical reading is
crucial. Observations, summarization, and comparison of findings are part of this process.

Conti nuous and Cyc l i cal Process :

Conducting a literature survey is not a one-time event but rather an ongoing process that
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evolves with the expanding body of knowledge. It is a continuous and cyclical process,
involving multiple iterations and a thorough understanding of the problem.

Skill Development:
Parsing math-heavy articles, especially those laden with complex equations and algebra,
may not be an inherent skill for everyone at the beginning of their research journey.
Successful researchers cultivate this skill over time through a combination of extensive
reading, seeking assistance when needed, and engaging in relevant coursework. it is cru-
cial to dedicate sufficient time to digest the content and develop one’s ideas based on a
thorough understanding of the literature. A caution is issued against losing focus of the
purpose during an extensive search, underscoring the importance of active reading and
the development of ideas.

P h . D . Research Stage :
Ph.D. scholars are required to undertake the preparation of a synopsis and a compre-
hensive literature survey as integral components of their research journey. Specifically,
during the synopsis stage, scholars are required to undertake an extensive literature sur-
vey, using archived journals and bibliographies as primary sources. Acknowledging the
iterative nature of the research process, scholars are encouraged to engage in a continuous
back-and-forth exploration until the completion of the project.

2.6 Introducti on to Technical Rea d i n g

Technical reading is a vital skill for researchers, allowing them to remain well-informed
and efficient in exploring research literature.

Signifi cance of Technical Reading in Research:

For any active researcher, staying abreast(up-to-date) with the latest research findings
in their field is now absolutely necessary. However, locating the right work to read can
be challenging due to the vast and fragmented nature of the literature, with knowledge
scattered across various sources. This highlights the need for systematic approaches to
gather, synthesize, and comprehend dispersed information effectively. Knowing where to
read is crucial, and relying on refereed journals and books from reputable publishers is
preferred over easily accessible but potentially less reliable web articles. When reading an
engineering research paper, the primary goal is to understand the technical contributions
made by the authors.
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Effi cient Reading Strategies:

Given the abundance of journal articles, adopting a purposeful and efficient reading ap-
proach is crucial. Technical reading requires multiple readings, it is not the same as
reading a newspaper. It often requires spending many hours on a single paper, needing
multiple readings for a thorough understanding. Determine the worthiness of a paper
through an initial Skimming to decide whether it is worth careful reading. A simple,
efficient, and logical approach is described in the next section for identifying articles and
reading them suitably for effective research.

T i m e investment through Initi al Skimming:

Determining how much time to invest in reading a paper begins with an initial skimming
process. During this process, one typically glances through Title and Keywords, subhead-
ings, introductory and concluding paragraphs, and any highlighted or emphasized text.
The goal of initial skimming is to quickly assess the document’s structure, main points,
and relevance without delving into the details. It helps readers decide whether the paper
merits a more in-depth and careful reading.

Eff ecti ve Ski mmi n g Techniques:

When initiating the skimming process, begin with the title and keywords, as these ele-
ments are initial attention grabbers. If, upon reading these, it does not seem sufficiently
interesting, it is better to stop reading and look for something else to read. One should
then read the abstract to get an overview of the paper in minimum time. Again, if it
does not seem sufficiently important to the field of study, one should stop reading further.
If the abstract is of interest, one should skip most of the paper and go straight to the
conclusions to find if the paper is relevant to the intended purpose. If found relevant,
focus on reading the figures, tables, and captions, providing a broad understanding of the
paper’s content.

Eff ecti ve Research Paper Reading Strategy for Students:

If the paper has continued to be of interest, delve into the Introduction section to grasp
the background information about the work and understand why the authors conducted
that particular study and how it contributes to the field. The next sections to read are
the Results and Discussion sections which is really the heart of the paper. One should
really read further sections like the Experimental Setup/Modeling, etc., only if one is
really interested and wishes to understand exactly what was done to better understand
the meaning of the data and its interpretation.
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Conti nuous Search for Relevant Literature : Balancing Content and A u t h o r

Reputati on :
While working through the literature in this way, it is essential not only to consider the
knowledge that is written down but also to take into account the reputation of the au-
thors who contributed to that knowledge. As a researcher, staying updated with relevant
literature is an ongoing necessity. For smaller projects, advisors might guide the reading
process by assigning a single important paper to read. But larger projects often require
independent literature searches. For this, developing a reading strategy for effective re-
search is absolutely necessary for researchers.

2.7 Conceptualizing Research

In formulating research objectives, the focus lies in its ability to centralize new knowledge,
gaining acceptance and recognition within the research community. However, the journey
begins with the conceptualization of the research itself. Besides being original and sig-
nificant, a good research problem should also be solvable or achievable. This necessitates
consideration of the methods and tools that can be used to obtain that new knowledge
effectively. Significance, originality, and the theoretical framework, along with the meth-
ods and tools required to address a problem, usually come from the existing documented
literature and knowledge in the field.

Complexiti es of Formulati ng Research Objecti ves :

Coming up with a good research objective, conceptualizing the research that meets all
of these requirements is a tough thing to do. It means that one must already be aware
of what is in the [Link] this demands a thorough understanding of existing
literature. A well-defined research objective indicates an advanced level of expertise, par-
ticularly at the cutti ng edge of knowledge. For those engaged in Ph.D. level research or
beyond, the task of conceptualizing the research becomes a personal responsibility. This
step is particularly challenging as it demands an extensive knowledge of the literature in
the field.

Craft ing Experti se in P h . D . Research :

When working at the Ph.D. level, one needs to be prepared to cultivate expertise. Under-
taking research at the Ph.D. level requires a readiness to cultivate expertise. It involves
a continuous engagement with literature so as to bring together the three parts:
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(i) identifying a significant problem,

(ii) acquiring the knowledge to address it and
(iii) a possible way to generate that new knowledge.
The convergence of these three aspects varies uniquely for each researcher and across
different fields. However, the only way to become an expert is by continuously reading
literature and knowing about what already exists in the field.

E x p e r t Guidance in Literature review:

When tackling a research project of a smaller scope, such as a master’s thesis, the task
of conceptualizing the research is possibly too tough to do, particularly when time is a
limiting factor. Achieving expertise in a limited timeframe may not be feasible. In these
cases, seeking guidance becomes essential. The supervisor, typically an expert and active
researcher in the field, can guide on defining a meaningful research objective.

T h e Essence of Research as Knowledge Creati on in Engineering :

While engineers enjoy building things, the fundamental goal of research lies in the creation
of knowledge. When research involves building something, a critical inquiry is necessary
to determine if it is indeed contributing to the formation of new knowledge. When engag-
ing in research endeavors, it is important to prioritize uniqueness. Even if a researcher
building something new, there’s a risk of the work being labeled obvious and rejected as
insufficient for the label of genuine research.
Example: If the research involves building a new device, ensure it contributes novel
insights beyond what is obvious to experienced engineers.

8. C r i ti c a l and Creati ve Rea d i n g

Reading a research paper is a critical process. The reader should not be under the as-
sumption that reported results or arguments are correct. Rather, being suspicious and
asking appropriate questions is in fact a good thing.

A s k i n g the R i g h t Questi ons:

The reader should ask the following questions during research paper analysis:

(i) Problem Solving: Have the authors attempted to solve the right problem?

(ii) Considerati on of Alternati ves: Are there simpler solutions that have not been
considered?
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(iii) Limitati ons: What are the limitations (both stated and ignored) of the solution?

(iv) Missing Links: Are there any missing links or gaps in the presented work?

(v) Reasonable Assumpti ons: Are the assumptions made by the authors reasonable?

(vi) Logical Flow: Is there a logical flow to the paper, or are there flaws in the reason-
ing?

These questions need to be ascertained apart from assessing the relevance and importance
of the work, through careful reading.

Judgmental Approach:
Use of judgemental approach and boldness to make judgments is needed while reading.
Flexibility to discard previous erroneous judgments is also critical for unbiased analysis.
Correctness of Data: Ascertain whether the data presented in the paper is accurate
and supports the argument.
Gathering and Interpretati on:Ascertain whether the data was gathered and inter-
preted in a correct manner.
Alternati ve Datasets: Decipher whether an alternative dataset would have been more
compelling.

Cr iti cal Reading vs. Creati ve Reading:

Critical reading is relatively easier, focusing on finding mistakes, whereas creative reading
is more challenging and requires a positive approach in search. In creative reading, the
idea is to :
Search for Other Applicati ons: Actively look for other applications beyond the stated
scope.
Generalizati ons and Extensions: Explore interesting generalizations or extended work
that authors might have missed.
Practi cal Challenges: Identify plausible modifications that may present important
practical challenges.
Research Considerati ons : Determine if the paper suggests areas for extended research
and and what should be the immediate next aspect to focus upon.
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2.9 Ta k i n g Notes W h i l e Rea d i n g

Effective reading is essential for good writing in research. The process of taking notes
during and after reading serves as a bridge between reading and writing.

Importance of Note-Taking and methods:

Building Knowledge: Notes aid in building on acquired knowledge.
Memory A i d : There is a well-known saying that the faintest writing is better than the
best memory, and this holds true for researchers who need to read and build on acquired
[Link] Notes: Many researchers take notes on the margins of their copies
of papers or even digitally(annotate) on an article.
Contents to Highlight:In each research paper, there are a lot of things that one might
like to highlight for later use such as Definitions, explanations, key concepts, questions,
and criticisms.
Lo n g-Ter m Benefi ts : Efforts in note-taking become particularly significant when re-
visiting and rereading the material after a long time.

Concluding a Thorough Reading:

summary: On completing a thorough reading, a good technical reading should end with
a summary of the paper in a few sentences describing the paper’s contributions
Elucidati ng Technical Merit: Elucidate on the importance of understanding the tech-
nical merit by comparing the paper with existing works in the same area.
Evaluati on of Innovati on: Assess whether the paper introduces new ideas or imple-
ments existing ones in innovative ways. Novel Framework: Evaluate if the paper
introduces new ideas, or implements existing ideas through experiments or in a new ap-
plication ones in new ways, or consolidates different ideas under a novel framework.
Determining Contributi on through Comparati ve Analysis : The true contribution
of a paper is better understood by considering other papers in the same area. Research
students should thoroughly analyze how the paper stands out when compared to existing
works in the field.

2.10 Readi ng Mathemati cs and A l gori t hm s

Mathematics serves as the foundation for new advances in engineering research, for evo-
lution and development of engineering research and practice.
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Importance of Meti culous Reading:

Engineering researchers often encounter mathematical derivations and proofs as integral
components of their research work. Mathematical derivations and proofs form the heart
of any technical paper. Therefore, one should avoid skimming them. After identifying
the relevance of the paper, by meticulous reading of the proofs or algorithms, one can
develop a sound understanding of the problem that the authors have attempted to solve.

Selecti ve Ski mmi n g in Technical Secti ons:

While engaging with technical sections, a balanced approach involves selective skimming
based on familiarity, relevance, and practical considerations. However, there are excep-
tions to this approach. Some instances where skimming is acceptable include:

(i) K n o w n Concepts or Advanced Material: It’s acceptable to skim a technical

section if it explains something already known or if it is too advanced for the research
at the present moment and needs additional reading to be understandable

(ii) Specialized Content Considerati on: Sections too specialized and seemingly un-
necessary for the current research may be skipped temporarily and revisited later if
needed.

Example: A researcher studying a novel optimization algorithm may meticulously read

the mathematical proofs to understand the underlying principles. However, if a section
delves into advanced mathematical concepts beyond the current scope, they may choose
to skim it and revisit it later.

Algor ithm Implementati on:

(i) Er ror-Prone Algorithm Implementati on: Implementing intricate algorithms in

programming languages like C, C + + , or Java is error-prone, even if the researcher
is confident. Quick coding may be necessary to verify functionality.

(ii) Practi cal Testi ng of Algorithms: Despite the researcher’s confidence in the
paper and belief in the algorithm’s functionality, there’s a fair chance it may not
work. Quick coding becomes essential to promptly verify its actual functionality.
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2.11 Readi ng a Datasheet

Researchers in various engineering fields encounter different types of documents essential

to their work. For instance, mechanical and civil engineers may need to read drawings,
while those in the field of electronics often need to read datasheets. Datasheets, in partic-
ular, serve as instructional manuals for electronic components, offering insights into their
functions and applications. Each discipline requires specific reading skills. On occasions,
researchers in other fields may also need to incorporate a certain electronic part in which
case careful reading of the datasheet is imperative for a thorough understanding of the
component’s specifications and applications.

In this context, the importance of mastering the art of reading such documents, beyond
traditional technical papers or books, becomes evident.

Navigati ng Datasheets: A Guide for Engineers:

1. Importance of Datasheets: Datasheets serve as instruction manuals for elec-

tronic components, providing details on the component’s functionality and usage.
Datasheets enable a researcher (or a working professional) to design a circuit or
debug any given circuit with that component.

2. F i rst Page Overview: The initial page of a datasheet typically summarizes the
part’s function, features, and basic specifications. It often includes a functional
block diagram illustrating the internal functions of the component.

3. Initi al Skimming: Apply principles of initial skimming to datasheets to determine

the need for further careful reading.

4. Datasheet Components: Datasheets typically include information on function,

features, specifications, functional block diagrams, pinouts, performance graphs,
safe operating regions, truth tables, timing diagrams, and package dimensions.

5. Signifi cance of Pinout: A pinout provides the physical location of a part’s pins,
with special mark for pin 1 so that the part can be correctly plugged into the circuit.

6. Performance G rap h s and Safe Regions: Some parts also provide graphs show-
ing performance versus various criteria (supply voltage, temperature, etc.), and safe
region for reliable operation which should be carefully read and noted by the re-
searcher.
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7. Tr u t h Tables and T i m i n g Diagrams: Lookout for truth tables which describe

what sort of inputs provide what types of outputs, and also timing diagrams which
lay out how and at what speed data is sent and received from the part(data trans-
mission).

8. Package Dimensions for P C B Layout: Datasheets end with with accurate

dimensions of the packages a part is available in, essential for PCB(printed circuit
board) layout.

9. Importance of Datasheet Reading: When working with a new part or selecting

components, carefully reading the datasheet is recommended that may potentially
save many hours later on.
Example:When undertaking an electronic project, a researcher needs to select a
mi- crocontroller. This involves a meticulous reading of the microcontroller’s
datasheet to comprehend its features, pin configuration, and operating conditions.

10. Beyond Datasheets - Diverse Reading Materials:While utilizing datasheets

as an illustrative example, the authors’ objective is to emphasize the importance of
mastering the art of reading various documents. Researchers need to broaden their
document literacy beyond technical papers and books, recognizing the diverse range
of materials integral to their field.

2.12 Att ributi ons and Citati ons: G i v i n g C r e d i t W h e r-

ever D u e :

Academic writing, by definition, must follow certain rules and conventions. Among the
most important of these are the rules and conventions about citing, referencing, attribut-
ing, and acknowledging the works of others. That means giving proper credit wherever
due.

Ci ti n g: Citi ng is the practice of quoting from, referring to other authors’ works

and ideas in the text of our work in such a way that the context is clear to the
reader.

Referencing: Referencing is the listing of the full publication details of a

published work that is cited so as to give background information to the readers.

Att ributi on: Properly crediting the contributors for their contributions.
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Acknowledgment: Acknowledgment in research publications indicates

contribu- tions to scientific work.

However, acknowledgment, attributions, and citations differ in the manner of their appli-
cation. Acknowledgment is arguably more personal, singular, and simply an expression
of appreciations and contribution.
In the upcoming sections, we will delve into the various challenges and considerations
associated with attributions and citations in academic writing.

2.13 Citati ons: Functi ons and Att ributes

Role of Citati ons (References):

Citations credit others for their work, providing readers the means to trace the source
publication if necessary. In any new document, any borrowed portion of someone else’s
work or ideas, be it in papers, patents, or presentations, must be clearly cited to avoid
plagiarism. This rule applies to all written sources, encompassing texts, images, sounds,
etc. and failure to do may be considered plagiarism. One should avoid distress and em-
barrassment by learning exactly what to cite. Depending on the exact type of material,
the researcher must appropriately credit the creator of the original source.

Knowledge Growth and Proper Acknowledgment in Research :

T h e Growth of Knowledge : The growth of knowledge in any field, especially in
technological fields, is incremental. Researchers build upon prior information as they
contribute to the field’s development and must ensure proper acknowledgment of existing
knowledge.
Disseminati on of Knowledge : Established means of preventing and spreading knowl-
edge include patent publications, conference papers, peer-reviewed journal papers, arti-
cles, textbooks, and classroom education.
Leveraging Pr i o r A r t : While researchers need to leverage existing knowledge in their
research areas for further development, it is equally important to ensure proper acknowl-
edgment and credit for that pre-existing knowledge.

Citati ons as Connectors: Establishing C re d i t and Ethical Responsibility

Establishing Connecti ons through Citati ons: When a researcher includes a bibli-
ography of previously published patents or papers in their new works, it establishes a
connection between the new and previous work.
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Providing D u e Credit: In relevance to the context, researchers give due credit through
citations. Citations allow readers to verify the quality and importance of the new work,
and justification of the findings.
Ethical Responsibility: Citations serve as a way to inform readers that certain ma-
terial in the researcher’s present work is sourced from another, and as an ethical respon-
sibility, appropriate credit has been given to the original author or writer.
Ty p e s of Citable Materials: Materials that can be cited include journal papers, con-
ference proceedings, books, theses, newspaper articles, websites, other online resources,
and personal communication.
Placement of Citati ons: Ideally, citations should be provided at the end of a sentence
or paragraph. Each citation must contain sufficient details for readers to easily locate the
referenced material.

D u a l Citati on Practi ce: I n -Text and References:

D u a l Citati on Requirement: A researcher is required to cite each source twice:
(i)In-Text Citation: Within the text of the article, precisely where the source is quoted
or paraphrased.
(ii)References: A second time, typically at the end of the chapter, book, or research
article.

Consistency in Citati on Styles:

While most citation styles share similar elements, they differ in the order of elements
and layout. Unless otherwise specifically required by a particular journal or a book, re-
searchers can choose any style as long as consistency is maintained.

Diff erences in Citati on Elements:

The citation elements differ and so what is to be recorded can differ from one source to
another, and it is crucial to adhere to the specific requirements of each source.

Inclusion of Publicati on Date:

It is important to include the publication date of the source. For web content, the re-
searcher may also need to mention the specific date it was accessed by him.

L a Te X : Effi cient Document Preparati on in Engineering Research :

L a Te X as a Document Preparati on System: LaTeX, a document preparation sys-
tem frequently employed by engineering researchers, is highly efficient in automatically
formatting documents according to standard requirements. It proves effective in tracking
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and updating citations.

Learning C u r ve and Technical Writi ng: LaTeX comes with a steep learning curve
but is extensively utilized in this book to address various issues related to technical writ-
ing, which is intricately linked with research for engineers.

Functi ons of Citati on :

Citations serve three main functions: verification, acknowledgment, and documentation.

(i) Verifi cati on Functi on: Authors can identify intentional or unintentional
distortion of research or misleading statements through citation. Citation offers the
readers Citation allows readers to ascertain if the original source is justified in the
present work.

(ii) Acknowledgment Functi on: Researchers receive credit for their work through
citations, which plays a crucial role in the promotion of individual researchers and
their continued employment. Many Reputed organizations and institutes often pro-
vide research funding based on the reputations of the researchers. Citations help
all researchers to enhance their reputation and provide detailed background of their
research work.

(iii) Documentati on Functi on: Citations are used to document scientific concepts and
the historical progress of any particular technology over the years.

Citati ons: C u r re n c y of C re d i t and Intellectual Acknowledgment :

Citati ons as C u r re n c y of Credit: Citations serve as the currency that authors would
wish to accumulate, gives them credit for these contributions. When other authors make
citations, they honor those who initiated the ideas.
Demonstrati on of Comprehension Skills: Authors demonstrate their comprehen-
sion skills by identifying, estimating, and incorporating other’s research work and then cre-
ate and express their own ideas precisely while acknowledging ownership of ideas through
citation.

Signifi cance of C i ti n g Sources: Enhancing Understanding and Avoiding I n -

fringement :
Signifi cance of C i ti n g Sources:
Authors should cite sources to indicate the significance of the work to the reader. Rele-
vant citations assist authors in developing an easily understandable argument, avoiding
the need for readers to navigate through irrelevant work outside their areas of interest.
Infringement on Researcher’s Rights: Failure to cite appropriately infringes on the
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rights of the researcher who conducted the original work.

Inappropriate Citati ons: Typ e s and Consequences :

In certain instances, references fail to fulfill the intended goals of citations and acknowledg-
ments, resulting in a lack of benefit to the reader. Various types of ineffective references
exist, each with its own implications. This section investigates various types of inap-
propriate citations, examining instances where references may not effectively serve their
intended purpose.

1. Spurious Citati ons:

T
Spurious Citati ons: In certain cases, when a citation is not required or an appropriate
one is not found, including one anyway is considered a spurious citation. These citations
lack value for the reader in terms of properly understanding the paper.
Impact: Such actions result in the loss of the reader’s or reviewer’s time, searching for a
cited paper that is otherwise not relevant. Just as due credit should be given to a paper
through citation, inappropriate credit must be avoided to maintain the credibility of a
IE
research work or the journal/conference proceedings where the paper is published.

2. Biased Citati ons:

Biased Citati ons: When authors cite the work of their friends or colleagues without
a significant connection between the two works, or when they deliberately avoid citing
work of genuine significance to withhold credit from certain individuals, these actions are
classified as biased citations.
Impact: Bias extends to neglecting citations to prior work whose conclusions or data
contradict the current work.
AJ
3. Self-Citati ons:
Self-Citati ons: Citi ng one’s prior work is acceptable if the citation is genuinely relevant.
Self-citation of previous papers is natural, especially when the latest paper is part of an
ongoing research project. It can benefit the reader by consolidating related works of the
same author in one paper, reducing the reader’s effort in finding the full versions of those
papers. However, it is helpful and ethical only if all the cited papers are genuinely relevant
to the present work.
Impact: However, inappropriate and irrelevant self-citations can have a negative impact
on both the journal and individual researchers. In such cases, self-citations may be con-
sidered spurious, biased, or both. Editors of journals who overlook such types of citations
and allow them, either due to negligence or other reasons, to be included in published
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materials may directly or indirectly alter the impact factor of those publications.

4. Coercive Citati ons:

Coercive citati ons: Despite their shortcomings, impact factors remain a primary method
of quantifying research. One side effect is the creation of an incentive for editors to en-
gage in coercion, pressuring authors to add citations to the editor’s journal. Even if not
explicitly stated, the implied message is that the author could either add citations or risk
rejection. Such coercive demands consequently diminish the reputation of the journal.
Impact: Diminishes the reputation of the journal.
From the above discussions, it is clear that the author(s) must maintain a balance between
too few and too many citations. At the same time, author(s) must give credit whenever
due even if it is their own work.

2.14 I m p a c t of T i t l e and Key word s on Citati ons

The citation rate of a research paper is influenced by various factors, including journal
significance, publication types, research area, and the importance of the published work.
Additionally, factors such as title length, type, and selected keywords impact citation
count.

Signifi cance of Research Paper Titles:

The title is the most important attribute of any research paper. It is the main indica-
tion of the research area or subject and is used by researcher as a source of information
during literature survey. Title plays important role in marketing and makes research pa-
pers traceable. A good title is informative, effectively represents the paper to readers,
and gains their attention. While some titles may be informative, they might not engage
readers, and some titles might be attractive but not informative or related to the readers’
research area. The download count and citation of a research paper can be influenced by
its title. There are three different aspects which provide a particular behavior to the title:
(i) types of the title,
(ii) length of the title, and
(iii)presence of specific markers. The title is a crucial attribute of any research paper,
influencing its traceability and attention from readers.

Studies on T i t l e Characteristi cs :
Research by Stremersch et al. analyzed papers published between 1990 and 2002, in the
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area of research and studied relationship between title characteristics and citation, which
concluded that title length positively affects the number of citations.
In another study, Sagi and Yechiam, found that highly amusing titles have fewer citations
and pleasant titles have no significant relation to citation counts.
Another study by Jacques and Sebire, observed a strong association between title length
and citation rates, with highly cited articles having more than twice as many words in
the title compared to lower cited papers.

Jamali and Nikzad analyzed several open access papers and found that articles with
question-type titles are downloaded more but cited less compared to the descriptive or
declarative titles.

Analysis by Habibzadeh and Yadollahie [14] also indicated a strong association between
longer titles and higher citation rates. Longer titles mainly include the study methodol-
ogy and/or results in more detail, and so attracts more attention and citations.

General Observati ons :

In general, titles containing a question mark, colon, or reference to a specific geographical
region tend to be associated with lower citation rates. Titles that describe results typi-
cally receive more citations than those describing methods. Additionally, review articles
and original articles usually receive more citations than short communication articles.
Including at least two keywords in the title can increase the chance of finding and reading
the article as well as get more citations.

Signifi cance of Keywords in Research Arti cles :

Keywords represent essential information as well as main content of the article, which are
relevant to the area of research. Search engines, journal, digital libraries, and indexing
services use keywords for categorization of the research topic and to direct the work to
the relevant audience. Keywords are important to ensure that readers are aware about
research articles and their content. If maximum number of allowable keywords are used,
then the chance of the article being found increases and so does the probability of citation
count of the article. Usage of new keywords should be minimal as such keywords may not
be well known to the research community and so may lead to low visibility of the article.
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2.15 Knowledge Fl ow T h r o u g h C i tati on

Knowledge flows through various channels such as verbal communications, books, docu-
ments, video, audio, and images. In the research community, this flow is instrumental in
generating new knowledge.

Forms of Knowledge Flow:

Verbal communications, books, documents, video, audio, and images. This plays a pow-
erful role in research community in promoting the formulation of new knowledge.

Knowledge Flow in Engineering Research:

In engineering research, Knowledge flow occurs through books, thesis, articles, patents,
and reports. Citi ng a source is important for transmission of knowledge from previous
work to an innovation.

Producti on of Knowledge:
Production of knowledge can be related to the citation network. Knowledge flow hap-
pens between co-authors during research collaboration, among other researchers through
their paper citation network, and also between institutions, departments, research fields
or topics, and elements of research.

Illustrati ve Relati onship:

The following figure shows the relationship between citations, knowledge flow, and ele-
ments such as researchers, papers, journal publications or conferences, and institutions.
If paper A is cited by paper B, then knowledge flows through citation networks across
institutions.
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Interdisciplinary Nature of Research :

The complex interdisciplinary nature of research encourages scholars to cooperate with
each other to grab more advantages through collaboration, thereby improving quality
of the research. Soorya Moorthy, examined the citation impact of the South African
publications among different collaboration types, discipline and sectors, and observed
that co-authored publications had more citations than single author paper and there was
a positive co-relation between number of authors and the number of citations. Following
figure shows a relationship between co-authorship and different types of citations.
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Three articles (X, Y, and Z) and five references (X1, X2, X3, Y1, and Y2) of article X
and Y, respectively, are considered. A, B, and C are authors of article X , and D, E, F,
G, and also A are authors of article Y. Article Z has two authors H and E. References
X1, X2, X3, Y1, and Y 2 have authors (A, P), (H, R), (D), (Q , B, F), and (R), respectively.

Based on co-authorship citation network, references X1 and Y 1 are considered self-citation,

reference X3 is a level-1 co-author citation because author of articleYis direct collaborator
of author A, reference X2 is a level-1 co-author network because author A is collaborator
of E who collaborated with H. We conclude that papers which frequently cite collabo-
rators will also often cite collaborators of collaborators. Collaborations certainly impact
citation counts.

2.15.1 C i ti n g Datasets

Engineering research relies heavily on data. Data citations credit dataset creators, ensur-
ing legal attribution and aiding in future retrieval.
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Ownership of D ata :
Ascertaining the ownership of data can be a complicated issue especially with large
datasets, and issues of funding can also make it a difficult matter. A researcher should
obtain necessary permission for using data from a particular source.

Citati on Informati on:

Citations related to datasets should include enough information so that a reader could
find the same dataset again in the future, even if the link provided no longer works. It is
proper to include a mixture of general and specific information to enable a reader to be
certain that the search result is the same dataset that was sought.

Examples

2.15.2 Styles for Ci tati o n s :

Citation styles differ primarily in the order, and syntax of information about references,
depending on difference in priorities attributed to concision, readability, dates, authors,
and publications. Some of the most common styles for citation (as well as other aspects
of technical writing) used by engineers are as follows:

1. A S C E Style(American Society of C i v i l Engineers):

(a) Reference list:
This part is to be placed in the bibliography or references at the end of the article or
report. A template with example for the same is given below:
Template for books:
Author Surname, Author Initial. (Year). Title: Publisher, City, Pages Used.
Example: Wearstler, K., and Bogart, J. (2004). Modern glamour. Regan Books, N Y.
Template for Websites :
Author Credentials and Company Name (Year). ’Title’. [Website U R L (Accessed:
Date)].
Example: Blade cleaning services (2015): [Website U R L (Accessed: Oct. 29, 2016)].
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Template for Journal Publicati ons :

Author Surname, Author Initial. (Year). ’Title’. Publication Title, Volume (issue),
Pages.
Example: Johnston, L. (2014). “Inconvenient Truth Expanded The Climate Change
Dialogue”. 1–160.

( b ) In-text citati on for journals or books:

The following part is to be placed right after the reference to the source of the citation
assignment:
Template :
(Author Surname/Website U R L Year Published)
Examples:
i. Citation is a very important part of technical writing. (Deb 2016)
[Link] create devices to monitormountains so that nearby inhabitants can bewarned
of impending eruptions. ([Link] 2014)

2. I E E E Style (Insti tute of Electrical and Electronics Engineers):

I E E E style is standard for all I E E E journals and magazines, and is frequently used for
papers and articles in the fields of electrical engineering and computer science. The I E E E
style requires endnotes and that references be cited numerically in the text.
Those submitting to an I E E E publication should see guidelines for the specific journal or
magazine and may also refer to the complete I E E E editorial style manual. Some examples
of I E E E styles of citations for different types of sources are enumerated below:
Chapter in an edited book example:
[1] A. Rezi and M. Allam, “Techniques in array processing by means of transformations,”
in Control and Dynamic Systems, Vol. 69, Multidimensional Systems, C. T. Leondes, Ed.
San Diego: Academic Press, 1995, pp. 133-180.

3. A S M E Style ( T h e Associati on of Mechanical Engineers) Encloses references

numerically in brackets within the text.

2.16 Acknowledgments and Att ributi ons

The acknowledgment section is a place to provide a brief appreciation of the contribution

of someone, an organization, or a funding body to the present work. If no particular
guideline is available for the intended publication, then it can be introduced at the end of
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the text or as a footnote. Acknowledgment is a common practice to recognize persons or

agencies for being responsible in some form or other for the completion of a publishable
research outcome.
Acknowledgment displays a relationship among people, agencies, institutions, and re-
search. In some cases, certain individuals may help in the research work but may not
deserve to be included as authors. As a sign of gratitude, such contributions should be
acknowledged. We can classify acknowledgment into six different categories like moral,
financial, editorial, institutional or technical, and conceptual support.

Categories of Acknowledgment :

1. Moral Support: Recognition of individuals or entities providing encouragement

or emotional support.

2. Financial Support: Acknowledging funding bodies or organizations that finan-

cially supported the research.

3. Editorial Support: Recognition for contributions in editing or reviewing the

manuscript.

4. Insti tuti onal or Technical Support: Acknowledgment of institutions or individ-

uals providing technical assistance.

5. Conceptual Support: Recognizing contributions to the conceptual development

of the research.

Importance of Acknowledgments in Publicati ons :

Acknowledgments and attributions are crucial in the publications of journal or confer-
ence papers. Giving proper credit wherever it is due is very important, and even if the
contribution is minor, it should not be neglected. A researcher should always recognize
the proprietary interest of others. Whenever possible, the author shall give the names
of persons who may be responsible, even if nominally, for designs, inventions, writings,
or other accomplishments. Given the importance of work published, authorship is also
significant.

Engineering Research Acknowledgments:

In engineering research, acknowledgments are meant for participating technicians, stu-
dents, funding agencies, grant numbers, institutions, or anyone who provides scientific
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inputs, shares unpublished results, provides equipment, or participates in discussions.

Examples:

1. ”The authors would like to express their gratitude to Dr. Smith for his invaluable
conceptual support during the initial phase of this research.”

2. ”This work was financially supported by the X Y Z Foundation (Grant Number:

ABC123).”

3. ”We acknowledge the technical assistance provided by the engineering team at In-
stitution X Y Z .”

1. W h a t Sh ou ld B e Acknowledged?

Every author should know what should and should not be acknowledged. Authors should
acknowledge quotations, ideas, facts, paraphrasing, funding organizations, oral discussions
or support, laboratory, and computer work.

1. Quotati ons : In technical writing such as in the field of engineering, quotes are
used very rarely. Quotations are of two types:

(a) Direct Quotati ons: Direct quotations are used when author use actual words
or sentences in the same order as the original one. Author should use quotation
marks for the words or sentences with proper acknowledgment.
(b) Indirect Quotati ons: Indirect quotation summarizes or paraphrases the ac-
tual quote. In such cases, it is important to acknowledge with proper name and
date.

2. Contributi ons : Authors should acknowledge people who give appropriate contri-
butions to their research work. Non-research work contributions are not generally
acknowledged in a scientific paper but may be in a thesis. Persons must be acknowl-
edged by authors who provided scientific or technical guidance, participated in dis-
cussions, or shared information. Authors should acknowledge assistants, students,
or technicians, who helped experimentally and theoretically during the research
work.

3. Funding Support : If the researcher received a grant from a funding agency, and if
those funds were used in the work reported in the publication, such support should
always be acknowledged by providing full details of the funding program and grant
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number in the acknowledgment section.

Authors should gratefully acknowledge the use of services and facilities of any center
or organization with which they are not formally affiliated.
Example: An example of acknowledgment of grant received is as follows:

Acknowledgments: This research work was funded in part by the Extra-

Mural Research Funding 2014–17 (Individual Centric) of the Department
of Science and Technology (DST), Govt. of India.

If there are concerns that providing acknowledgment information may compromise

anonymity, authors may withhold this information until the submission of the final
accepted manuscript. Many technical journals explicitly discourage authors to thank
the reviewers in their article submissions. This could be construed as favoritism or
an attempt to encourage reviewers to accept their manuscript for reasons other than
scientific merit.

4. Acknowledging that results have been presented elsewhere: If the results

were presented as an abstract in a journal, then there should be a suitable citation.
If the results were presented as part of scientific meeting, symposium, or other
gathering, then some relevant information should be provided. At the very least,
the name of the gathering and year should be cited. Other helpful items include
the location of the gathering (city and state or country) and the full date of the
occasion.

By acknowledging all help received in one’s research work, the author(s) demonstrate
integrity as a researcher, encouraging continued collaboration from those who helped out
in different ways.

Acknowledgment is no longer simply a means of expressing gratitude. Funding agencies

often require acknowledgment and explicitly state the required information for publica-
tion resulting from the funded project. Failure to acknowledge funding may result in the
discontinuation of current funding and/or ineligibility to receive future funding.

Unless the information can be considered ”common knowledge,” proper attribution of an

idea, algorithm, computational methodology, or experimental design is required even if a
journal operates with double-blind review.
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2. Acknowledgments in Books/Dissertati ons

A page of acknowledgments is usually included at the beginning of a thesis/dissertation,

immediately following the table of contents. These acknowledgments are longer than the
one or two sentence statements in journal papers or articles in conference proceedings.
Detailed acknowledgments enable the researcher to thank all those who have contributed
to the completion of the research work. Careful thought needs to be given concerning
those whose inputs are to be acknowledged and in what order. Generally, one should
express appreciation in a concise manner and avoid emotive language. The following are
often acknowledged in these types of acknowledgments: main supervisor, second supervi-
sor, peers in the lab, other academic staff in the department, technical or support staff in
the department, colleagues from other departments, other institutions, or organizations,
former students, family, and friends.

Sample Acknowledgment in Thesis :

I wish to express my sincere appreciation to my supervisor Prof. Gang Tao for the useful
comments, remarks, and encouragement throughout this thesis work. Furthermore, I wish
to express my thanks to Prof. Jacob Hammer for introducing me to the topic and for the
support along the way. Also, I would like to thank my peers in the Adaptive Control Lab
such as Yu Liu and Shanshan Li, who have shared their precious time during many lively
technical discussions. I would like to thank my family members who have supported me
throughout this journey in many different ways.

3. Dedicati on or Acknowledgments?

Dedication is almost never used in a journal paper, an article in a conference proceedings,

or a patent. It is used exclusively in larger documents like books, theses, or disserta-
tions. While acknowledgments are reserved for those who helped out with the document
in some way or another (editing, moral support, etc.), a dedication is to whomever the
author would like it to be dedicated to, whether it is the author’s mother, best friend,
pet dog, or Almighty God. It is possible to dedicate something to someone while also
mentioning them in the acknowledgments. For example, one may dedicate a book to one’s
spouse but acknowledge them for being the moral support and putti ng up with when one
got very stressed.
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The acknowledgments in technical books can sometimes be as brief as the ones in journal
articles. The acknowledgment section of a technical report may be a paragraph longer
than a journal paper but shorter than dissertations. Generally, the length of the acknowl-
edgment may have some correlation with the length of the document.

Questi on B a n k

1. Describe the process of synthesizing knowledge from a variety of sources when per-
forming literature review. Discuss any difficulties you might have faced while syn-
thesizing the information.

2. Describe the process of analyzing and synthesizing prior art in a literature review

3. Explain the essential steps in analyzing and synthesizing prior art during literature
review

4. What is the role of bibliographic databases in academics and research? Provide

examples.

5. Describe your search strategy when using Web of Science or Google Scholar for
literature review.

6. Which are the steps to effectively search for a given topic in a bibliographic database.

7. What factors should be taken into account when taking notes while reading technical
documentation?

8. Explain the role of effective note-taking in the context of research literature, em-
phasizing its significance as a bridge between reading and writing.

9. Analyse and infer key points from a given mathmatical or algorithm-based scholarly
article.

10. Explain the steps involved in Reading Mathematics and Algorithms

11. Explain the key strategies and considerations involved in navigating datasheets ef-
fectively.

12. How does acknowledging and attributing work in the academic world affect the
knowledge flow?
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13. Examine the functions and attributes of citations in academic writing, emphasiz-
ing their significance in acknowledging sources, maintaining scholarly integrity, and
contributing to the credibility of a research work. Provide examples to illustrate
how proper citation practices enhance the quality of academic writing and uphold
ethical standards.

14. What are the effects of keywords and titles on paper citation? Discuss with exam-
ples.

15. Discuss the factors influencing the citation rate of a research paper, with a specific
focus on the impact of title characteristics (length and type) and the selection of
keywords.

16. Explain how styles for citations differ and how does it impact your work?

17. Examine the dynamics of knowledge flow through citation in the research commu-
nity.

18. Explore the dynamics of knowledge flow through citation, focusing specifically on
citing datasets and the various citation styles employed in academic writing.

19. Examine the different categories of acknowledgment in academic publications, dis-

cussing their significance in recognizing contributions, fostering collaboration, and
maintaining scholarly integrity.

20. What should be acknowledged in a research paper and why? Discuss with examples.

21. Explain the significance of technical reading for researchers and how it enhances
their ability to navigate research literature effectively.

22. How do citations contribute to the knowledge flow through different research papers?

23. Discuss the critical elements involved in conceptualizing research, with a focus on the
importance of formulating research objectives, ensuring the solvability of a research
problem, and the role of existing literature and knowledge in shaping the theoretical
framework and methods.

24. Compare the concepts of “Asking the Right Questions,” a “Judgmental Approach,”
and the distinction between “Criti cal Reading” and “Creative Reading” in the con-
text of research literature engagement.

25. Why is it important to acknowledge the sources of information in research and what
should be acknowledged?
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26. How can the impact of title and keywords on citations be determined?

27. What are the effects of citing datasets in research?

28. Discuss the integral relationship between existing and new knowledge in research,
exploring the construction of a strong foundation through literature review, the
influence of background and perception, and the challenges presented by diverse
sources such as textbooks and research papers.

29. Discuss the importance of a literature review in research. How does it contribute to
the understanding of existing knowledge and the formulation of new ideas? Explain
the role of technical reading in this process, highlighting key strategies for effective
technical reading.

30. Explore the challenges and strategies associated with reading mathematical content,
algorithms, and datasheets in technical literature. How do researchers navigate
complex technical information in these forms?

31. Examine the nuances of acknowledgments in academic writing, focusing on what

should be acknowledged, the specific considerations for acknowledgments in books
and dissertations, and the choice between dedication and acknowledgments.

32. Discuss the significance of acknowledgments in academic writing, outlining key ele-
ments that authors should acknowledge.

33. Examine the specific considerations and characteristics of acknowledgments in books

and dissertations.
Module 3

Introducti on to Intellectual P ro pe r t y

Syllabus:

Introducti on To Intellectual Property: Role of I P in the Economic and Cultural De-

velopment of the Society, I P Governance, I P as a Global Indicator of Innovation, Origin
of I P History of I P in India. Major Amendments in I P Laws and Acts in India.
Patents: Conditions for Obtaining a Patent Protection, To Patent or Not to Patent an
Invention. Rights Associated with Patents. Enforcement of Patent Rights. Inventions
Eligible for Patenting. Non-Patentable Matters. Patent Infringements. Avoid Public Dis-
closure of an Invention before Patenting. Process of Patenting. Prior Art Search. Choice
of Application to be Filed. Patent Application Forms. Jurisdiction of Filing Patent Ap-
plication. Publication. Pre-grant Opposition. Examination. Grant of a Patent. Validity
of Patent Protection. Post-grant Opposition. Commercialization of a Patent. Need for a
Patent Attorney/Agent. Can a Worldwide Patent be Obtained. Do I Need First to File
a Patent in India. Patent Related Forms. Fee Structure. Types of Patent Applications.
Commonly Used Terms in Patenting. National Bodies Dealing with Patent Affairs. Util-
ity Models.
Textbook :
Intellectual Property A Primer for Academia by Prof. Rupinder Tewari Ms. Mamta
Bhardwaj
Reference Book:
Intellectual Property Rights by [Link] Asia Law House 6th Edition. ISBN: 978- 93-
81849-30-9.

81
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3.1 Introducti on To Intellectual Property:

Defi niti on of Intellectual Property : Intellectual Property (IP) is a special category

of property created by human intellect in various fields such as arts, literature, science,
trade, etc. Since I P is a novel creation of the mind, it is intangible (invisible and indivis-
ible) in nature, differing from tangible properties like land, house, gold, and car.

Intellectual Property Ri ght s ( I P R ) : I P R refers to the privileges accorded to the

creator or inventor. These rights are given in exchange for revealing the process of cre-
ation or invention to the public. The inventor is conferred with special rights to use,
sell, distribute, offer for sale, and restrict others from using the invention without prior
permission.

Purpose of I P R : The primary purposes of I P R include encouraging innovation and

creativity, protecting the rights of creators and inventors, and maintaining a balance be-
tween public access and private rights.

Ty p e s of Intellectual Property : Broadly, I P comprises two branches: Copyrights

and Related Rights, and Industrial Property Rights.

1. Copyrights and Related Ri ght s : Copyrights and Related Rights refer to cre-
ative expressions such as books, publications, architecture, music, wood/stone carv-
ings, pictures, portrays, sculptures, films, and software/databases.

2. Industrial Property Ri ght s : Industrial Property Rights focus on protecting

innovations and brands. This category includes patents, trademarks, trade services,
industrial designs, and geographical indications.

K e y Features of I P Categories:

Copyrights (Creati ve expressions): Copyright is the right bestowed on the

owner or creator in relation to publication, and distribution of a piece of writing,
music, picture or related works. Copyright also applies to technical contents such
as software, datasheets and related documents.

Patents (Protecti ng inventi ons):A patent is a legal record that bestows the
holder the exclusive right over an invention as per the claims, in a limited geograph-
ical domain and for a limited duration by thwarting possible interested parties from
any form of manufacture, use or sale of the product or outcome of the invention.
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Trademarks(Brand identi ty): A trademark is a sign that suitably

differentiates the owner‘s goods or services from those of others.

Trade services: Any services in relation to trade or any trade related financing,
lending or other financial accommodation provided(or to be provided) by the bank,
including but not limited to issuance/amendment of letter of credit, document ar-
rival under letter of credit, application for negotiation and inquiries etc.,

Industrial Designs(Aestheti c aspects): An industrial design protection is

re- lated to certain specific ornamental shapes associated with products whose
duplica- tion the owner may wish to prevent.

Geographical Indicati ons(Origin-based products):A geographical

indication (GI) is a name or sign used on products which corresponds to a specific
geographical location or origin. Items that meet geographical origin and quality
standards may be endorsed with a government-issued stamp which acts as official
certification of the origins and standards of the product.

3.2 Rol e of I P in the Econ om i c and C u l t u ra l Devel-

opment of the Society

Creati vity and Progress: Creativity being the keystone of progress, no civilized society
can afford to ignore the basic requirement of encouraging the same. The economic and
social development of a society is largely dependent on creativity . The protection pro-
vided by the I P R to the creators/innovators is in fact an act of incentivization(providing
legal protection and exclusive rights to creators) for encouraging them to create more and
motivates others to create new.

Negati ve Impact of R i g i d I P R : However, if I P R is practiced rigidly, it may have

a negative impact on the progress of society. For example, compliance with the Trade-
Related Aspects of Intellectual Property Rights ( T R I P S ) Agreement has affected the
farming community as they are unable to store seeds for the next crop. Multinational
companies regulate the price of seeds, which is generally beyond the reach of a majority
of the farmers.

Balancing I P R with Excepti ons:To address or mitigate the negative impact of I P R ,

certain laws, exceptions and limitations associated with I P R have been enacted to main-
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tain a balance between the interests of the creators/inventors and the community.
For example, farmers rights under the Protection of Plant Varieties and Farmers Rights
( P V P & F R ) Act, 2001 entitles them to many privileges, such as Rights on seeds provides
rights to the farmers to save seeds, use seeds and share, exchange or sell seeds to other
farmers. Right to protection against accusations of infringement protects the farmers
from infringement and other legal accusation levied upon them due to his legal ignorance
in using other’s plant varieties.
The use of copyrighted material for education and religious ceremonies is exempted from
the operation of the rights granted in the Copyright Act. Similarly, a patent can be
revoked in favor of compulsory licensing by the government during an emergency or a
natural calamity.

Society ’s Interest and Government Interventi on:If an invention/creation is not

in the interest of society, it is not registered by the government for grant of any rights
associated with IP.
For example, cloning of human embryos is banned for I P protection, and so is the creation
of super microbial pathogens, which can play havoc with human lives.
Traditi onal Knowledge ( T K ) and Geneti c Resources:India is enriched with mas-
sive biodiversity and genetic resources and their use is embodied in what is referred to as
Traditional Knowledge ( T K ) . However, the use of such knowledge and resources are not
limited to local contexts as many innovations relate to and draw on them. Therefore, the
main issue of concern is to protect T K and genetic resources, which are rapidly coming
under the governance of sometimes conflicting I P R policies. To derive maximum benefit
from them, the establishment of adequate legal infrastructure and enforcement is required.

Initi ati ves and Benefi ts: With initiatives like ‘Make in India’, ‘Atmanirbhar Bharat’
and supporting local homegrown brands, and easy as well as accessible approach to patents
and trademarks registration, it is possible to reap the benefits of our resources.

3.3 I P Governance(Role of Nati onal Agencies and I n -

ternati onal Organizati ons)

Nati onal I P Governance in India : Since I P is an integral component of human

society, each and every nation has dedicated agencies for laying out the guidelines, imple-
mentation and enforcement of I P related matters. In India, many organizations/agencies
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deal with various aspects of IP. The governance of all categories of IP, except the Plant
Variety and Farmers’ Rights Act, is carried out by the Department for Promotion of In-
dustry & Internal Trade ( D P I I T ) under the guidance, sponsorship, or authority of the
Ministry of Commerce and Industry, Government of India (GoI).

Indian Organizati ons for I P : There are a few other dedicated organizations/departments
established by the government to promote patent-ecosystem (patent awareness, patent fil-
ing and patent commercialization) in India e.g.

T I FA C (Technology Information Forecasting and Assessment Council)

N R D C (National Research Development Corporation)

CI PA M (Cell for I P R Promotion and Management)

Internati onal I P Governance - W I P O : In order to create a hassle-free exchange of

I P related activities amongst all the nations, it is imperative to have minimum standards
of rules and regulations pertaining to all aspects of I P including rights, empowerment,
exceptions, etc. To achieve this goal, the United Nations (UN) has established an orga-
nization called the World Intellectual Property Organization (WIPO). This agency is at
the forefront of imparting knowledge about I P and governs international filing and reg-
istration of I P through various Conventions and Treaties like Paris Conventions, Patent
Cooperation Treaty ( P C T ) , Rome Convention, Berne Convention, etc.

3.4 I P as a Global Indicator of Innovati on

I P as an Indicator of Innovati on : Intellectual Property (IP), especially patents,

plays a crucial role as an indicator of innovation. Global ranking organizations use I P as
a parameter to evaluate Science, Technology, and Innovation ( ST I ) ecosystems.
Example: Scimago 2020 Report: The Scimago 2020 Report, a publicly available
online portal ranking journals and countries based on Scopus data, highlights India’s
position. In the report, India is ranked 4th position in the parameter of ‘Research Publi-
cations’ but 50th position in the parameter of ‘Intellectual Property Rights.’

Importance of I P in Global Rankings : I P is reflective of a nation’s innovation

and research output. There is a need to sensitize teaching and scientific communities
about the importance of IP. Creating infrastructure in higher learning institutes for I P
awareness and utilization is crucial.
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3.5 O r i g i n of I P

Ancient I P Practi ces: Though there is no official record of the origin of IP, rudimentary
forms of I P were believed to exist around 500 Before the Common E ra (B CE ) in
Sybaris, a state of Greece.
Sybaris E xamp l e : Natives of Sybaris were granted a year’s protection for their intellect
to create “any new improvement in luxury”.

Medieval Europe : Practical I P governance began taking shape in medieval Europe.

1623 Legislati on in Britain : Britain passed an I P legislation in 1623, allowing

guilds(association of artisans or merchants) to create innovations and bring them to mar-
ket for trade purposes. However, it faced public resentment and was replaced by the
‘Statute of Monopolies.

Statute of Monopolies (1624): ‘Statute of Monopolies’ granted rights to the origi-

nal creator/inventor for 14 years, addressing public concerns.

Statute of A n n e (1710):Another legislation, ‘Statute of Anne’, was passed by the

British parliament in 1710. This legislation aimed at strengthening copyrights by provid-
ing rights to the authors for recreation and distribution of their work. The work could
also be renewed for another 14 years.

Global Adopti on of I P Legislati on : By the end of the 18th century and the be-
ginning of the 19th century, almost every country started laying down I P legislation to
protect their novel inventions and creations.

3.6 H i sto r y of I P in India

In this section, the history of I P in India is explored, covering the pre-independence era,
amendments and developments, the post-independence era, and key milestones in shaping
Indian patent laws.
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3.6.1 H i sto r y of patents :

Patents in Pre-Independence E ra :

The history of the Indian patent system dates back to the pre-independence era of British
rule. The first patent-related legislation in India was Act V I of 1856, adapted from the
British Patent Law of 1852. The objective of this legislation was to encourage the inven-
tions of new and useful manufactures. The rights conferred to the inventor were termed
as ‘Exclusive Privileges’. In 1859, certain amendments were made to the Act:

Amendments in 1859 and Developments:

Grant of exclusive privileges to useful inventions.

Increase of priority time from 6 months to 12 months.

Exclusion of importers from the definition of the inventor.

The world’s first patent was granted in 1790 to Samuel Hopkins in the U SA for the ”mak-
ing of potash and pearl ash by a new apparatus and process”. In India, the first patent
(known as ‘Exclusive Privileges’ at that time) was awarded in 1856 to a civil engineer,
George Alfred DePenning from Calcutta, for his invention, ‘An Efficient Punkah Pulling
Machine’.

Inclusion of ‘Designs’ in Patent A c t : A few years later, it was felt that ‘Designs’
could also pass the criteria of the invention and thus should be included in the Patent
Act. The new Act was rechristened as “ The Patterns and Designs Protection Act ” under
Act X I I I of 1872. This Act was further amended in 1883 ( X V I of 1883) to include the
provision of protection for ‘Novelty’ in the invention.

T h e Indian Patents and Designs A c t , 1911: At the beginning of the 20th century,
all the earlier Acts related to inventions and designs were done away with the introduc-
tion of ‘The Indian Patents and Designs Act, 1911’ (Act I I of 1911). As per this Act, the
governance of patents was placed under the management of the Controller of Patents. In
the next three decades, many amendments were introduced for reciprocal arrangements
with other countries for securing priority dates. These amendments dealt with:

Use of invention by the government.

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Patent of Addition.

Enhancing the term of the patent from 14 years to 16 years.

Filing of ‘Provisional Application’ and submission of ‘Complete Application’

within 9 months from the date of filing the application.

Patents in Post-Independence E r a :

After India got independence in 1947, many patent experts felt the need to review the
Indian Patents and Designs Act, 1911, keeping the national interest (economic and polit-
ical) in mind. A dedicated committee, chaired by a renowned Justice Bakshi Tek Chand
(retired Judge of Lahore High Court), was constituted in 1949 to review the advantages of
the patent system. The committee submitted a plethora of recommendations, including :

Misuse of patents rights needs to be prevented.

There must be a clear indication in the Act that food, medicine and surgical and
curative devices should be made available to the masses at the cheapest rate by
giving reasonable compensation to the owner of the patent.

Amendments in Sections 22, 23 and 23A of the Patent and Design Act, 1911,
on the lines of the U K Patent Act.

Amendments in 1950 and 1952: These recommendations were introduced in the Act
X X X I I of 1950. Two years later, another amendment (Act L X X of 1952) was made to
provide compulsory licensing of patents related to food, drugs and chemicals killing in-
sects and microbes. Based on these amendments, a bill was presented in the parliament
in 1953 but was rejected.

Committ ee in 1957 and New Legislati on in 1965: In 1957, the central govern-
ment constituted yet another powerful committee under the chairmanship of Justice N.
Rajagopala Ayyangar to seek inputs for further strengthening the Indian Patent Law. The
committee submitted its report to the government in 1959. It comprised two segments
addressing:

1. General aspects of the patent laws.

2. Bill rejected back in 1953.

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Patents A c t , 1970 : The revised patent legislation was submitted to the Lok Sabha in
1965. After many hiccups, clarifications, and modifications, the Patents Act, 1970 ( h tt p :
//[Link]/writereaddata/Portal/IPOAct/1_31_1_patent-a c t-1970-11march2015.
pdf) was introduced, superseding all the previous laws related to the patents. However,
the Indian Patents and Designs Act of 1911 remained applicable for designs only until
1994.

India Signs T R I P S Agreement in 1995: In 1995, India signed the T R I P S Agreement

and got a transition period of 10 years (1995-2005) to make domestic laws compatible with
the international treaty.

Patents (Amendment) A c t , 1999 : In 1999, The Patents (Amendment) Act, 1999

was introduced providing for the filing of applications for ‘Product Patents’ in the areas of
drugs, pharmaceuticals and agrochemicals (earlier, only ‘processes’ were protected under
the Patent Act). The new Patent Act also included provisions for the grant of Exclusive
Market Rights (EMRs) for the distribution and sale of pharma products on fulfillment of
certain conditions.

Patents (Amendment) A c t , 2002: The second amendment to the 1970 Act was
made through the Patents (Amendment) Act, 2002 (Act 38 of 2002). This Act intro-
duced new Patent Rules, 2003, thus replacing the earlier Patents Rules, 1972. The major
amendments were:

The protection term of 20 years for all inventions from the date of filing.

Scope of non-patentable inventions including Traditional Knowledge expanded.

Disclosure of source and geographical origin of biological material made

compulsory.

Provisions concerning convention countries simplified.

Establishment of Appellate Board.

Compulsory license provisions strengthened.

Simplification of procedures.

Harmonization with Patent Cooperation Treaty ( P C T ) provisions.

Patents (Amendment) A c t , 2005 : With the rapidly changing scenario of I P R at a

global level, a need was felt to further amend the Patent Act, 1970. The highlight of the
Patents (Amendments) Act 2005 were:
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Product patent for inventions in all fields of technology.

New forms of known substances excluded to prevent evergreening of the patent.

Rationalization of the opposition procedure.

Introduction of pre-grant opposition by representation.

Introduction of post-grant opposition.

Compulsory license for export purposes.

Compulsory license for manufacture.

Extension of grace period from 6 months to 12 months for filing a patent, if

published in government exhibition.

Internati onal Agreements : India is a member of all prominent Conventions and

Treaties related to the facilitation of the inventors for international filing and protecting
the rights over the inventions globally. The important international agreements to which
India is a signatory party are T R I P S Agreement (1995), Paris Convention (1883), P C T
(1970) and Budapest Treaty (1977) and many more.

3.6.2 H i sto r y of C o pyr i ght s and Related R i g h t s :

The concept of copyrights started way back in the 15th century. However, the actual
need for copyright law was felt only after the invention of printers and copiers. Before
the invention of printers, writing could be created only once. It was highly laborious, and
the risk of errors was involved in the manual process of copying by a scribe.

During the 15th and 16th centuries, printing was invented and widely established in Eu-
rope. Copies of ‘Bibles’ were the first to be printed. The government had allowed the
printing of the documents without any restrictions, but this led to the spreading of a lot
of governmental information. Subsequently, the government started issuing licenses for
printing.

Phases of Copyrights L a w in India: The evolution of copyright law in India oc-

curred in three phases. The first two phases were enacted during the British Raj.
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1. F i rst Phase (1847) : In the first phase, the concept of copyrights was introduced
in 1847 through an enactment during the East India Company’s regime. The term
of copyrights was for the lifetime of the author plus seven years after death. Unlike
today, copyrights in work were not automatic. The registration of copyright was
mandatory for the enforcement of rights under the Act. The government could grant
a compulsory license to publish a book if the owner of the copyright, upon the death
of the author, refused to allow its publication.

2. Second Phase (1914): In the second phase, the Indian legislature, under the
British Raj, enacted the Copyright Act of 1914 based on the Imperial Copyright Act
(1911) of the U K . An Act for criminal sanction for an infringement was introduced.

3. T h i r d Phase (1957) : The third phase of the copyrights regime was

witnessed post-independence. The Copyright Act 1957 was enacted, superseding the
Indian Copyright Act, 1914, to suit the provisions of the Berne Convention (1886).
The 1957 Act has been amended six times (1983, 1984, 1992, 1994, 1999, 2012) to
comply with the W I P O Copyright Treaty (WC T ), 1996, and W I P O Performances
and Phonograms Treaty ( W P P T ) , 1996.

Evoluti on of Copyright Laws in the Digital Age: Most of the amendments in

copyright laws were in the digital environment, such as penalties for circumvention of
technological protection measures; rights of management information; liability of internet
service providers; introduction of statutory licenses for the cover versions (the cover ver-
sion is a re-recording or re-composition of the original song by other artists or composers
and is also termed as a remake, cover song, revival, etc.) and broadcasting organizations;
ensuring the right to receive royalties for authors and music composers; exclusive eco-
nomic and moral rights to performers; equal membership rights in copyrights societies
for authors and other right owners and exception of copyrights for physically disabled to
access any works.
India is an active member of nearly all significant international Conventions/Treaties
related to Copyright Law, e.g., the Berne Convention as modified in Paris in 1971, the
Universal Copyright Convention (1951), the Rome Convention (1961), W C T, W P P T, and
( T R I P S , 1995).

3.6.3 H i sto r y of Tra d e ma r ks ( T M ) :

The first statutory law related to Trademarks (TM) in India was the Trade Marks Act,
1940, which was carved out from the Trade Marks Act, 1938 of the U K . It was followed by
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the incorporation of provisions of T M stated in the Indian Penal Code, Criminal Procedure
Code, and the Sea Customs Act. Later on, Trade Marks Act, 1940 was rechristened as
Trade and Merchandise Marks Act, 1958. Nearly four decades later, this Act was repealed
by the Trade Marks Act, 1999. The need for this occurred to comply with the provisions
of the T R I P S . It is the current governing law related to registered TM.

4. H i sto r y of Geographical Indicati ons:

India, as a member of W TO, enacted the Geographical Indications of Goods (Registration

and Protection) Act, 1999. It came into force with effect from 15th September 2003.
Geographical Indicators have been defined under Article 22 (1) of the W T O Agreement
on T R I P S .

5. H i sto r y of Tra d e Secrets

In India, Trade Secrets are protected despite the absence of specific laws dedicated to
them. Courts have recognized and upheld Trade Secrets protection through different
statutes(laws) like contract law, Copyright law, principles of equity, and the common law
action of breach of confidence, effectively treating it as a breach of contractual obligation.

6. H i sto r y of Semiconductor Integrated C i r c u i t s and

L ayo u t Designs

In the 21st century, Information Technology ( I T ) has revolutionized the economic and
societal growth of the world economy. The rapid and tremendous scientific advancements
in the field of I T resulted in the creation of a new class of I P called the Layout-Design of
the Semiconductor Integrated Circuits.

Internati onal Regulati ons : Various organizations, including W T O and T R I P S Agree-

ment, laid down rules and regulations regarding the protection of Semiconductor Inte-
grated Circuits and Layout Designs (S I CL D ).

S I C L D A c t , 2000: India, being a member of the W TO, also passed an Act called
the S I C L D Act, 2000. This Act is T R I P S compliant and fulfills the conditions of the
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T R I P S agreement (Articles 35 to 38) concerning the protection of S I C L D.

7. H i sto r y of P l a n t Varieti es

Plant Varieti es: Historical Overview : Till the 1970s, not much emphasis was laid on
patentable matter originating from animals and plants. However, microbes and microbial
products/processes were patentable.

Introducti on of Su i Generis L a w : To include all kinds of biological materials under

the ambit of patent laws, a decision to enact a new sui generis law under the International
Convention for the Protection of New Varieties of Plants (UPOV, 1978) and UPOV, 1991
was taken. These decisions were made to address environmental and public interest con-
cerns.

P P V & F R A c t , 2001: Compliance with T R I P S

The Indian Patents Act, 1970 excludes ”plants and animals in whole or any part thereof
other than microorganisms” from patentability. To comply with the mandate of Arti -
cle 27.3 (b) of T R I P S , India adopted the P P V & F R Act, 2001 as a sui generis regime
protecting not only new plant varieties but also farmers’ rights.

8. H i sto r y of Traditi onal Kno wl ed ge :

Defi niti on: Traditional Knowledge ( T K ) is the ancient and indigenous knowledge held
by any community or a group of people. In olden times, it was not recorded anywhere
and was available only in oral form. So, Traditional Knowledge ( T K ) was verbally passed
on to future generations.
Scope: T K is not limited to a particular field. It covers a wide area, such as the use
of plants or their extracts for medical treatments, a traditional form of dance, particular
techniques used for hunting, craft knowledge/skills, and so on.
Transmission: Though there is no official record, some forms of T K find appearance in
the culture, stories, legends, folklore, rituals, songs, etc. Previously, there was no mech-
anism available to protect T K , but now, it has been recognized as Intellectual Property
Rights ( I P R ) under the T R I P S Agreement.
Government Initi ati ve: The Government of India has created a digital library termed
as Traditional Knowledge Digital Library ( T K D L ) as a repository of 2,50,000 formulations
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of various systems of Indian medicine.

9. H i sto r y of Industrial D e s i gn Protecti on

A design is a creation of the human mind, which is appealing to the eyes and attracts the
attention of the viewers. The need to protect Industrial Designs (ID) was recognized in
the 18th century, leading to the enactment of the ‘Patterns and Designs Act’ in 1872 for
the first time.

Transiti on Period: 1872 to 1911

The ‘Patterns and Designs Act’ of 1872 aimed to protect the rights over the creation
of designs and novel patterns by inventors. However, in 1907, this Act was replaced by
the British Patents and Designs Act, laying the foundation for the Indian Patents and
Designs Act, 1911.

Separati on of Acts: 1970

In 1970, a significant development occurred with the enactment of a separate Act for
patents, namely the Patent Act, 1970. The Indian Patents and Designs Act, 1911, con-
tinued to govern designs exclusively.

Dedicated A c t for Industrial Designs: 2000

Finally, in the year 2000, recognizing the distinct nature of Industrial Designs, a dedicated
Act for I D was passed. This Act came into force in 2001, marking a crucial milestone in
the protection of industrial designs in India.

10. H i sto r y of Biodiversity Conser vati on

Biodiversity is an inseparable part of human livelihood, with mentions of protecting bio-

diversity dating back to the times of Chandragupta and Ashoka. In those eras, trees and
forests were classified, establishing reserved categories.

Evoluti on of Legal Protecti on

In 1927, the ‘Indian Forest Act’ was a significant step towards legal protection for bio-
diversity. Later, the ‘Wildlife Protection Act, 1972’ was enacted, further strengthening
legal safeguards.
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Nati onal Forest Policy of 1988

The year 1988 saw the enactment of the ‘National Forest Policy’ bringing revolutionary
changes in the conservation and management of biodiversity in India.

A c t s and Policies for Environmental Protecti on

Several Acts and policies are in force to protect the environment and biodiversity in India.
These include the ‘Mining and Mineral Development Regulation Act, 1957, ‘Water (pre-
vention and control of pollution) Act, 1974, ‘Forest Conservation Act, 1980’, ‘Biological
Diversity Act, 2002’, ‘Scheduled Tribes and other Traditional Forest Dwellers (recogni-
tion of rights) Act, 2006, ‘National Biodiversity Action Plan, 2009, ‘National Environment
Policy, 2006’, and more.

7. M a j o r Amendments in I P L aws and A c t s in I n -

dia:

In order to fill the gaps existing in the I P Laws and Acts and also to introduce new
guidelines/directions based on the current scenario (socially and politically), each nation
keeps on updating the concerned I P Laws and Acts. Some of the salient amendments
made in Indian Laws and Acts on I P R are mentioned below :

Patents

1. 1856: The Act V I of 1856 on the protection of inventions based on the British
Patent Law of 1852.

2. 1859:

Rights renamed as ‘Exclusive Privileges.’

Time for priority increased from 6 months to 12 months.

3. 1883:

The Patterns and Designs Protection Act.

Introduction of novelty in the invention.
A grace period of 6 months for the disclosure of the invention.
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4. 1911: Renamed as ‘The Indian Patent and Design Act’ and brought under the
management of ‘Controller of Patents.’

5. 1930:

Introduction of Patent of Addition.

Government can use the invention if required.
The term of patent protection increased from 14 to 16 years.

6. 1945:

Filing of the provisional specification to secure the priority date.

Provision of submitting complete specifications within 9 months.

7. 1949: Dedicated Committee formed under the leadership of Justice Bakshi Tek
Chand for reviewing the patent system as per the national environment.

8. 1950:

A working statement needs to be submitted at the Patent Office.

Endorsement of the Patents with the words ‘License of Right’ on the
application made by the government so that the Controller could grant the
license.

9. 1952:

Provision of ‘Compulsory License’ in the areas of food, medicine, and

insecticide germicide.
Process for producing substance or any invention relating to surgical or
curative devices.

10. 1965: After incorporation of the recommendation submitted by the committee

formed in 1949, a new bill was introduced in Lok Sabha but was not cleared.

11. 1967:

Again submitted to Parliamentary Committee.

1911 Act remained applicable for Designs.

12. 1970: The Patent Act, 1970 passed by the Parliament Committee.

13. 1972: The Patent Act, 1970 came into force with the introduction of patent rules.
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14. 1995: T R I P S Agreement was signed by India and got a transition period 1995-2005
to make domestic laws compatible with T R I P S .

15. 1999:

Introducing the provisions for receiving the applications for the product
patent in the field of pharmaceuticals and agro-chemicals (mailbox).
Provisions for the grant of EMRs for distribution and sale of pharma
products on fulfillment of certain conditions.
Grant of E M R subject to certain conditions. (After the amendments
(1999), the product patents related to the pharmaceuticals and agrochemicals
were kept on hold for examination till 2005. It is called a mailbox or black
box.)

16. 2002:

The uniform 20-year term of the patent for all inventions.

Disclosure of source and geographical origin of biological material made
com- pulsory.
Establishment of Appellate Board.
Compulsory License provisions strengthened.

17. 2003: The Patents Rules, 2003 were introduced.

18. 2005:

Product patent for inventions in all fields of technology, including food,

drug, chemicals, and microorganisms.
New forms of known substances excluded to prevent the ever-greening of
the patent.
Introduction of pre-grant opposition.
Introduction of post-grant opposition.
Extension of grace period to 12 months.

C o pyr i g ht s and Related R i g h t s

19. 1847:

The concept of Copyrights in India was introduced.

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Validity - Lifetime+7 years but not more than 42 years in total.

20. 1914: Copyright Act, 1914 was introduced based on the Imperial Copyright Act,
1911 of the U K .

21. 1957: Copyright Act, 1914 was replaced with Copyright Act, 1957 with minor
modifications.

22. 1984: Penalty on second and subsequent conviction.

23. 1994: Registration of Copyright Society made mandatory.

24. 2012:

To comply with international Treaties for copyrights protection in the

digital environment.
Right to receive royalties for authors and music composers.
Exception of copyrights for physically disabled persons to access any work.

25. 2013: Copyrights Rules, 2013 introduced.

Tra d e ma r ks

26. 1940: Trademarks Registry established in India.

27. 1958: The Trade and Merchandise Marks Act, 1958 enacted as per T R I P S Agree-
ment.

28. 1999: Amended to avoid duplicity and ensure securing proprietors’ trade and good-
will.

29. 2002: Trademarks Rules introduced.

30. 2010:

Amended to comply with Madrid Protocol for international filing.

Provision for filing opposition of the registration within 4 months.

31. 2013: Trademarks Rules introduced.

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Geographical Indicati ons

32. 1999: Being a member of the World Trade Organization ( T R I P S ) , G I of goods

(Registration and Protection) Act was introduced.

33. 2002: The Geographical Indications of Goods (Registration and Protection) Rules,
2002 was introduced.

34. 2003: The Geographical Indications of Goods (Registration & Protection) Act came
into force.

Designs

35. 1872: Patterns and Designs Protection Act introduced for the protection of new
patterns and designs.

36. 1888: Amended as Invention and Design Act, 1988 for the protection of new inven-
tions and designs.

37. 1911: Renamed as The Indian Patent and Design Act.

38. 2000: Design Act, 2000 was introduced; separated from the Indian Patent and
Design Act.

39. 2001: Design Rules, 2001 introduced.

Semiconductor Integrated C i r c u i t s L ayo u t D e s i gn ( S I C L D )

40. 2000: Semiconductor Integrated Circuits Layout Design ( S I C L D ) Act 2000 intro-
duced as a signatory of W TO.

41. 2001: S I C L D Rules introduced.

Protecti on of P l a n t Varieti es and Farmers’ R i g h t s ( P P V & F R )

42. 1970: The Patent Act, 1970 excluded plants and animals in whole or in any part
from patentability (in 1999 amendments).
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43. 1991: Enactment of protection of new varieties of plants on a sui generis basis on
the lines of UPOV.

44. 2001: In line with T R I P S Agreement enactment of P P V & F R Act was introduced.

Biological Divers it y

45. 2002: The Biological Diversity Act, 2002 introduced on the lines of the Convention
on Biological Diversity ( C B D, 1992).

46. 2003:

Establishment of National Biodiversity Authority.

Designation of repositories under the Biological Diversity Act.

47. 2004: Biological Diversity Rules introduced.

C AT E G O R I E S O F I N T E L L E C T U A L P R O P E R T Y

Intellectual Property (IP) is a vast field comprising technology-led inventions, work of

artisans, novel Industrial Designs, unique brands of commercial items, and Traditional
Knowledge being practiced continuously over centuries for the production of goods (car-
pets, textiles, food products, etc.). In order to understand the extensive field of IP, it has
been divided into various categories. In India, these categories include:

Patents

Copyright and Related Ri ght s

Trademark

Trade Secrets

Industrial Designs

Geographical Indicati ons

Semiconductor Integrated Ci rc u i t s Layout Designs

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3.8 Patents

A patent is an exclusive right granted for an innovation that generally provides a new way
of doing something or offers a new technical solution to a problem. The exclusive right
legally protects the invention from being copied or reproduced by others. In return, the
invention must be disclosed in an application in a manner sufficiently clear and complete
to enable it to be replicated by a person with an ordinary level of skill in the relevant
field.

9. Conditi ons for Obtaining Patent Protecti on

There is a set criterion, as provided in Section 2(1)(j) of the Patents Act, 1970, which
must be fulfilled for a product or a process to qualify for the grant of a patent. The
criterion encompasses:

Novelty - Not part of ‘State of the Art’. The innovation claimed in the patent
application is new and not known to anybody in the world. In other words, the
innovation is a) not in the knowledge of the public, b) not published anywhere
through any means of publication, and c) not claimed in any other specification by
any other applicant.

Inventi ve Step - Not obvious to the person(s) skilled in the art. The
innovation is a) a technical advancement over the existing knowledge, b) possesses
economic significance, and c) not obvious to a person skilled in the concerned
subject.

Capable of Industrial Applicati on - For the benefit of society. The invention

is capable of being made or used in any industry.

10. To Patent or N o t to Patent an Inventi on

Once an invention has been developed, the inventor has to decide whether to exploit the
invention for personal benefits as provided by the statutory laws of the country or put
it in the public domain. By and large, the inventor prefers the former option. Only a
minuscule of inventions are placed in the public domain without claiming any benefits.
In the latter case, anybody can exploit the innovation for commercial or societal benefit
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without paying any money to the inventor.

If the owner of an invention wishes to seek monetary gains, he can choose from either
of the two options, i.e. patenting or Trade Secret. If the inventor is absolutely sure of
maintaining the secrecy of the invention for a very long period (maybe 100 years or more)
and the probability of reverse engineering of the technology is nil or very low, then the
‘Trade Secret’ category is preferred. If the invention has a short life span or can be kept
secret only for a small period of time (a couple of years or so) or the probability of reverse
engineering is high once the invention is in the public domain, then the ‘patent’ category
is preferred.

11. R i g h t s Associated with Patents

As per the Court of Law, a patent owner has the right to decide who may or may not use
the patented invention. In other words, the patent protection provided by the law states
that the invention cannot be commercially made, used, distributed, imported, or sold by
others without the patent owner’s consent. The patent owner may permit other parties
to use the invention on mutually agreed terms. As a matter of fact, the patent rights are
negative rights as the owner is restricting others from using the patent in any manner
without his prior permission. The patent holder may choose to sue the infringing party
to stop illegal use of the patent and also ask for compensation for the unauthorized use.

12. Enforcement of Patent R i g h t s

Enforcement is the process of ensuring compliance with laws, regulations, rules, standards,
and social norms. Patent rights are usually enforced by the judicial courts. The Court
of Law has the authority to stop patent infringement. However, the main responsibility
for monitoring, identifying, and taking action against infringers of a patent lies with the
patent owner.
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3.13 Inventi ons Eligible for Patenti ng

Ran ge of Patentable Inventi ons: Patents may cover inventions in diverse fields, from
everyday items like paper clips to advanced technologies such as nanotechnology chips or
genetically modified organisms.

Misconcepti ons about Patent Awards: Contrary to common belief, patents are not
exclusive to major scientific breakthroughs. Many patents are granted for incremental
improvements over existing inventions.

Examples of Patentable Molecules: Single molecules, like penicillins, and their

derivatives can receive multiple patents. These derivatives, achieved through structural
modifications, exhibit new and improved properties.

Ever yday Products with Patents: Various everyday products, including toothbrushes,
shoes, pens, eyeglasses, textiles, and electronic devices, often incorporate patented tech-
nologies. Complex products like laptops, cars, and mobile phones may involve numerous
patented components.

3.14 Non-Patentable Matt ers

The Patent Act, 1970 outlines certain exclusions regarding products and processes that
are not eligible for patents. These exclusions include:

Inventi ons Co nt rar y to Pu b l i c Morality: Examples: Methods for human cloning,

methods for gambling. Mere Discovery
Examples: Discovery of a new micro-organism occurring freely in nature, laws of gravity.

Discovery of a New Form of a K n o w n Substance

Examples: Use of aspirin for heart treatment, which was originally patented for reducing
fever and mild pains.

Frivolous Inventi on
Examples: Dough supplemented with herbs merely changing the taste, a 100 years calen-
dar, bus timetable.
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Arrangement or Rearrangement Examples: An umbrella fitted with a fan, a torch

attached to a bucket.

Inventi ons falling within Secti on 20(1) of the Atomic E n e rgy A c t , 1962
Examples: Inventions related to compounds of Uranium, Beryllium, Thorium, Plutonium,
Radium, Graphite, Lithium, and more as notified by the Central Government.

Literary, Dramati c, Musical, Arti sti c Work

Examples: Books, sculptures, drawings, paintings, computer programmes, mathematical
calculations, online chatting method, method of teaching, method of learning a language,
as they fall under the Copyright Act, 1957.

Topography of Integrated Ci rc u i t s
Protection of layout designs of integrated circuits is provided separately under the Semi-
conductor Integrated Circuit Layout Designs Act, 2000.

Plants and Animals

Plants and animals in whole or in part, including seeds, varieties, and species, along with
essentially biological processes for the production or propagation of plants and animals,
are excluded from patent protection.

Traditi onal Knowledge An invention that effectively represents traditional knowledge

or is an aggregation or duplication of known properties of traditionally known components
is also excluded.

3.15 Patent Infringements :

Once a patent is granted to the applicant, they gain the exclusive right to use or exploit
the invention in any capacity. Unauthorized use of the invention without prior permission
from the owner constitutes patent infringement. Infringements can be categorized into
two types:

Direct Infringement: Occurs when a product is substantially close to any patented

product or when the marketing or commercial use of the invention is carried out without
the owner’s permission.
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Indirect Infringement
Occurs when some amount of deceit or accidental infringement happens without any
intentional infringement.

In case of patent infringement, the patentee has the right to sue the infringer through
judicial intervention. Countries have specific laws to address such unlawful acts, and the
patentee may seek the following reliefs:

Interlocutory/Interim Injunction

Damages or Accounts of Profits

Permanent Injunction

It is essential to note that the Central government retains the right (Section 100 of the
Patent Act, 1970, Rule 32 of the Patent Rules, 2003) to use the invention in cases of
national emergency or other circumstances of extreme urgency after notifying the owner.

3.16 Av o i d P u b l i c Disclosure of an Inventi on

before Patenti ng

Generally, an invention that has been either published or publicly displayed cannot be
patented, as the claimed invention will lose the ‘Novelty’ criterion. However, under certain
circumstances, the Patents Act provides a grace period of 12 months for filing a patent
application from the date of its publication in a journal or presentation in a reputed
scientific society or exhibition.

Sometimes, disclosure of an invention before filing a patent application is unavoidable, for

example, selling your invention to a potential investor or a business partner who would
like to know complete details of the invention to judge its commercial value. In such
cases, it is advisable to sign a Non-Disclosure Agreement (NDA) or any other confidential
agreement to safeguard your interest.
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3.17 Process of Patenti ng :

In India, the process of granting a patent is a lengthy procedure that may take anywhere
from 3-4 years or more. The major steps involved in this process are:

1. Prior art search,

2. Choice of Application to be Filed,

3. Patent Application Forms,

4. Jurisdiction of Filing Patent Application,

5. Publication,

6. Pre-grant Opposition,

7. Examination,

8. Grant of a Patent,

9. Validity of Patent Protection,

10. Post-grant Opposition.

Some major steps involved in this process are listed in the following figure.

1. P r i o r A r t Search:
Before an inventor embarks upon the patent filing process, he has to ensure that his
invention is ‘novel’ as per the criterion for the grant of a patent. For this, he has
to check whether or not his invention already exists in the public domain. For this,
he needs to read patent documents and Non-Patent Literature (NPL), scientific jour-
nals/reports/magazines, etc. The information lying in the public domain in any form,
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either before the filing of the patent application or the priority date of the patent appli-
cation claiming the invention, is termed as Prior Art.

Conducting a prior art search before filing the patent has advantages as it averts infringe-
ment, tracks research and development, and provides access to detailed information on
the invention. The prior art search is carried out on the parameters such as novelty,
patentability, state of the art, infringement, validity, and freedom to operate. The com-
monly used databases for prior art search fall into two categories: Patents Databases and
NPL.

Patents’ Databases :

Indian Patent Advanced Search System (InPASS-

h tt p : / / i p i n d i a s e r v i c e s . g o v. in/publicsearch/).

Patentscope (WIPO- htt ps://[Link]/patentscope/en/).

Espacenet (EU- htt ps://[Link]/patent/).

U S P TO (USA- htt ps://[Link]/).

Google Patents Advanced Search (htt ps://[Link]/advanced).

Orbit Intelligence (htt ps://[Link]/business-intelligence-sof

tware/ o r b i t- i n te l l i g e n c e /) .

Derwent Innovation (
htt ps://[Link]/derwent/soluti ons/derwent-innovati on/).

P R O Q U E S T (htt ps://[Link]/search/?searchKeyword=patent+).

Non-Patent Literature ( N P L ) :

Scholarly publications: Handbooks, Textbooks, Withdrawn Patents,

Encyclopedias, Journals ( I E E E , Research Gate, Springer, Wiley Online Library,
etc.), Dissertations, NCBI’s PubMed, Conference Proceedings, Technical Reports,
Public Conferences, etc.

Industry/trade publications: Industry reviews and public disclosures (Social

media, YouTube, Books, Magazines, Datasheets, Blueprints, etc.).

Others: Newspapers, Websites, Technology blogs, Researchers’ websites, etc.

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Although the majority of N P L data is available freely on the public forum, some of the
journals are paid and can be accessed after paying the subscription. Major Patent Offices
such as the United States Patent and Trademark Office’s (USPTO), European Patent
Office (EP O), Japan Patent Office (JPO), etc. are maintaining in-house N P L databases
to make patents examination more effective.

[Link] of Applicati on to be Filed - Once a decision has been made to patent the in-
vention, the next step is, what kind of application needs to be filed i.e. provisional patent
application or complete (Final) patent application - generally, the provisional patent ap-
plication is preferred for the following reasons:

It is cheaper, takes less time, and involves fewer formalities.

Any improvements made in the invention after the filing of the provisional
applica- tion can be included in the final application. In other words, the provisional
appli- cation does not require complete specifications of the inventions. The
application can be filed even though some data is yet to be collected from pending
experiments.

A provisional application allows you to secure a priority date for the patent
applied.

However, it is mandatory to file the complete patent application within one year of the
filing of the provisional application; otherwise, the application stands rejected.

3. Patent Applicati on Forms:

As per the Patent Act, 1970 (Section 39) and the Patents Rules, 2003 (Rule 7,
54, 135 and subrule (1) of rule 20, the application for the grant of patent is filed using
Form-1 and Form-2.

The information sought in Form-1 is general in nature i.e. Title of Application,

Names of Applicant(s) and Inventor(s), Type of Application (Ordinary, Convention,
P C T- N P ( P C T- National Phase), Divisional, Patent of Addition, etc.).

Whereas Form-2 seeks technical information and whether to file the provisional
application or complete the application.

For ‘Provisional Application’, only ‘Description of the Invention’ and the

‘Abstract’ is to be furnished. Whereas, ‘Complete Application’ requires ‘Description
of the Invention’, ‘Abstract’, ‘Claims’ and the manner in which invention has to be
per- formed.
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The ‘Claims’ of the patent are a very crucial part of the specifications because
they define the actual boundary of the invention.

‘Claims’ specify what is actually claimed by the invention and what is being
sought to be protected. It clearly describes what the patent does and does not
cover.

The Claims are usually expressed as a declaration of technical particulars

articulated in legal terms.

Claims can be classified into two types

a) Independent Claims (stand alone claim) and
b) Dependent Claims (dependent on independent claim).

The Claims must be drafted precisely and carefully in order to seek patent
protection and also to protect the invention against potential infringers.

4. Jurisdicti on of F i l i n g Patent Applicati on

India has four offices for filing patent applications(Refer the following table).

The applications can be filed only in one of the offices based on the applicant’s
residence or domicile or place of business or origin of the invention. These are
termed as jurisdictions to file patents.

Region/Offi ce Territorial Jurisdicti on

West Region : Patent The States of Maharashtra, Gujarat, Madhya Pradesh,
Office Branch, Mumbai Goa and Chhatti sgarh and the Union and the Territories
of Daman and Diu & Dadra and Nagar Haveli

South Region :Patent The States of Andhra Pradesh, Karnataka, Kerala, Tamil
Office Branch, Chennai Nadu, Telangana and the Union and the Territories of
Pondicherry and Lakshadweep

No r t h Region :Patent The States of Haryana, Himachal Pradesh, Punjab, Ra-

Office Branch, New Delhi jasthan, Uttar Pradesh, Utarakhand, Delhi and the
Union Territory of Chandigarh, Jammu and Kashmir and
Ladakh.

Patent Office,Kolkata The rest of India.

For a foreign applicant, the address for service in India or place of business of
his patent agent determines the appropriate Patent Office for filing a patent
application.
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In the case of joint applications, all the applicants are bestowed with equal
rights and consideration.

5. Publicati on:

Once the patent application has been filed at the Regional Patent Office, the
patent application is kept secret for 18 months in the Patent Office.

After the expiry of 18 months (from the date of filing of the application or the pri-
ority claimed date, whichever is earlier), the application is published in the Official
Journal of Patent Office (htt p://[Link]/[Link]).

The purpose of publishing the application is to inform the public about the
invention.
The publication of an application is a mandatory step.

6. Pre-grant Oppositi on:

If anybody has an objection to the invention claimed in the patent application,

he can challenge the application by approaching the Controller of Patents within 6
months from the date of publication. It is termed as Pre-grant Opposition.

Depending on the outcome of the case, the patent application may be rejected or
recommended for the next step, i.e. patent examination.

Although the patent application is kept secret for 18 months, under special
circum- stances, this period can be reduced when the patentee(A
person/Organization who owns the patent (granted))/applicant plans to sell or
license the patent or seek an investor.

For this, the applicant has to fill a Form-9 and submit it to the Controller
General.

7. Examinati on:

Patent examination is a critical step in the process of grant of a patent. All the
important criteria (novel, inventive step, etc.) are scrutinized by the professionals
depending on the content of the invention.

Usually, the examiner raises certain queries/doubts which need to be addressed

by the inventors. Once the examiner is satisfied with the answers received from the
inventors, the application is recommended for the grant of a patent.
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It is pertinent to mention that a patent application is not examined

automatically after clearing the publication stage.

The applicant or his representative has to make a request for examination of the
patent by filing Form-18A and submitting the same within 48 months from the date
of filing of the application.

8. G rant of a Patent:

After fulfilling all the requirements for the grant of a patent, including all objec-
tions/queries raised by the ‘Patent Examiner’ and the public at large, the patent is
granted to the applicant.

The granted patent is published in the Official Journal of the Patent Office.

This journal is published every Friday and contains information related to patent
applications published under section (u/s) 11A, post-grant publication, restoration
of patent, notifications, list of non-working patents and public notices issued by the
Patent Office.

9. Validity of Patent Protecti on:

The patent protection is granted to an applicant for a limited period, generally 20

years, starting from the date of filing of the application.

Once a patent is granted for an invention in India, the next vital step is to ensure
that it is renewed annually by paying Patent Renewal Fee as per Section 53, Rule 80
of the Indian Patents Act, till the expiry of the patent grant period. Non-payment
of Patent Renewal Fee might result in the cancellation of the patent.

In some countries, patent protection may be extended beyond 20 years. The ex-
tension aims to compensate for the time expended on the administrative approval
procedure before products can be put on the market.

The time taken for this procedure means that the patent owner may sometimes
not be able to benefit from his right for a considerable period after the grant of the
patent.

[Link]-grant Oppositi on : Once the patent has been granted by the Patent Office, it
still can be challenged by anyone within one year from the date of publication of the grant
of the patent. The granted patent can be challenged either via a Patent Office or
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in a Court of Law. These bodies may invalidate or revoke a patent upon a successful
challenge by the interested party on the grounds mentioned below :

The applicant for the patent wrongfully obtained the invention or any part of the
invention.

The invention claimed has been published before the priority date.

The invention claimed was publicly known/used before the priority date.

The invention claimed is obvious and does not involve an inventive step.

The subject of the claim is not patentable as per Chapter I I of the Patent Act,
1970.

The details/specifications of the invention do not sufficiently and clearly

describe the invention.

3.18 Commercializati on of a Patent :

The patent owner may grant permission to an individual/organization/industry

to make, use, and sell his patented invention. This takes place according to agreed
terms and conditions between the involving parties.

A patent owner may grant a license to a third party for the reasons mentioned
below:

– The patent owner has a decent job (e.g., university professor) and has no desire
or aptitude to exploit the patent on his own.
– The patent owner may not have the necessary manufacturing facilities.
– The manufacturing facility is not able to meet the market demand.
– The patent owner wishes to concentrate on one geographic market; for other
geographical markets, he may choose to license the patent rights.

Once the patent is granted, the patentee (person holding the rights to the patent)
enjoys the exclusive rights to use the patented invention.

Only the patentee has the right to license or deal with the patent for any delibera-
tions. Although the validity of the granted patent is for 20 years (from the date of
filing a patent application), the patentee is required to furnish information (Form-
27) annually relating to the commercialization/selling of the patent. It is called as
’Working/Licensing of the Patent’.
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The licensing of a patent can be exclusive or non-exclusive.

In an Exclusive Licence, the patent is sold to only one individual/organization

for a fixed time period. During this time period, no other person or entity can
exploit the relevant I P except the named licensee.

In a Non-Exclusive Licence, a patentee can sell his patent rights to as many

individuals/parties as he likes.

If the patentee is not able to commercialize his patent within three years from the
date of the grant of a patent, any person may submit an application to the Controller
of Patents for the grant of Compulsory Licensing (of the patent), subject to the
fulfillment of the following conditions:

– Reasonable requirements of the public concerning the patented invention have

not been satisfied.
– The patented invention is not available to the public at a reasonable price.
– The patented invention is not worked in the territory of India.

19. Need for a Patent Att o r n ey /A ge nt

In general, applicants can prepare their patent applications and file them without
assistance from a patent attorney.

However, given the complexity of patent documents, it is advisable to seek legal

assistance from a patent attorney/agent when drafting a patent application.

Furthermore, the legislation of many countries requires that an applicant, whose

or- dinary residence or principal place of business is outside the country, be
represented by an attorney or agent qualified in the country (which usually means an
agent or attorney who resides and practices in that country).

20. C a n a Worldwide Patent be Obtained

There is no such term as ‘Universal Patent’ or ‘World Patent’ or ‘International

Patent’ as the patent rights are territorial.
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An application for a patent must be filed with a Patent Office of the country in
which one wishes to seek patent protection. Unfortunately, this option becomes
laborious, cumbersome, timeconsuming and expensive if one wishes to file a patent
application in many countries.

To ease out this issue, many Regional Offices have been established which receive
patent applications on behalf of a group of nations e.g. European Patent Office and
African Regional Intellectual Property Organization.

A single application is sufficient to cover many nations that are members of a par-
ticular regional office/organization.

However, if one wishes to seek patent protection in several countries worldwide,

it is preferred to file an international patent under the Patent Cooperation Treaty
(PCT).

The only condition is that the applicant’s country should be a member of P C T.

India, along with over 190 nations, is a member of P C T.

3.21 D o I Need F i r s t to F i l e a Patent in India

Yes, in general, Indian residents are required to file the patent application first in India.
Subsequently, they may file for patent protection in other countries. However, prior
approval is needed from the Patent Office. This approval can be waived off under the
following circumstances:

The applicant is not an Indian resident.

If 6 weeks have expired since the patent application was filed in India by an
Indian resident.

If two or more inventors are working on an invention in a foreign country and one
of the inventors is an Indian resident. The invention does not have a potential
market in India, and hence the Indian resident seeks Foreign Filing Permission
( F F P ) from an Indian Patent Office.

In case of international collaboration, if one part of the invention originated in

India and the inventor is an Indian resident, he has to seek permission to file the
patent outside India.
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If the invention is related to defense or atomic energy or utility model, the

inventor(s) need to seek permission from the Indian Patent Office because inventions
related to these domains are not the subject matter of patentability in India.

3.22 Patent Related Form s :

There are over 30 patent-related forms. Some of Important Patent Application Forms are
mentioned below.

For m T i t l e of Form
No.
1 Application for a grant of a patent
2 Provisional/Complete specifications
7 Notice of opposition on grant of a patent
7A For filing a representation opposing grant of a patent
17 Application for compulsory license
18 Request for examination of the application for patent
21 Request for termination of compulsory license
22 Application for registration of patent agent
27 Statement regarding the working of the patented invention on a com-
mercial scale in India
30 Miscellaneous form to be used when no other form is prescribed

3.23 Fee Structure

As per the Patent Act, 1970, and The Patents Rules (1972), the requisite fee has been
specified based on the type of form/s to be submitted to the Office (See the Table).
Electronically filed applications are 10% cheaper than physical filing.
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Item Natural Small E nti t y Others Alone or

Per- Alone or with with Natural Per-
son/Startup Natural son/Startup/Small
(Rupees) Per- E nti t y (Rupees)
son/Startup
(Rupees)

Provisional/Complete 1,600 4,000 8,000

Specifications
Request for Early Publica- 2,500 6,250 12,500
tion
Request for Examination 4,000 10,000 20,000
Express Request for Exam- 5,600 14,000 28,000
ination
Renewal Fees (Annually)
3rd to 6th Year 800 2,000 4,000
6th to 10th Year 2,400 6,000 12,000
11th to 15th Year 4,800 12,000 24,000
16th to 20th Year 8,000 20,000 40,000

3.24 Ty p e s of Patent Applicati ons:

Provisional Applicati on - A patent application filed when the invention is not

fully finalized and some part of the invention is still under experimentation. Such
type of application helps to obtain the priority date for the invention.

Ordinary Applicati on - A patent application filed with complete

specifications and claims but without claiming any priority date.

P C T Applicati on - An international application filed in accordance with

P C T. A single application can be filed to seek patent protection and claim priority
in all the member countries of P C T.

Divisional Applicati on - When an application claims more than one

invention, the applicant on his own or to meet the official objection on the ground of
plurality may divide the application and file two or more applications. This
application divided out of the parent one is known as a Divisional Application.
The priority date for all the divisional applications will be the same as that of the
main (the Parent) Application (Ante-dating).
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Patent of Additi on Applicati on - When an invention is a slight modification

of the earlier invention for which the patentee has already applied for or has
obtained a patent, the applicant can go for ’Patent of Addition’, if the modification
in the invention is new. Benefit - There is no need to pay a separate renewal fee for
the ’Patent of Addition’, during the term of the main patent. It expires along with
the main patent.

Conventi on Applicati on - If a patent application has been filed in the Indian

Patent Office, and the applicant wishes to file the same invention in the one or
more Convention countries (e.g., Paris Convention) by claiming the same priority
date on which the application was filed in India, such an application is known as
Convention Application. The applicant has to file Convention Application within
12 months from the date of filing in India to claim the same priority date.

3.25 C o m m o n l y Used Term s in Patenti ng

There are certain terms that are commonly used in the field of patenting, as listed in
following table.

Sl. No. Ter m Defi niti on

1 Inventor Creator of an invention
2 Applicant Organization/individual/industry that files a patent
application or applies for a patent
3 Patentee A person/organization who owns the patent (granted)
4 Licensee Organization/individual/industry which obtains a li-
cense of the patent from the Patentee for commercial-
ization purpose

5 Assignee A person in whose name patent has been assigned

legally
6 In force The applicant is paying the annuity (renewal fee) for
the patent to keep it alive (Active Patent)
7 Working of a Patent The selling of a patent to an individual/party for com-
mercial exploitation is called the working of a patent
8 Patent Specification Written description of the invention and the way of
representation and process of making and using the
same
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9 Priority Right A time-limited right, activated by the first filing of an

application for a patent
10 Priority Date The claimed date on which the first application for
the invention is filed
11 Patent Claims The scope of the protection conferred by a patent,
or the protection sought in a patent application. The
purpose of the claims is to define which subject matter
is protected by the patent

12 National Phase Application An application filed to obtain patents in different

countries simultaneously based on a single Interna-
ti onal/PCT application

13 Patent Revocation Cancellation of the patent due to certain reasons,

such as lack of patentability or wrongfully obtaining
a patent

14 Restoration of Patent Once a patent has ceased (e.g., due to non-payment of

the fee), it can be restored within a permitted period
by paying the requisite fee

3.26 Nati onal Bodies Dealing with Patent Aff airs:

There are many departments/organizations/bodies dealing with various aspects of patents,

namely:

1. T h e Indian Patent Offi ce ( I P O ) : The Office of the Controller General of

Patents, Designs and Trade Marks generally known as the Indian Patent Office, is an
agency under the Department for Promotion of Industry and Internal Trade which
admin- isters the Indian law of Patents, Designs and Trade Marks.

2. Department for Promoti on for Industry and Internal Trade ( D P I I T ) :

D P I I T, earlier known as the Department of Industrial Policy and Promotion
(DIPP), under the Ministry of Commerce and Industry, Govt. of India, is the apex
I P body. It came into existence in 1995 and is the main body for regulating and
administering the industrial sector.
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3. Technology Informati on, Forecasti ng and Assessment Council ( T I F A C ) :

The importance of undertaking technology forecasting and assessment studies on a
systematic and continuing basis was highlighted in the Government of India’s Tech-
nology Policy Statement ( T P S ) of 1983. Therefore in 1985, T I FA C was established
as an autonomous body, registered as a Society in 1988, under the Department of
Science and Technology. It is an important cog in filling a critical gap in the overall
Science and Technology system of India. Its mission is to assess the state-of-art
of technologies and set directions for future technological developments in India in
important socio-economic sectors.

4. Nati onal Research Development Corporati on ( N R D C ) : N R D C , an enter-

prise of Department of Scientific & Industrial Research (DSIR), Govt. of India,
was set up in 1953 with a mandate to develop, promote and transfer/commercialize
I P and technologies emanating from Higher Education Institutes (HEIs), R & D re-
search laboratories/institutions and Public Sector Undertakings (PSUs). N R D C
has a repository of 2500 Indian technologies, filed over 1700 Patents and transferred
about 5000 technologies in different sectors in India. It has also created a tech-
nology data bank ([Link] containing information regarding
technologies available in various fields, such as electrical & electronics, mechanical,
coil, mining, biotechnology, healthcare, leather, etc.

3.27 U ti l i ty Models:

In many cases, a new invention involves an incremental improvement over the existing
products, but this technical improvement is not sufficient enough to pass the stringent
criterion of ‘Novelty’ and ‘Non-obviousness’ set aside for the grant of a patent. Such
small innovations can still be legally protected in some countries and termed as ‘Uti lity
Models’ or ‘Pett y Patents’ or ‘Innovati on Patents’. In this case, the criterion of
‘Novelty’ and ‘Non-obviousness’ are diluted or relinquished. But the requirement of in-
dustrial application or utility is the same as that for patents.

Defi niti on of Uti lity Models : Utility Models, also known as ’Petty Patents’ or ’In-
novation Patents,’ represent a form of intellectual property protection for incremental
improvements over existing products.

Diff erences from Patents: While patents demand a higher threshold for ’Novelty’
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and ’Non-obviousness,’ Utility Models provide a more accessible option for smaller inno-
vations. The industrial application or utility requirement remains consistent with patents.

Benefi ts for M S M E s : Utility Models serve as a valuable tool for Micro, Small, and
Medium Enterprises (MSMEs), offering a less rigorous and cost-effective alternative to
patents. This is particularly beneficial for MSMEs with limited resources for intensive
research and development.

Durati on and Global Recogniti on : The lifespan of a Utility Model is typically shorter
than patents, varying from 7-15 years in different countries. Approximately 80 countries,
including France, Germany, Japan, South Korea, China, Finland, Russian Federation,
and Spain, recognize and provide protection for Utility Models under their Intellectual
Property Rights ( I P R ) laws.

Cu r rent Status in India: As of now, India does not officially recognize utility patents.
The inclusion of utility patents in India’s I P protection framework could significantly
impact the annual number of filed and granted patents.

Additi onal Informati on

The patent system in India is governed by the Patents Act, 1970 (No.39 of 1970) as
amended by the Patents (Amendment) Act 2005 and the Patents Rules, 2003. The
Patent Rules are regularly amended in accordance with the changing environment, with
the most recent update in 2020.

Historical Note : The first patent filed in India dates back to 3rd March 1856. George
Alfred DePenning, a civil engineer and inventor from Calcutta, India, submitted the first
petition for the grant of Exclusive Privileges (a term used for patents at that time) for
his invention called ’An Effi cient Punkah-Pulling Machine’. This patent marked the in-
ception of the patenting tradition in India.

Budapest Treaty (1977): According to the Budapest Treaty (1977), microorganisms

involved in the patent disclosure procedure must be deposited with units of the Interna-
tional Depositary Authority (IDA).

Impactf ul Patents: Edison’s Electric Bulb (1880) Patent Number: US 223 898
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T h e Telephone (1876): Patent Number: US 174 465

The first telephone was invented and patented by Alexander Graham Bell in 1876. Bell
went on to co-found the American Telephone & Telegraph Company (AT & T ), which later
expanded to control all telecommunications and became the world’s most significant in-
dustry.

Most Patents Granted : Japanese inventor Shunpei Yamazaki holds the record for
the maximum number of patents (9700) granted in a span of 49 years (1972-December
2020) at an impressive rate of 196 patents per year.

Most Patents Granted to a Person of Indian Origin : Gurtej Sandhu holds the
record for the maximum number of patents (1299) granted to a person of Indian origin
in a span of 30 years (1991-December 2020) at the rate of 43 patents per year.

Questi on B a n k

1. How does Intellectual Property (IP) play a crucial role in the economic and cul-
tural development of society. (or) Describe the role of Intellectual Property in the
economic and cultural development of a society

2. Examine and elucidate the roles played by national agencies and international or-
ganizations in the governance of intellectual property (IP).

3. What is the role of national agencies and international organizations in governing

and regulating intellectual property (IP) matters?

4. Analyze the origin of I P and the major amendments in I P laws and acts in India.

5. Discuss the historical evolution of intellectual property (IP) in India.

6. Analyze the notable amendments made to intellectual property (IP) laws and
acts in India, considering key changes, legislative developments, and their
implications across different I P domains.

7. Discuss the categories of non-patentable matters (or) What types of inventions are
not patentable in India?

8. What are the criteria of patentability?

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9. Describe what types of inventions are eligible for patenting and which ones are not.
Support your answer with examples.

10. Elaborate on the steps and requirements involved in the patenting process in India.

11. Explain the meaning of ’Prior Art Search’ and emphasize its significance in the
process of patenting. Also, provide an outline of how to conduct it.

12. Discuss the difference between Pre-grant Opposition and Post-grant Opposition in
the context of patenting. How do they serve to maintain the validity of patent
protection?

13. Can one obtain a worldwide patent or first need to file a patent in India? Discuss
with all the procedures involved.

14. Explain the commonly used terms in the field of patenting.

15. Discuss the process of patenting an invention and the conditions for obtaining a
patent.

16. What are the rights associated with patents and how can they be enforced? (or)
Discuss the rights given to patent holders and outline the methods used for enforcing
these rights.

17. What are the different types of Patent Applications? Illustrate with examples.

18. Describe the types of patent applications and the need for a patent attorney or
agent in the process of patenting.

19. Explore the concept of Patent Infringements and the measures to avoid them.

20. Explain the effect of public disclosure of an invention before patenting and the
significance of choosing the proper jurisdiction for filing a patent application.

21. Discuss the concept and importance of Utility models in contrast to patents. What
economic and innovation-driven implications does each carry?

22. Why is the choice of application crucial in the patenting process and how does it
influence the jurisdiction of filing a Patent Application?

23. Evaluate the evolution of copyright laws in India with a focus on the amendments
made in the digital age. How have these changes addressed emerging challenges?

24. Compare and contrast the evolution of trademark laws in India before and after the
Trade Marks Act of 1999. Highlight the major changes and their implications.
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25. Trace the evolution of plant varieties protection in India from the exclusion under
the Indian Patents Act, 1970, to the enactment of the Protection of Plant Varieties
and Farmers’ Rights Act, 2001.

26. Analyze the role of the National Biodiversity Action Plan, 2009, in biodiversity
conservation in India. Highlight key provisions and their implications.

27. Explain the amendments made to the Indian Patents Act in 2005 and their signifi-
cance in the context of global Intellectual Property standards.

28. Discuss the decision-making process an inventor goes through when determining
whether to patent an invention or place it in the public domain, emphasizing the
factors that influence this choice

29. Discuss the process of commercialization of a patent, highlighting how a patent

owner can grant permission to individuals or organizations to make, use, and sell
the patented invention

30. Explore the concept of exclusive and non-exclusive licenses in the context of patent
commercialization, providing examples of each and discussing their implications.

31. Examine the role and importance of a patent attorney/agent in the process of draft-
ing and filing patent applications?

32. Evaluate the concept of a ’Worldwide Patent’ and discuss why patent rights are
considered territorial.

33. Can a worldwide patent be obtained? Explain. (or) Can a worldwide patent be
obtained? Explain the process, benefits and drawbacks of obtaining a worldwide
patent.

34. What is the pre-grant and post-grant opposition in patent law, and how do they
differ?

35. Discuss the general requirement for Indian residents to first file a patent application
in India before seeking protection in other countries

36. What is the significance of utility models in patent law? Discuss some commonly
used terms in patenting.

37. Discuss the concept of Patent Infringements and demonstrate how public disclosure
of an invention before patenting can lead to it.
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38. Describe what types of inventions are eligible for patenting and which ones are not.
Support your answer with examples.

39. Explain the meaning of ’Prior Art Search’ and emphasize its significance in the
process of patenting. Also, provide an outline of how to conduct it.

40. What role does a Patent Attorney/Agent play in the patenting process?

41. Explain the role of intellectual property in both economic and cultural development
within a society.

42. Discuss the historical origin and evolution of intellectual property in India.

43. Explain the essential conditions that an invention must fulfill to obtain patent pro-
tection.

44. Outline the step-by-step process of patenting an invention, from prior art search to
publication and grant.
Module 4

Co pyrights and Related R i g ht s

Syllabus:

Copyrights and Related Rights: Classes of Copyrights. Criteria for Copyright. Own-
ership of Copyright. Copyrights of the Author. Copyright Infringements. Copyright
Infringement is a Criminal Offence. Copyright Infringement is a Cognizable Offence. Fair
Use Doctrine. Copyrights and Internet. Non-Copyright Work. Copyright Registration.
Judicial Powers of the Registrar of Copyrights. Fee Structure. Copyright Symbol. Valid-
ity of Copyright. Copyright Profile of India. Copyright and the word ‘Publish’. Transfer
of Copyrights to a Publisher. Copyrights and the Word ‘Adaptation’. Copyrights and the
Word ‘Indian Work’. Joint Authorship. Copyright Society. Copyright Board. Copyright
Enforcement Advisory Council ( C E A C ) . International Copyright Agreements, Conven-
tions and Treaties. Interesting Copyrights Cases.
Trademarks: Eligibility Criteria. Who Can Apply for a Trademark. Acts and Laws.
Designation of Trademark Symbols. Classification of Trademarks. Registration of a
Trademark is Not Compulsory. Validity of Trademark. Types of Trademark Registered
in India. Trademark Registry. Process for Trademarks Registration. Prior Art Search.
Famous Case Law: Coca-Cola Company vs. Bisleri International Pvt. Ltd.
Textbook :
Intellectual Property A Primer for Academia by Prof. Rupinder Tewari Ms. Mamta
Bhardwaj
Reference Book:
Intellectual Property Rights by [Link] Asia Law House 6th Edition. ISBN: 978- 93-
81849-30-9.

125
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4.1 Copyrights and Related R i g h t s

Copyrights :
‘Copyrights’ refer to the legal rights provided by law to the original creator of the work
in the fields of literature and computer software. The ’Related Rights’ encompass the au-
thor’s work in the fields of dramatics, sound recording, film/video recordings, paintings,
architecture, etc.
Copyrights and Related Ri ght s as Categories of I P :
Copyrights and Related Rights are one of the categories of I P and governed by the Copy-
right Act, 1957 of India. This Act provides rights of reproduction, communication to the
masses, adaptation, and translation of the work.

4.2 Classes of C o py r i g ht s ( Ty p e s or Categories)

In India, following classes of Copyrights exist:

[Link]

Books, Essays, Research articles, Oral speeches, Lectures, Compilations

Computer programme, Software, Databases

[Link] cs

Screenplays

Dramas

3. Sound Recordings
Recording of sounds regardless of the medium on which such recording is made, e.g., a
Phonogram and a CD-ROM.
4. Ar ti sti c

Drawing, Painting, Logo, Map, Chart, Photographs

Work of Architecture, Engravings, and Craftsmanship

5. Musical
Musical notations, excluding any words or any action intended to be sung, spoken, or
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performed with the music. A musical work need not be written down to enjoy Copyright
protection.
6. Cinematograph F i l ms
‘Cinematograph Film‘ is a visual recording performed by any medium, formed through a
process and includes a sound recording. For example, Motion Pictures, T V Programmes,
Visual Recording, Sound Recording, etc.
K e y Terms A u t h o r and Work in Copyrights :

The words ‘author’ and ’work’ need to be understood from the perspective of
Copy- rights. The term ’author’ refers to an individual who develops the content (of
work). The author can be a writer (literary work), computer programmer (software),
com- poser (musical work), producer (cinema films, sound recording), photographer
(pho- tos).

The term ’work’ is a task undertaken in the fields of literature, dramas, music,
artistic, cinematograph film, and sound recording.

4.3 C ri te r i a for C o py r i g ht

1. Qualifi cati on for Copyright Protecti on

To qualify for Copyright protection, a work must exist in some physical (or tangible)
form. The duration of the existence of the physical form may vary from a very short
period to many years. Virtually any form of expression which can be viewed or listened
to is eligible to qualify as Copyright. Even hurriedly scribbled notes for an impromptu
speech are considered copyrightable material.
2. Originality and Original Work of Authorship ( O WA )
The Copyright work has to be expressed by the creator in his frame of thought. In other
words, the work has to be original, i.e., the author created it from independent think-
ing void of duplication. This type of work is termed as an Original Work of Authorship
(OWA). It may appear similar to already existing works but should not be the same. The
original work may lack quality or quantity or aesthetic merit or all these parameters; still,
it will pass the test of copyrightable work.
[Link] ve effort: In addition to originality for the work, Copyright protection also re-
quires at least some creati ve effort on the part of the author. There is no minimum limit
for the extent of creativeness; it is a subjective matter. The minimal level of creativity
needed for Copyright protection depends on the judgment of the evaluator (adjudicated
by the Office of Registrar of Copyright).
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As an example, mere changing the dimensions of a book will not be granted Copyright
protection. Similarly, an address book of alphabetically arranged telephone numbers does
not qualify for Copyright protection as it involves a straightforward alphabetical listing
of phone numbers rather than a creative selection of listings.

4.4 Ownership of C o py r i g ht

1. Ownership of Copyright
The Copyright laws clearly state the ownership of Copyright.

The person who created the work is considered as the first (original) holder
(owner) of the Copyright.

In case the author is an employee and has been contracted to do the work
by a proprietor (of the company/firm/society/organization, etc.), the owner of the
Copyright shall be the proprietor.

The government will be the primary owner of the government work in the
absence of any kind of arrangement.

The person delivering a speech is the first owner of the Copyright.

2. Obtaining Permission to use Copyrighted Material

To obtain permission to use copyrighted material, a request should be made to the legal
owner (of the copyrighted material), which could be the original author, the legal heir (in
case of the death of the author), publisher, etc. The request must mention the following:

Title, author and/or editor, and edition.

Precise material to be used.

The number of copies.

The purpose of the material (e.g., educational, research, etc.).

Form of distribution (e.g., hard copy to classroom, posted on the internet).

Whether the material is to be sold (e.g., as part of a course pack).

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4.5 Copyrights of the A u t h o r

The Copyrights of the creator/author are legally protected under Section 14 of the Copy-
right Act, 1957. The content (i.e. work) created by the author cannot be used or published
by anyone without the author‘s consent. Copyrights provide exclusive rights to the author
in the areas of publication, distribution, and usage. A Copyright owner enjoys two types
of rights i.e. Economic Rights (or Proprietary Rights) and Moral Rights (or Personal
Rights).
1. Economic Ri ght s
Economic Rights are associated with financial benefits accruing from the sale of copy-
rights. As per the Act, Copyright owners can authorize or prohibit:

Reproduction of the work in any form, including printed publications or sound

recordings.

Distribution of copies of the work.

Public performance of the work.

Broadcasting/communicating the work to the public.

Translating the work into other languages.

Adaptation of the work, such as converting a novel into a screenplay.

2. Moral Ri ght s :
Moral Rights include ‘Right of Paternity’ and ‘Right of Integrity’.

The ‘Right of Paternity’ - even if the Copyright has been licensed to another
party, the original author of the work retains the right to claim authorship i.e. the
name of the author/s will remain even though Copyrights have been transferred to
another party e.g. a book publisher.

The ‘Right of Integrity’ - the original author has the right to prevent misuse of
the work e.g. alterations/additions/deletions in work resulting in misrepresentation
of the said work or harming the honor and reputation of the author.

Multi ple Ri ght s Holders

It is pertinent to mention that for a work, there can be more than one rights holders, for
instance, a musical sound recording has many rights holders, such as the lyricist, music
composer, singer, musicians and sound recorders.
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4.6 C o py r i g ht Infringements

1. W h i c h acts are Copyright Infringements?

As per the Copyrights Act, 1957, the following acts are regarded as an infringement of
Copyrights:

Making copies for sale or hire or selling or letting them for hire without
permission.

Permitti ng any place for the performance of owned work (in public) where
such performance constitutes an infringement of Copyright.

Distributing infringing copies for trade or to such an extent to affect the

interest of the owner of the Copyright prejudicially.

Public exhibition of infringing copies for trade purposes.

Importation of infringing copies.

Translating a work without the permission of the owner.

2. Liability of Owner of an A u d i to r i u m/Hal l

The owner of an auditorium/hall is liable for punishment if he knowingly allows his
premises to be used for communication of illegal copyright material (songs, music, dramas,
etc.) to the public. If a person permits for profit any place to be used for communicating
the work to the public, where such communication establishes an infringement of the
Copyright unless he was not aware of and had no reasonable ground for believing that
such communication to the public would be an infringement of Copyright, he will be
deemed to have committed an offence under the Copyright Act.
3. Copyr ight Infringement is a C r i mi n al Off ence
According to Section 63 of the Copyright Act, 1957, if any person knowingly infringes
the Copyright, he qualifies for the criminal offence. The punishment awarded for the
infringement (of Copyright) is imprisonment for six months with the minimum fine of
Rs 50,000/-. In case of a second and subsequent conviction, the minimum punishment is
imprisonment for one year and a fine of Rs 1,00,000. There is a dedicated I P division to
deal with Copyright cases. Also, there is a Copyright Board constituted by the Central
Government in 1958 to adjudicate certain claims about Copyright.
4. Copyr ight Infringement is a Cognizable Off ence
A police officer (rank of a sub-inspector or higher) can confiscate the infringed Copyright
material without issuing a warrant and produce the same in the court of law.
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4.7 Fair Use D octrine

1. Fair Use Doctrine :

Any person not possessing a valid license from the owner of the Copyright is not entitled
to exploit the said work. However, Section 52 of the Copyright Act, 1957, provides for
certain exceptions to the infringement of Copyright. As per the rule of law, Copyrighted
materials cannot be used by anybody without the proper consent of the legal owners (of
the Copyright).
2. T h e Fair Use Doctrine - Four-Part Test:

T
However, limited use of Copyrighted materials for teaching and research purposes is legally
permitted, under ‘The Fair Use Doctrine‘, which comprises of the four-part test:

1. T h e character of the use - use of the work is purely educational, non-profit and
personal.
IE
2. Nature of the work - The use of work is factual in nature and not imaginative.

3. A mo u nt of the porti on to be used - permission is not needed if only a small

portion of Copyright protected material is to be used. However, this parameter is
debatable now.

4. Impact of use on the value of the Copyrighted material - If a small portion

of the work is copied and is not affecting the author‘s economic and moral rights, it
will be excused from the infringement.

3. Fair Use Doctrine Examples :

AJ
Detailed information on the examples of the Fair Use Doctrine can be accessed from
the official website (htt p://[Link]/excepti [Link]). A few examples are
listed below:

If the Copyrighted work is used for personal use i.e. studies or research.

Quotation mentioned in the Copyrighted work.

Reporting of current events in the media, such as newspapers, magazines or ra-

dios/television.

Reproduction of the work by teachers or scientific researchers.

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Performance is free of charge by government officials in the performance of their

duties e.g. reproduction of any work for a judicial proceeding or a report of a
judicial proceeding.

Use of any work prepared by the Secretariat of a Legislature.

Use of the work in a certified copy made or supplied in accordance with any law
for the time being in force.

Making three or less than three copies of a book (including a pamphlet, sheet of
music, map, chart or plan).

Bonafide religious ceremony, including a marriage function.

4.8 Copyrights and Internet

1. Challenges in the Digital E r a :

The twenty-first century is an era of digitization. The Copyrighted data is quickly trans-
mitted via the internet. This method of data transmission has brought amendments to
the existing Copyright laws. One should be careful of Copyright/fair use principles when
downloading material from the internet. There is growing concern about the ability to
pull Copyrighted material from the internet without permission. Note that material may
have been placed on the internet without the author‘s permission.
2. Internet Use and Copyright:
In general, posting material on the internet by the Copyright owner gives an internet
user the right to use that material for his personal use, but he cannot use the work for
commercial purposes. Electronic distribution of a Copyrighted work should mention the
statement that —This work is protected by Copyright laws and is provided for educa-
tional instruction only. Any infringing use may be subject to disciplinary action and/or
civil or criminal liability as provided by law”.
3. Inclusion of Computer Programmes in Literary Work :
As per Section 2(o) of the Copyright Act, 1957, ‘Literary Work‘ includes computer pro-
grammes, tables and compilations, including computer databases. It is mandatory to
supply ‘Source Code‘ and ‘Object Code‘ along with the application for registration of
Copyright.
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4.9 N o n - C o py r i g ht Wo r k

Works which are exclusions from Copyright Protecti on :

The works not under the jurisdiction of Copyrights are as follows:

Exclusion of Copyright for Ideas, Concepts, and Principles :The ideas,

concepts, and principles themselves cannot be protected under Copyright, only the
form in which they are expressed can be copyrighted.

Exclusion of Copyright for Facts and Discoveries Facts, such as scientific

or historical discoveries, are not copyright protected. Any fact a person discovers in
the course of research cannot be Copyright protected. For example, an author of a
book on ‘Buddhism‘ takes ten-fifteen years to gather all the necessary materials and
information for his work. At a great expense, the author travels to various museums,
libraries and excavations sites. However, after the book is published, anyone is free
to use the underlying facts, provided they express the information on their own.

Non-Copyrightable Elements : Copyright does not protect titles, names, slo-

gans, short phrases, short word combinations, methods, or factual information.

Certi fi cates : Certificates are not considered as Copyrightable subject matter as

there is not much scope for creativity.

Digital Works: Digitally created works and Copyrighted works transformed

into a digital format and placed on the internet are Copyright protected.

Copyright Registrati on for Websites and Apps: Copyright registration for

a website as a whole is not possible. However, different components/rudiments can
be granted Copyright registration. e.g. computer programmes/software,
compilations including computer databases (’literary works’ ); photographs,
paintings, diagram, map, chart or plan (’artistic works’ ); and works consisting of
music including graph- ical notation of such work (’musical works’ ). However, a
separate application for each component of work has to be filed for seeking
Copyright registration.

Copyright Registrati on for Computer or Mobile A p p s : A computer or

mobile App qualifies for Copyright registration. An Application is a complete, self-
contained computer program that is designed to perform a specific task. An App
usually has dynamic content and is designed for user interaction. It may be used
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directly or indirectly in a computer or handheld electronic device.

Copyright Infringement: Unauthorized Use of Digital Content If

someone swipes your picture/song/video from the internet and uses it for their
purposes, it is a Copyright infringement. By the way - the same is true if you nick
some else‘s material for your purposes.

4.10 C o py r i g ht Registrati on

1. Automati c Copyright Protecti on:

It is not necessary to register a work to claim Copyright. Once a work is created via any
medium, the work receives automatic Copyright protection. In other words, there is no
formal request to be submitted to the office of the Copyright for acquiring Copyright.
The act of creation itself grants the creator inherent Copyright rights to their work.
2. Role of Copyright Registrati on :
Copyright registration itself does not grant any new rights to the creator; rather, it serves
as prima facie proof(In legal terms, ”prima facie” means that, on the face of it or at first
glance) of an entry in respect of the work in the Copyright register maintained by the
Registrar of Copyrights. The certificate of registration serves as prima facie evidence in a
court in cases of disputes relating to ownership or creation of Copyright, financial matters,
transfer of rights, etc.
3. Copyr ight Registrati on Advice:
It is advisable that the author of the work registers for Copyright for better legal pro-
tection. In India, Copyright matters, including Copyright registration, are administered
under the Copyright Act, 1957, and Copyright Rules, 2013.
4. Prominent Forms for Copyright Registrati on
Prominent forms for copyright registration can be accessed on the official website: h tt p s :
/ /co pyr i ght. [Link] /. F O R M No. X I V is used for an application for copyright registra-
tion under section 45 of the Copyright Act, 1957. It includes a request for the Registrar of
Copyrights to make entries in the Register of Copyrights based on the enclosed statement
of particulars, and it declares that, to the best of the applicant’s knowledge, there are
no other claims or disputes regarding the copyright of the work. The ”Statement of Par-
ticulars” in this form provides detailed information for copyright registration, including
the registration number, applicant details, nature of interest, class and description of the
work, title, language, author information, publication details, rights owners, authorized
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persons, and additional details specific to artistic works, such as location, registration
under the Designs Act 2000, and industrial reproduction information.
5. Judicial Powers of the Registrar of Copyrights:
The Registrar of Copyrights has the powers of a civil court when trying a suit under the
Code of Civil Procedure in respect of the following matters:

Summoning and enforcing the attendance of any person and examining him on
oath.

Requiring the discovery and production of any document.

Receiving evidence on affidavit.

Issuing commissions for the examination of witnesses or documents.

Requisitioning any public record or copy thereof from any court or office.

Any other matters which may be prescribed.

6. Applicati on Submission
A completed application (Form X I V ) for copyright registration can be submitted to the
Copyright Office at the address: The Registrar of Copyright, Plot no. 32, Boudhik
Sampada Bhawan, Sector 14, Dwarka, New Delhi - 110075. The submission can be
made by post or through the online registration using the ’E-filing facility’ available at
[Link]. Eligible applicants, whether authors of the work or assignees of
the work, can file the copyright application.
7. Applicati on Evaluati on
Usually, it takes around 2-3 months to get the work registered by the Copyright Office.
After applying, there is a mandatory waiting period of 30 days. If any person has any
objection to the claim/s made in the application, he can contact the office of the Registrar
of Copyrights. After giving an opportunity of hearing to both the parties, the Registrar
may decide the case in favor or against the author of the work. Once the objections (if
any) are cleared, the application is evaluated by the examiners. If any doubts/queries are
raised, the applicant is given ample time (around 45 days) to clear these objections.
The elements included in Copyright filing to grant are depicted below in the flow chart:
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4.11 Im portant C o py r i g ht Form s :

Name of Form Form No.

Application for registration of Copyright Form-XIV
Application for registration of changes in particulars of Copyright Form-XV Source:
Registration of a Copyright Society Form-VIII
Application for the relinquishment of Copyright Form-I
htt p://[Link]/[Link]

4.12 Fee Structure

For each work, a separate application form needs to be submitted, along with the requisite fee. The fee
is not reimbursable in case the application for registration is rejected.
Att r ib utes and Fee :

Application for registration of Copyright (Literary, Dramatic, Musical, or Arti sti c work): Rs 500
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per work

Application for registration of Copyright in a Cinematograph Film: Rs 5,000

Application for registration of Copyright in a Sound Recording: Rs 2,000

Making any change in Literary, Dramatic, Musical, or Arti sti c work: Rs 200

Making any change in a Literary or Arti sti c work used in relation to goods or services: Rs 1,000

Application for change in particulars of Copyright in a Cinematograph Film: Rs 2,000

Application for change in particulars of Copyright in a Sound Recording: Rs 1,000

Application for prevention of importation of infringing copies per place of entry: Rs 1,200

4.13 C o py r i g ht Sy m b o l

It is not necessary to place the Copyright symbol with your name and ‘year created’ near your published
or printed materials - but if you do, it‘s easier to nail someone for infringement on your Copyright if you
go to court. The important things which may be mentioned as a Copyright mark on Copyright creation
are:

The Copyright symbol (the letter C in a circle), or the word. ‘Copyright’, or the abbreviation
‘Copr.’

In the case of compilations or derivative works incorporating previously published material, the year
with the date of the first publication of the compilation or derivative work should be mentioned.
The year date may be omitted for pictorial, graphic, sculptural work, greeting cards, postcards,
stationery, jewellery, dolls and toys.

The name or the abbreviation by which the name can be recognized of the owner of the Copyright,
or a generally known alternative designation of the owner can be mentioned.

The elements for sound recordings generally require the same three elements, except the symbol
is (the letter P in a circle) instead.

4.14 Validity of C o py r i g ht

In general, the validity of Copyright is for 60 years. This period starts either from the year after the death
of the author (in case of literature, dramatic, musical and artistic works) or from the date of publication
of the work (in case of cinematograph films, sound recordings, photographs, posthumous publications,
works of government and works of international organisations).
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4.15 C o py r i g ht Profi le of India

A comparative five years (2015-20) study revealed a gradual increase in the number of Copyright appli-
cations in the first four years of the study, with a maximum number of applications (21,905) recorded in
the 2019-20 period. The number of applications examined was maximum (34,388) in 2017-18. However,
it tapered down to 22,658 in 2018-19 and 19,460 in 2019-20. A similar trend was observed in the number
of Copyright registrations, with a peak (19,997) observed in 2017-18.

4.16 C o py r i g ht and the word ‘Publish’

K e y Te r m s A u t h o r and Wo r k in Co pyr ight s :

The words ‘author’ and ’work’ need to be understood from the perspective of Copyrights. The
term ’author’ refers to an individual who develops the content (of work). The author can be
a writer (literary work), computer programmer (software), composer (musical work), producer
(cinema films, sound recording), photographer (photos).

The term ’work’ is a task undertaken in the fields of literature, dramas, music, artistic, cinemato-
graph film, and sound recording.

C o pyr i ght and the word ‘Pu blish ’ :

A work is considered published when it is in the public domain on an unrestricted basis.

For example, if a person writes an article called ’Life in Himalayas’ and distributes it with restric-
tions on disclosure, it is not considered published in the Copyright sense.

If the author removes the condition of non-disclosure or posts the article on the internet (i.e.,
public domain), it would be considered as published.

It is to be noted that both published and unpublished works can be registered under Copyright.

4.17 Transfer of Copyrights to a Publisher

The original authors of the Copyrighted work may not have the wherewithal([Link] resources or financial
capability ) to widely publicise their work. Usually, they transfer their rights to publishers for financial
benefits, which could be a one-time lump sum amount or royalties or a combination of the two.
Repercussions of Unconditi onal Transfer :
However, transferring Copyrights unconditionally to the publishers (or anybody else) may have some
repercussions for the owner of the Copyright. A publisher may prevent author/s from displaying their
articles on the institute‘s websites. The new owner of Copyright may not even allow the author to revise
his work. In other instances, a publisher might print an insufficient number of hard copies and also does
not show interest in uploading the soft copy of the work on the internet. Hence, one must be careful in
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signing an agreement with the publishers.

Selecti ve R i g h t s Transfer :
The author may not transfer all the legal rights bestowed upon him as an author. An agreement may be
signed permitti ng only the print and sale of hard copies by the publishers while retaining digital rights
for the said work. An author may also put a time limit for the printing and sale of the books/articles,
etc.
C h a n g i n g Land scape with the Internet E r a :
Before the digital era, authors used to rely completely on publishers for the dissemination of their work.
However, in the internet era, the dependency on publishers has almost diminished. The author is in a
position to bypass the publishers and bring his work into the public domain. But this freedom cannot be
enjoyed by those who are already under the publishing contract.
Stat u to r y Terminati on R i g h t :
Even though the author has completely and exclusively licensed out his work, the Copyright Act has
a provision under ‘terminati on of transfer’ to reclaim his Copyright. Under this provision, certain
Copyright agreements can be terminated after 35 years of the agreement. This statutory termination
right applies even though it is not incorporated in the agreement.
Au t h o r ’s C a u ti o n :
It is strongly advised that authors must apply their mind while signing the Copyright agreement.

4.18 Copyrights and the Word ‘Adaptati on’

In the world of Copyright, the word ‘Adaptation‘ signifies the creation of a similar work based upon
contemporary work. The Copyright Act defines the following actions as adaptations:
Ac ti o n s Considered as Adaptati ons :

1. Transformation of a dramatic work into a non-dramatic work.

2. Changing a literary or artistic work into a drama.

3. Re-arrangement of a literary or dramatic work.

4. Depiction through pictures of a literary or dramatic work.

5. The making of a cinematograph film of a literary or dramatic or musical work.

4.19 Copyrights and the Word ‘Indian Work’

‘Indian work‘ means a literary, dramatic, or musical work provided

1. The author of the work is an Indian citizen.

2. The work is first published in India.

3. In the case of an unpublished work, at the time of the making of the work, the author of the work
was a citizen of India.
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4.20 J o i nt Authorship

‘Work of Joint Authorship‘ means a work produced by the collaboration of two or more authors in which
the contribution of one author is not distinct from the contribution of the other author or authors.

4.21 C o py r i g ht Society

Many a time, authors and other owners of Copyrights are either unable or lose track of all the uses of
their work, including the collection of royalties, infringement issues, etc. To overcome these hurdles,
Copyright Societies have cropped up. As per Section 33 of the Copyright Act, 1957, a Copyright Society
is a registered collective administration society formed by authors and other owners of the Copyright.
Society can perform the following functions :

Keep track of all the rights and infringements related to their clients.

Issue licences in respect of the rights administered by the society.

Collect fees in pursuance of such licences.

Distribute such fees among owners of Copyright after making deductions for the administrative
expenses.

Formati on of C o pyr ight Society :

A Copyright Society can be formed by a group of seven or more copyright holders. The term of registration
of a Copyright Society is for five years. The registered Copyright Societies in India are:
Registered C o pyr ight Societi es in In d ia :

Society for Copyright Regulation of Indian Producers for Film and Television ( S C R I P T ) 135
Continental Building, Dr. A.B. Road, Worli, Mumbai 400 018, (for cinematograph and television
films).

The Indian Performing Right Society Limited ( I P RS L ) , 208, Golden Chambers, 2nd Floor, New
Andheri Link Road, Andheri (W), Mumbai- 400 058 (for musical works).

Phonographic Performance Limited ( P P L ) Flame Proof Equipment Building, B.39, Off New Link
Road, Andheri (West), Mumbai 400 053 (for sound recordings).

4.22 C o py r i g ht B o a rd

The Copyright Board is a regulatory body constituted by the government, to perform judicial functions
as per the Copyright Act of India. The Board comprises of a Chairman and members (2-14) to arbitrate
on Copyright cases. The Chairman of the Board is of the level of a judge of a High Court. As per the
Act, the Board has the power to:
App eals against Orders:
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The Copyright Board has the authority to hear appeals against the orders of the Registrar of Copyrights.
Recti fi cati on of Entries :
The Board can hear applications for rectification of entries in the Register of Copyrights.
Disputes on Assignment:
It adjudicates upon disputes related to the assignment of Copyrights.
C o m p u ls o r y Licences :
The Board has the power to grant compulsory licences to publish or republish works in certain circum-
stances. It can also grant compulsory licences to produce and publish translations of literary or dramatic
works in any language after seven years from the first publication.
Internati onal Disputes :
The Copyright Board is involved in hearing and deciding disputes concerning the publication status or
the term of Copyright of a work in another country.
Royalt y R ate s :
It is responsible for fixing rates of royalties, particularly in respect of sound recordings under the cover-
version provision.
Resale Share R i g h t :
The Board determines the resale share right in original copies of paintings, sculptures, drawings, and
original manuscripts of literary, dramatic, or musical works.

23. C o py r i g ht Enforcement A d v i s o r y C o u n c i l ( C E A C )

In 1991, the Government set up a C E A C to review the progress of enforcement of the Copyright Act
periodically and advise the Government regarding measures for improving the enforcement of the Act.
The term of the C E A C is three years. The C E A C is reconstituted periodically after the expiry of the
term.

24. In ternati onal C o p yright Agreements,

C o n ven- ti ons and Treati es

Any creative work is not protected and enforced automatically worldwide because Copyright laws are
territorial by nature i.e. Laws are valid only in the country in which they have been created. To secure
protection to Indian works in foreign countries, the author needs to apply separately to each country or
through dedicated international ‘Conventions on Copyright and Neighbouring (related) Rights‘, provided
a country is a member of such Conventions. India is a member of the following Conventions:

B e r n e Conventi on for the Protecti on of L i te ra r y and A r ti sti c Works, 1886. ( h tt p s :

//[Link]/treati es/en/ip/berne/)

Universal C o pyr ight Conventi on, 1952. (htt p://[Link]/new/en/culture/themes/

c r e a ti v i t y /c r e a ti v e - i n d u s t r i e s /co p y r i g h t / u n i v e rs a l - co p y r i g h t- co nv e n ti o n /)

Ro m e Conventi on for the Protecti on of Performers, Pro d u c e rs of Ph on ograms and

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Broadcasti n g Organizati ons, 1961. (htt ps://[Link]/treati es/en/ip/rome/)

Multi lateral Conventi on for the Avoidance of Do ub le Taxati o n of C o pyr i ght R o y -

alti es, 1979. (htt ps://treati [Link]/doc/Treati es/1979/12/19791213%2009-00%20AM/
Ch$_$_XXVIII$_$_01$_$_ap.pdf)

Trade-Related Asp ect s of Intellectual Pro p e r t y R i g h t s ( T R I P S ) Agreement, 1995.

(htt ps://[Link] /english/tratop_e/trips$_$_e/intel2$_$_e.htm)

In India, Copyrights of foreign authors, whose countries are members of the Berne Convention for the
Protection of Literary and Arti sti c Works (1888), Universal Copyright Convention (1952) and the T R I P S
Agreement (1995) are protected through the International Copyright Order.

4.25 Interesti ng Copyrights Cases :

Co pyr ight s Cases 1. D av i d vs. Macaques, Indonesia, 2011

In 2011, a UK-based photographer David Slater put his camera on a tripod in the wildlife sanctuary
to click the photograph of Macaques monkeys. The Macaques were very curious about the equip-
ment and they found the flashlight fascinating. One monkey clicked a selfie photograph which be-
came very famous and legally controversial on the matter of Copyright. Theoretically, the monkey
is the holder of Copyright as he clicked the photo. Practically, David Slater was the claimant of
the Copyright. The dispute entered judicial quarters between People for the Ethical Treatment of
Animals ( P E TA ) and David Slater. Now, the settlement has been concluded. The photographer
i.e. David Slater withholds the Copyright of the picture for having a substantial contribution, but
he would pay 25% of the royalty share to the wildlife sanctuary where the monkey lives ( h tt p s :
//[Link]/wipo$_$_magazine/en/2018/01/arti cle$_$_0007.html).

Co pyr ight s Cases 2.‘Happy B i r t h d ay to you’ case law

According to the Guinness World Records, 1998, it is the most recognized song in the English language.
The melody of ‘Happy Birthday to You‘ originates from the song ‘Good Morning to All‘, which has
traditionally been attributed to American Sisters, namely Patt y Smith Hill and Mildred J. Hill, in 1893.
The sisters composed the melody of ‘Good Morning to All‘ to make it more interesting for the chil-
dren. In 1935, Summy Company registered the Copyright on the Piano Setti ng on the Song. In 1999
Warner/Chappell acquired the company and started taking royalty for the happy birthday song and
earned a huge amount. After mediation by the Federal court, Warner Music, through its publishing
subsidiary Warner/Chappell, agreed to pay the settlement to a class of ‘thousands of people and entities‘
who had paid licensing fees to use the song since 1949 because only the melody was registered and not
the lyrics. Now the song is in the public domain.

Co pyr ight s Cases 3 . Am ita b h Bachch an to lose Co pyr ight s over his father ’s works in 2063
Father of renowned actor Mr. Amitabh Bachchan, (late) Shree Harivansh Rai Bachchan was a noted poet
and Hindi writer. His most famous work was Madhushaala (1935). He was the recipient of the Sahitya
Akademi award and the Padma Bhushan. He also did Hindi translations of Shakespeare‘s Macbeth and
Othello. He passed away on 18th January 2003, at the age of 95. As per the Copyright Act, 1957, the
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rights over his work will be completed in the year 2063 (rights remain with the author for his lifetime
plus 60 years).

4.26 Tradem a rk Defi niti on

In simple language, a Trademark (or Trade Mark) is a unique symbol which is capable of identifying as
well as differentiating products or services of one organization from those of others. The word ’Mark’
stands for a sign, design, phrase, slogan, symbol, name, numeral, devise, or a combination of these.
Essentially, the Trademark is anything that identifies a brand to a common consumer.

4.27 Eligibility C ri te r i a for Trademarks

For goods/services to be legally classified as Trademark, they need to pass the following conditions:

Disti ncti veness - The goods and services for which the protection is sought should possess enough
uniqueness to identify it as a Trademark. It must be capable of identifying the source of goods or
services in the target market.

Descripti veness - The Trademark should not be describing the description of the concerned
goods or services. Descriptive marks are unlikely to be protected under Trademark law. However,
descriptive words may be registered if they acquire ”secondary meaning”, such as the brand name
’Apple’ is used by a U S A based multinational company that manufactures electronic gadgets.

Similarity to the prior marks - The mark should be unique and should not be having similarity
to the existing marks.

4.28 W h o C a n A p p l y for a Trademark:

Any person who is a proprietor of the Trademark is eligible to apply for registration of Trademark. The
mark can be filed collectively by two or more applicants and for that purpose, support documents need
to be submitted.
Collecti ve Mar ks:
An organization or association can file for a collective mark. This mark is then used by its members to
collectively identify their products or services. An example of a collective mark is the ’Reliance’ symbol,
which indicates all products falling under the umbrella of the organization.
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4.29 A c t s and L aws

In India, Trademarks are governed under T h e Trademar ks A c t , 1999

(htt p://[Link]/writereaddata/Portal/IPOAct/1 43 1 [Link]).
The Trademark rules are governed by Trademarks Rules, 2002 ([Link]
data/Portal/IPO Rule/1 56 1 1 59 1 tmr rules 2002 1 .pdf). The Acts and Rules have been
amended from time to time. The latest amendments were done in 2010 and 2017 for Trademarks Acts
and Trademarks, respectively. The administration of matters pertaining to Trademarks is carried out by
the Office of C G D P D T M , Government of India.

4.30 Designati on of Tra d em a rk Symbols

Trademark symbols play a crucial role in indicating the status of protection associated with a particular
mark. Here are the commonly used trademark symbols:

O :
This symbol represents that the Trademark is unregistered. It can be used for promoting the goods
of the company. The T M symbol indicates that the company is using the mark as a trademark,
but it has not yet been officially registered.

O :
Similar to TM , SM represents that the Trademark is unregistered. However, SM is specifically
used for promoting brand services. It signifies that the company is claiming the mark as a service
mark for its services.

:
The R symbol represents a registered Trademark or Service Mark. The presence of this symbol
indicates that the Trademark has been officially registered, and the applicant is its legal owner. It
provides a higher level of protection and exclusivity.

4.31 Classifi cati on of Trademarks

Goods and Services under Trademarks are classified as per the ‘Nice Agreement‘ (1957) adminis-
tered by W I P O. A total of 149 countries (84 state parties who are signatory to the Agreement and
65 additional states who are following this classification for the Trademarks) and others (African In-
tellectual Property Organization, African Regional I P Organization and Trademark Office of European
Union) are using the same Trademark classification. Trademark classification comprises of 45 classes,
out of which 34 are for goods and 11 are for services ([Link] static/html/nice-
[Link];jsessionid=8FBC790A663FAC9092ACCDD9ED1AC65E.ec2t1). Two examples
of the classes are:
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C l a s s 1: Chemicals for use in industry, science and photography, agriculture, horticulture and
forestry; Unprocessed artificial resins, unprocessed plastics; Fire extinguishing and fire prevention
compositions; Tempering and soldering preparations; Substances for tanning animal skins and
hides; Adhesives for use in industry; Putti es and other paste fillers; Compost, manures fertilizers;
Biological preparations for use in industry and science.

C l a s s 45: Legal services; Security services for the physical protection of tangible property and
individuals; Personal and social services rendered by others to meet the individuals‘ needs.

The Vie n n a codifi cati on established under the Vienna Agreement (1973) is an international classifi-
cation of the figurative elements of marks. The relevant Vienna code class can be searched on the link:
htt ps://[Link]/classifications/nivilo/vienna/[Link]?lang=EN/#. The classification is used to
divide all figurative elements into categories (from 1 to 29), divisions (from 1 to 19) and sections (from
1 to 30).
For example, the representation of ”a little girl eating” belongs to Category 2 (Human beings), Division 5
(Children), Main Section 3 (Girls). If auxiliary sections are used, the figurative element can be identified
additionally with the Auxiliary Section 18 (Children drinking or eating, Code A 2.5.18). The codification
of this example will be then indicated as 2.5.3, 18 (main and auxiliary sections).

4.32 Registrati on of a Tra d em a rk is N o t C o m p u l s o r y

Although registration of a Trademark is not compulsory, registration provides certain advantages to the
proprietor of the Trademark, such as:

Le gal Protecti on: Prevents the exploitation of the Registering Trademark by other compa-
nies/organizations/individuals without proper authorization by the legal owner/s of the Trade-
mark. In legal suits, a registered Trademark can serve as potent evidence of the lawful proprietor-
ship of the Trademark.

Exc lu sive R i g h t : Grants the Trademark owner full rights to use it in any lawful manner to
promote his business.

B r a n d Recogniti on: Products/services are identified by their logo, which helps create brand
value over time. A strong brand is a huge pull for new customers and an anchor for existing
customers. Registering a Trademark early and using it will create goodwill and generate more
business for the brand owner.

Asset Creati on: A registered Trademark is an intangible property of the organization. It can be
used for enhancing the business of the company as well as drawing new clients and retaining old
ones by the account of brand identification.

To find out more about Registered Trademarks in India, one may look at
[Link]

It is pertinent to mention that no legal course of action can be taken against the unlawful use of an
unregistered Trademark. For unregistered marks (sometimes known as ‘Common Law Trademarks‘,
which are defined as the law rights that generally do not require formal registration for enforcement),
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action can be brought against any person for the passing off goods or services as the goods or services
provided by another person. In such cases, the unregistered Trademarks have to prove the establishment
of goodwill or reputation connected with the goods or service.

4.33 Validity of Trad em a rk

In India, a registered Trademark is valid for 10 years. The period can be extended every 10 years,
perpetually. As per the Indian Trademarks Act, the renewal request is to be filed in the form ‘ TM-R‘
within one year before the expiry of the last registration of the mark.

4.34 Ty p e s of Tradem a rk Registered in India

Trademark can be a word that must be able to speak, spell and remember. It is highly recommended
that one should choose the Trademark like invented word, created words, and unique geographical name.
One should refrain from Trademarks like common geographical name, common personal name and the
praising words which describe the quality of goods, such as best, perfect, super, etc. To ensure all these
characteristics in a Trademark, it is suggested to conduct a market survey to ensure if a similar mark is
used in the market. Following are some examples of the registerable Trademarks:

Any name including personal or surname of the applicant or predecessor in business or the signature
of the person e.g. the Trademark ‘ B A J A J ‘ is named after industrialist Mr. Jamnalal Bajaj.

A word having no relevance to the product/services e.g. Trademark ‘ I N D I A G AT E ‘ is being used

for food grains and allied products.

Letters or numerals or any combination thereof e.g. ‘ YA H O O‘ is the abbreviation of the phrase
‘Yet Another Hierarchical Officious Oracle‘. It has now become a worldwide famous Trademark.

Some of the Famous Exa m p le s of Trademar ks :

Here are examples of different types of trademarks:

1. Disti ncti ve General Wo rd & ’Ap ple’ ( I T C o m p a ny ) : Apple is a distinctive general word
used as a trademark by the well-known I T company.

2. Fanciful Designati on & ’ Ko d a k ’ (Ph o to grap h F i l m ) : Kodak is a fanciful designation created

for the specific purpose of serving as a trademark for photographic films.

3. Disti ncti ve Personal N am es & ’Ford’ (Automo ti ve): Ford, a distinctive personal name, is
used as a trademark in the automotive industry.

4. Devic e & ’Udh aar ’ (Fin an cial Technology): Udhaar, with a unique design or device, serves
as a trademark in the field of financial technology.

5. N u m b e r & ’4711’ (Perfume): The number 4711 is used as a trademark in the perfume industry.
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6. Pi c t u re & Allegator ( Kn it we a r Manufacturing): The picture of an alligator is used as a

trademark in the knitwear manufacturing sector.

7. Slogan & ’ D r i n k it to believe it’ (Soft D r i n ks ) : The slogan ”Drink it to believe it” serves
as a trademark for a brand in the soft drinks industry.

Note: Trademark Registry Objections and Search :

The Trademark Registry may object to a yet-to-be-registered Trademark if it appears similar in looks or
sound to existing registered marks. For example, a keyword like ’Ford’ might face objections if similar-
sounding terms like Foard, Phord, Fordd, Forrd already exist.

It is advisable to carry out a search for both identical and similar trademarks.

Use the free government portal for trademark searches: h tt p : / / i p i n d i a s e r v i c e s . g ov. i n / t m r p u b l i c s e a rc h /

[Link].

4.35 Tradem a rk Re g i st r y

In India, Trademark operations are managed from five cities: Delhi, Mumbai, Ahmadabad, Kolkata, and
Chennai. Each city is assigned a group of states, and businesses located in a particular state can use the
services of the assigned Trademark Registration Office.
In the case of foreign applicants, jurisdiction is based on the location of the office of the applicant‘s agent
or attorney.

Territorial Ju risd icti on of Tra d e m a r k Registrati on Offi ces :

Offi ce Locati on States Covered

Mumbai Maharashtra, Madhya Pradesh, Chhatti sgarh, Goa
Ahmedabad Gujarat, Rajasthan, Daman, Diu, Dadra and Nagar Haveli
Kolkata Arunachal Pradesh, Assam, Bihar, Orissa, West Bengal, Manipur, Mi-
zoram, Meghalaya, Sikkim, Tripura, Jharkhand, Nagaland, Andaman &
Nicobar Islands

New Delhi Jammu & Kashmir, Punjab, Haryana, Utt ar Pradesh, Himachal Pradesh,
Uttarakhand, Delhi, Chandigarh
Chennai Andhra Pradesh, Telangana, Kerala, Tamil Nadu, Karnataka,
Pondicherry, Lakshadweep Island
Soursce : [Link]

4.36 Process for Trademarks Registrati on

To seek Trademark registration, the proprietor of the Trademark has to fill an application. The propri-
etor may choose to hire an agent to fill and submit the application on his behalf. Before applying, the
applicant needs to conduct a prior art search to ensure the registration criteria.
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P r i o r A r t Search :
Prior to applying for Trademark registration, it is always prudent to check whether the intended Trade-
mark is already registered or not. Also, it is ascertained whether the intended Trademark is not similar
to the ones already registered. The requisite search can be carried out using various web portals, such
as:

Public search for Trademarks by C G P D T M ( h tt p s : / / i p i n d i a s e r v i c e s . g ov. i n / t m r p u b l i c s e a rc h /

[Link]).

WIPO‘s Global Brand Database (htt ps://[Link]/branddb/en/).

Trademark Electronic Search System ( T E S S ) (htt p://[Link]. gov/bin/[Link]?f=

tess&state=4805:za847u.1.1).

M A R K A R I A Trademark Search Engine (htt ps://[Link]/en/asia/

india-trademark-search).

V A K I L Search (htt ps://[Link]/trademarksearch/trademarks?search=bajaj).

Once the ‘prior art search‘ is over and the applicant is convinced about the distinctiveness of the Trade-
mark, he can proceed to fill the application form for registration (TM-A). The application is filed at the
Trademarks Office subject to the jurisdiction of the applicant. The steps involved in the registration
process are as follows :

F i l i n g the Applicati on: After the prior art search has been conducted, the applicant can apply
for the registration on his own or with the help of a certified agent.

App licati on Assignment: The application is assigned an application number within a few days.
The same can be tracked online at htt ps://ip in d iaon lin e. [Link] /tmrp u b licsea rch /frmma in.
aspx.

Examin ati o n by Professional Exa m i n e r : The application is scrutinized by a professional

examiner. If everything is in order, the particulars of the application are published in the official
Trademark journal (htt p://w w [Link] /[Link]). Otherwise, he will send the
objections to the applicant for rectification. Based on the satisfactory response, the examiner would
recommend the revised application to be published in the journal. If the application is rejected,
the applicant may approach the Intellectual Property Division to challenge the rejection of an
application by the examiner.

Pu blicati on and Objecti on Period: Once the Trademark is published in the official journal,
the public has an opportunity to file an objection, if any, within 90 days. After hearing both the
parties, the officer decides whether to proceed further for the grant of Trademark or disallow the
grant of Trademark. In case of unfavourable outcome, the applicant has the right to contest the
decision in front of the I PA B. Tra d e m a r k Registrati on Certi fi cate: Once the application has
successfully completed all formalities, a Trademark registration certificate is issued in the name of
the applicant.

Lan gu age Requirements: One should keep in mind that while filing an application for the
registration of a Trademark, an English translation of the non-English words has to be provided.
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Pr i o r it y C l a i m : If the applicant wishes to claim the priority from an earlier-filed application,

he has to provide details like application number, filing date, country, and goods/services of that
application.

4.37 Famous C a s e L a w related to Trademarks :

C o c a - C o l a C o m p a ny vs. Bisleri Internati onal P v t . L t d .

‘ M A A Z A ‘, a popular mango fruit drink in India, is a registered Trademark of an Indian company, Bisleri
International Pvt. Ltd. The company transferred the rights (formulation, I P R , and goodwill, etc.) to
a beverage company, Coca-Cola, for the Indian Territory. However, in 2008, the Bisleri Company ap-
plied for registration of Trademark ‘Maaza‘ in Turkey and started exporting the product with the mark
‘MAAZA‘. This was unacceptable to the Coca-Cola Company and thus filed a petition for permanent
injunction and damages for passing-off and infringement of the Trademark.

It was argued on behalf of Plaintiff (Coca-Cola Company) that as the mark ‘Maaza‘ concerning the Indian
market was assigned to Coca-Cola, and the manufacture of the product with such mark, whether for sale
in India or for export, would be considered as an infringement. After hearing both the parties, the court
finally granted an interim injunction against the defendant (Bisleri) from using the Trademark M A A Z A
in India as well as for the export market, which was held to be an infringement of Trademark.

Questi on B a n k

1. Explain the concept of ’Copyrights’ and ’Related Rights’ and how they are categorized under
intellectual property. Provide examples of works covered under these rights.

2. Examine the classes(types) of copyrights existing in India, highlighting the types of works covered
under each class.

3. Elaborate on the criteria for copyright protection, focusing on the qualifications, originality, and
creative effort required. Provide examples to illustrate these criteria.

4. Discuss the ownership of copyright, including the initial owner and scenarios involving employment
or government work.
5. Explain the process and requirements for obtaining permission to use copyrighted material. High-
light the factors to be mentioned in a permission request.

6. Distinguish between economic rights and moral rights of copyright owners. Provide examples of
activities covered under each type of right.

7. Explore the concept of copyright infringements, listing acts considered as infringements under the
Copyrights Act, 1957. Discuss the liabilities of the owner of an auditorium/hall in the context of
copyright.
8. Discuss the Fair Use Doctrine and its four-part test. Provide examples of situations where the
Fair Use Doctrine may be applicable.
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9. Examine the challenges posed by the digital era in the context of copyrights. Discuss the implica-
tions of internet use on copyright and the inclusion of computer programs in literary works.

10. Explain the concept of automatic copyright protection. What rights does the creator obtain upon
the act of creation?

11. Discuss the role of copyright registration. How does the certificate of registration serve as prima
facie evidence in legal disputes?

12. Describe the prominent forms used for copyright registration in India. Explain the information
required in Form No. X I V.

13. Outline the judicial powers of the Registrar of Copyrights. In what situations can the Registrar
exercise powers similar to a civil court?

14. Explain the process of copyright application submission in India. What are the options for sub-
mitti ng the application, and who is eligible to file the application?

15. Discuss the time frame and steps involved in the evaluation of a copyright application. How are
objections handled during the evaluation process?

16. Provide details on the fee structure for copyright registration in India. Include information on
different types of works and their corresponding fees.

17. Examine the significance of copyright symbols. What elements can be included as a copyright
mark on creative works?

18. Discuss the validity period of copyright in India. What factors determine the starting point of this
validity period?

19. Analyze the copyright profile of India based on a five-year study. Highlight trends in the number
of applications and registrations during this period.

20. Discuss the legal controversy surrounding the ”David vs. Macaques” Copyright case in Indonesia,
2011. Analyze the settlement reached between David Slater and People for the Ethical Treatment
of Animals ( P E TA ) .

21. Examine the legal history and settlement of the ”Happy Birthday to you” case, highlighting the
origins of the song and the Copyright issues involved. Discuss the implications of the song entering
the public domain.

22. Explore the future Copyright implications for the works of Harivansh Rai Bachchan, the father
of Amitabh Bachchan. Analyze the provisions of the Copyright Act, 1957, and discuss the rights
duration as per the Act.

23. Explain the eligibility criteria for trademarks, emphasizing distinctiveness, descriptiveness, and
similarity to prior marks. Provide examples to illustrate these criteria.

24. Discuss the concept of collective marks and provide an example, such as the use of the ’Reliance’
symbol. Explain how organizations or associations can file for and use collective marks.

25. Explore the acts and laws governing trademarks in India, focusing on The Trademarks Act, 1999,
and Trademarks Rules, 2002. Highlight the key amendments made in 2010 and 2017.

26. Examine the classification of trademarks under the ’Nice Agreement’ and provide examples of
goods and services falling under different classes.
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27. Discuss the significance of trademark symbols, including TM , O O SM , and O R . Explain

the legal implications and protection associated with each symbol.
Module 5

Industrial Designs & Geographical

Indicati ons

Syllabus:

T
IE
Industrial Designs Eligibility Criteria. Acts and Laws to Govern Industrial Designs. Design Rights.
Enforcement of Design Rights. Non-Protectable Industrial Designs India. Protection Term. Procedure
for Registration of Industrial Designs. Prior Art Search. Application for Registration. Duration of the
Registration of a Design. Importance of Design Registration. Cancellation of the Registered Design. Ap-
plication Forms. Classification of Industrial Designs. Designs Registration Trend in India. International
Treaties. Famous Case Law: Apple Inc. vs. Samsung Electronics Co.
Geographical Indicati ons: Acts, Laws and Rules Pertaining to GI. Ownership of GI. Rights Granted
to the Holders. Registered G I in India. Identification of Registered GI. Classes of GI. Non-Registerable
GI. Protection of GI. Collective or Certification Marks. Enforcement of G I Rights. Procedure for G I
AJ

Registration Documents Required for G I Registration. G I Ecosystem in India. Case Studies on Patents.
Case study of Curcuma (Turmeric) Patent, Case study of Neem Patent, Case study of Basmati patent.
I P Organizations In India. Schemes and Programmes
Text b o o k :
Intellectual Property A Primer for Academia by Prof. Rupinder Tewari Ms. Mamta Bhardwaj
Reference B oo k:
Intellectual Property Rights by [Link] Asia Law House 6th Edition. ISBN: 978-93-81849-30-9.

5.1 Industrial Designs

Defi niti on of Design :

The word ‘Design’ is defined as the features of shape, configuration, pattern, ornament, or composition

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of lines or colors applied to any article. The Design may be of any dimension, i.e., one or two or three
dimensional or a combination of these. In addition, it may be created by any industrial process or means,
whether manual, mechanical, or chemical, separate or combined, which in the finished article appeals to
and is judged solely by the eye. However, the word ‘Design’ does not include any mode or principle of
construction or anything that is in substance a merely mechanical device.

E xa m p l e : Consider a smartphone case with a unique pattern embossed on its surface. The pattern
and its arrangement contribute to the design of the case.

O b je c t of Registrati on:
The main object of registration of industrial designs is to protect and incentivize the original creativity
of the originator and encourage others to work towards the art of creativity.

E xa m p l e : If an artist creates a novel and unique design for a chair, registering that design ensures that
the artist is recognized as the originator and has exclusive rights to the design.

5.2 Eligibility C ri te r i a

The Design for which protection is being sought must be novel or original, i.e., it should not be disclosed
to the public by prior publication or by prior use or in any other way. The Design should be signifi cantly
disti nguishable from the already registered Designs existing in the public domain.
E xa m p l e : Consider a new and unique chair design that has not been publicly disclosed or used before.
To be eligible for protection, this design must not closely resemble any existing registered designs in the
public domain.

5.3 A c t s and L aws to Govern Industrial Designs

In India, Industrial Designs are governed under The Designs Act, 2000 ( htt p : / / w w w. i p i n d i a . n i c .
in /act s-d [Link]) and Design Rules, 2001 (htt p ://w w [Link] in d ia.n [Link] /ru les-d esign [Link]),
which have been amended from time to time in 2008, 2013, 2014, and 2019. The Design should include
the following characteristics:

It should be novel and original.

It should be applicable to a functional article.

It should be visible on a finished article.

There should be no prior publication or disclosure of the Design.

L i s t of Industrial Designs :
A list of Industrial Designs can be accessed from htt ps://[Link] [Link]/product-design/
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examples-industrial-design-12121488. Some of the famous Industrial Designs are mentioned below:

1. C o c a - C o l a Bott le: The contoured-shaped glass bottle of the Coca-Cola Company is marvelled as
a master showpiece in the field of industrial design. It was designed in 1915 and is still a cynosure
for all eyes.

2. Piag gio Vespa: Piaggio is an Italian company famous for manufacturing Vespa scooters. These
scooters are sold worldwide since the 1940s. The structural design of the scooter is pleasing to
the eyes, with a painted steel body concealing the engine, comfortable driver’s feet rest, and a well-
designed front portion.

3. iPhone: A highly popular mobile phone manufactured by the American company ’Apple Inc.’
The sleek, handy, and rectangular body is pleasing to the eyes, with round and smooth corners.
The features, such as on/off and speech volume, are easy to operate.

4. M i n i Co op er : An automobile car manufactured by the Briti sh Motor Corporation. Its unique

shape provides plenty of space (nearly 80

5. Ro c k i n g Wheel C h a i r : A sleek, circular-shaped chair that provides a smooth rocking motion.

There is a provision for a headlight in the upper part of the chair.

6. J u i c y Salif: A citrus juice squeezer considered an iconic structural design. The alumina-based
body has been molded in the shape of a fish called a squid.

5.4 Design R i g h t s

The Design registration also confers a monopolistic right to the Proprietor by which he can legally exclude
others from reproducing, manufacturing, selling, or dealing in the said registered Design without his prior
consent. The Design registration is particularly useful for entities where the shape of the product has
aesthetic value, and the entity wishes to have exclusivity over the said novel and original Design applied
to its product(s) or article(s).
E xa m p l e : Consider a company that designs a unique and aesthetically pleasing chair. By registering
the design, the company obtains exclusive rights to the design. This means that no other entity can
reproduce, manufacture, sell, or deal in a chair with the same registered design without the prior consent
of the proprietor.

5.5 Enforcement of Design R i ghts :

Once the applicant has been conferred with the rights over a specific Design, he has the right to sue the
person (natural/entity) if the pirated products of his registered design are being used. He can file the
infringement case in the court (not lower than District Court) to stop such exploitation and for claiming
any damage to which the registered proprietor is legally entitled. The court will ensure first that the
Design of the said product is registered under the Designs Act, 2000. If the Design is found not registered
under the Act, there will not be legal action against the infringer. If the infringer is found guilty of piracy
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or infringement, the court can ask him to pay the damage (Rs. 50,000/-) in respect of infringement of
one registered Design.
E xa m p l e : Consider a scenario where a company discovers that another entity is producing and selling
products with an identical design that is registered under the Designs Act, 2000. The registered proprietor
can enforce their design rights by filing an infringement case in the court (not lower than District Court).
If the court finds the infringer guilty, they may be required to pay damages (Rs. 50,000/-) for the
infringement of one registered Design.

6. Non-Protectable Industrial Designs in India

Any Industrial Design which is against public moral values.

Industrial Designs including flags, emblems, or signs of any country. Industrial Designs of inte-
grated circuits.

Any Design describing the ’process of making of an article’.

Industrial Designs of – books, calendars, certificates, forms, and other documents, dressmaking
patterns, greeting cards, leaflets, maps and plan cards, postcards, stamps, medals.

The artistic work defined under Section 2(c) of the Copyright Act, 1957 is not a subject matter
for registration for Industrial Designs, such as:

– Paintings, sculptures, drawings including a diagram, map, chart, or plan.

– Photographs and work of architecture.

– Any other work related to artistic craftsmanship.

Industrial Designs do not include any Trademark (The Designs Act, 2000).

5.7 Protecti on Te r m

The outer ’Shape or Design’ of a product makes it more appealing and acts as the value-adding factor to
the product. Therefore, there is a need to protect one’s creation from being used by third parties without
consent from the original creator. The registered Designs are protected for 10 years in India and can be
extended by 5 years after making a renewal application.
E xa m p l e : Consider a company that registers the design of a unique and aesthetically appealing chair.
The protection term for this registered design will initially be 10 years. However, to continue the pro-
tection beyond the initial term, the company can apply for a renewal, extending the protection by an
additional 5 years.
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5.8 Procedure for Registrati on of Industrial Designs

1. P r i o r A r t Search:
Before filing an application for the registration of Industrial Designs, it is prudent to ensure that the same
or similar Design has not been registered earlier. This search can be carried out using various search
engines, such as:

Design Search Uti lity ( C G P D T M ) : ( h tt p s : / / i p i n d i a s e r v i c e s . g ov. i n / d e s i g n s e a rc h /) .

Global Design Database (WIPO): (htt ps://[Link]/designdb/en/[Link]).

Hague Express Database (WIPO): (htt ps://[Link]/designdb/hague/en/#).

Design View ( E U I P O ): (htt ps://[Link]/tmdsviewweb/welcome#/dsview).

2. App licati on for Registrati on :

Once the applicant is satisfied that his Design is novel and significantly distinguishable from other De-
signs, he can proceed with filing an application for Design registration. The application for registration
of Design can be filed by an individual, small entity, institution, organization, and industry. The appli-
cation may be filed through a professional patent agent or legal practitioner. If the applicant is not a
resident of India, an agent residing in India has to be employed for this purpose. The applicant submits
the registration application at the Design Office Deputy Controller of Patents & Designs, Patent Office,
Intellectual Property Office Building, CP-2 Sector V, Salt Lake City, Kolkata-700091.
After the application has been filed, an officer (examiner) analyses the application for qualifying the
minimum standards laid down for eligibility criteria for registration. In case of any query, the same is
sent to the applicant, and he is supposed to respond within 6 months from the objection raised. Once
the objections are removed, the application is accepted for registration. The particulars of the applica-
tion, along with the representation of the article, are published in the Official Journal of Patent Office (
htt p ://w w [Link] /journa l-patent [Link] m). If no objection is received from the public, the
Design is registered.

After the registration of the Design, the applicant becomes the proprietor of the Design and is conferred
with the exclusive right to apply that Design to the article belonging to the class in which it is registered.
The applicant puts up a request for issuance of a certificate of registration (for an Industrial Design). A
flow chart of the registration process is mentioned below:
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5.9 D urati on of the Registrati on of a Design :

Initially, the Design registration is valid for ten years from the date of registration. In the case wherein
the priority date has been claimed, the duration of the registration is counted from the priority date. The
period of registration may be extended further for five years. An application has to be made in Form-3
accompanied by prescribed fees to the Controller General before the expiry of the said initial period of
ten years.
E xa m p l e : Consider a company that successfully registers the design of a new and innovative electronic
device. The initial duration of protection for this registered design will be ten years from the date of
registration. If the company wishes to continue the protection beyond the initial ten years, they can
apply for an extension by submitti ng Form-3 along with the prescribed fees to the Controller General
before the expiry of the initial ten-year period.

5.10 Importance of Design Registrati on

Registration of Design ensures the exclusive rights of the applicant on the Design. The owner can prevent
the registered Design products from piracy and imitation. This helps the owner to boost the sale of the
products and establish goodwill in the market.
E xa m p l e : Consider a fashion designer who creates a unique and trendy clothing design. By registering
the design, the fashion designer obtains exclusive rights, preventing others from producing identical or
similar clothing items without consent. This exclusivity not only safeguards the designer’s creative efforts
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but also enhances the market value of the designer’s clothing line, as consumers are more likely to associate
the unique design with the original creator, thereby establishing goodwill in the fashion industry.

5.11 Cancellati on of the Registered Design

The registration of a Design may be cancelled at any time. The petition has to be filed in Form-8 with
prescribed fees to the Controller of Designs. The application can be made on the following grounds:

Design has already been registered.

Design has been published in India or elsewhere before the date of registration.

Design is not novel and original.

It is not a Design under Clause (d) of Section 2.

E xa m p l e : Consider a scenario where a company discovers that another entity has registered a design
that is identical to their own and was already registered. The aggrieved company can file a petition
in Form-8 with the prescribed fees to the Controller of Designs, citing the ground that the design has
already been registered. If the Controller finds merit in the petition, the registration of the design may
be canceled.

5.12 Applicati on Form s

There are a total of 24 forms pertaining to Industrial Designs. A list of important forms is mentioned
below.

S. N a m e of the Fo r m Fo r m Fee( N atural Fee(Small Fee(Large

No No. Person) E n ti t y ) E n ti t y )
1. Application for registration of Design. Form-1 1,000 2,000 4,000
2. Application for the Restoration of Design. Form-4 1,000 2,000 4,000
3. Application for renewal of Design. Form-3 2,000 4,000 8,000
4. Petition for cancellation for registration of Form-8 1,500 3,000 6,000
a Design.
5. Notice of intended exhibition or publica- Form-9 500 1,000 2,000
tion of unregistered Design.
6. Application for entry of name of propri- Form-11 500 1,000 2,000
etor or part proprietor in the Register.
7. Request for correction of clerical error. Form-14 500 1,000 2,000
8. Request for certified copy. Form-15 500 1,000 2,000
9. Application for rectification of Register. Form-17 500 1,000 2,000
10. Notice of opposition. Form-19 100 200 400
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5.13 Classifi cati on of Industrial Designs

Designs are registered in different classes as per the Locarno Agreement, 1968 (htt ps://[Link].
i n t /c l a s s i fi ca ti o n s / l o ca r n o / l o c p u b /e n / f r /) . It is used to classify goods for the registration of
Industrial Designs as well as for Design searches. The signatory parties have to indicate these classes
in the official documents too. The classification comprises a list of classes and subclasses with a list of
goods that constitute Industrial Designs. There are 32 classes and 237 subclasses that can be searched
in two languages, i.e., English and French.

For example, Class 1 includes foodstuff for human beings, foodstuffs for animals, and dietetic foods
excluding packages because they are classified under Class 9 (Bottles, Flasks, Pots, Carboys, Demijohns,
and Pressurized Containers). Class 32 classifies the Design of graphic symbols and logos, surface patterns,
ornamentation.

5.14 Designs Registrati on Tre n d in India

Figure 2.11 represents the statistics for Industrial Designs (filed, examined, and registered) for the period
2010-20. During this period, an increase of 88%, 117%, and 33% was observed in the parameters of
Designs filed, examined, and registered, respectively. In all three parameters, the graph depicts a similar
pattern (more or less) with the highest numbers observed in 2019-20 for Designs filed (12,268), examined
(13,644), and registered (14,272).

5.15 Famous C a s e L aw : A p p l e Inc. vs. Sam s ung

Electronics C o .

In 2011, Apple Inc. filed a case against Samsung Electronics Co. in the United States District Court for
the Northern District of California for infringing their Designs and Uti lity Patents of the user interface like
screen app grid and tap to zoom. As evidence, Apple Inc. submitted the side-by-side image comparison of
the iPhone 3GS and the i9000 Galaxy S to demonstrate the alleged similarities in both models. However,
later it was found that the images were tempered by the Apple Company to match the dimensions and
features of the controversial Designs. So the counsel for Samsung Electronics blamed Apple of submitti ng
false and misleading evidence to the court, and the company countersued the Apple Company in Seoul,
South Korea; Tokyo, Japan; and Mannheim, Germany, United States District Court for the District of
Delaware, and with the United States International Trade Commission ( I T C ) in Washington D.C. The
proceedings continued for 7 years in various courts. In June 2018, both companies reached a settlement,
and Samsung was ordered to pay $539 million to Apple Inc. for infringing on its patents.
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5.16 Geographical Indicati ons

Introducti on:
In every country, there are certain regions famous for their traditional knowledge/heritage in various
sectors, such as agriculture, food products, textiles, etc. People from far-off places used to travel to buy
these products. For example, Christopher Columbus sailed from Spain to import world-famous spices
from India. Briti sh people traveled to Arabian countries to import Arabian horses for siring fast running
horses for commercial gains. Similarly, China silk and Dhaka Muslin have been in great demand from
times immemorial. The reputation of these products was built upon and painstakingly maintained by
the experts/masters of respective geographical locations. The know-how of these reputed products was
passed onto future generations. With the passage of time, a specific link between the goods produced
and geographical location evolved, resulting in the growth of Geographical Indications (GI).

Defi niti on of Geographical Indicati ons :

A G I is defined as a sign that can be used on products belonging to a particular geographical loca-
tion/region and possesses qualities or a reputation associated with that region. In GI, there is a strong
link between the product and its original place of production.

Exa m p l e s of Geographical Indicati ons :

Darjeeling Tea: Known for its unique flavor and aroma, Darjeeling Tea is a Geographical Indi-
cation associated with the Darjeeling region in India.

Parmigiano-Reggiano: An Italian cheese known for its high quality, Parmigiano-Reggiano is a

Geographical Indication linked to specific regions in Italy where it is produced.

Ch am p agn e: The sparkling wine produced in the Champagne region of France is a classic example
of a Geographical Indication.

5.17 A c t s , L aws and R u l e s Pertaining to G I

In India, G I was introduced in 2003 and is governed under the Geographical Indications of Goods (Reg-
istration & Protection) Act, 1999 and the Geographical Indications of Goods (Registration & Protection)
Rules, 2002.

5.18 Ownership of G I

The ownership/holders of G I (registered) can be of the producers, as a group/association/cooperative

society, or association, or in certain cases, the government.
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5.19 R i g h t s Granted to the Holders

R i g h t to grant the license to others: The holder has the right to gift, sell, transfer/grant a
license, mortgage, or enter into any other arrangement for consideration regarding their product.
A license or assignment must be given in writing and registered with the Registrar of G I for it to
be valid and legitimate.

R i g h t to sue: The holder of G I has the right to use and take legal action against a person who
uses the product without his consent.

R i g h t to exploit: The holder of G I can authorize users with the exclusive right to use goods for
which the G I is registered.

R i g h t to get reliefs: Registered proprietors and authorized users have the right to obtain relief
concerning the violation of such G I products.

5.20 Registered G I in India:

G I products registered in India belong to various domains, including handicrafts, agriculture, foodstuffs,
alcoholic beverages, etc.
Historical C o ntex t : The first G I tag was granted in 2004 to Darjeeling Tea, and the latest were
Kashmir Saffron and Manipur Black Rice (Chakhao) in May 2020.
Total G I Registrati ons : As of May 2020, a total of 370 G I have been registered in India.
Distr ibu ti o n by Catego r y:

Handicrafts: 58%

Agriculture: 30%

Other categories: foodstuffs, manufacturing, natural goods, etc.

Regional Distribu ti on in Hand icraft s : In the Handicraft category, Tamil Nadu holds the maximum
number (21) of GIs, followed by Utt ar Pradesh (20) and Karnataka (19).
Notable G I s :
A few popular GIs are mentioned in the following Table.

GI Type State
Darjeeling Tea Agriculture West Bengal
Mysore Silk Handicraft Karnataka
Kashmir Pashmina Handicraft Jammu & Kashmir
Banaras Brocades and Sarees Handicraft Utt ar Pradesh
Naga Mircha Agriculture Nagaland
Tirupathi Laddu Foodstuff Andhra Pradesh
Phulkari Handicraft Punjab, Haryana, Rajasthan
Basmati Agriculture India
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International countries, such as Thailand, France, Portugal, Italy, Mexico, Peru, and the United Kingdom,
have also filed G I in India, e.g., Champagne (wine) of France and Scotch Whisky of the United Kingdom.

5.21 Identi fi cati on of Registered G I

Registered G I products are granted a tag, which is printed on the registered products. The tag confirms
the genuineness of the product in terms of its production (by set standards) and location of production.
Non-registered G I products cannot use/exploit this tag. By and large, G I tags represent the place of
origin (of the product) along with cultural and/or historical identity, e.g., Darjeeling Tea, Mysore Silk,
Tirupathi Laddu, etc.

Issuance of G I Tags :
In India, G I tags are issued by the Geographical Indication Registry under the Department for Promo-
tion of Industry and Internal Trade, Ministry of Commerce and Industry. The head of the G I registry
is located at Geographical Indications Registry, Intellectual Property Office Building, Industrial Estate,
G.S.T Road, Guindy, Chennai - 600032.

Glo b al Standards :
G I registered products can be grown/produced anywhere in the world using standards laid down by the
G I Registry. However, these products cannot be labeled as G I unless they are produced/manufactured
in a specific geographical location, as mentioned in the official records maintained by the G I Office. For
example, plants of Darjeeling Tea can be grown in any part of India. Sti ll, the tea leaves of these plants
cannot be sold under the brand name of Darjeeling Tea, as the concerned plants were not grown in the
soil and climate of the Darjeeling area.

5.22 Classes of G I

G I certified goods are classified under 34 different classes.

For example:

C l a s s 1: Chemicals used in industry, science, photography, agriculture, horticulture, and forestry;

unprocessed artificial resins, unprocessed plastics; manures; fire extinguishing compositions; tem-
pering and soldering preparations; chemical substances for preserving foodstuffs; tanning sub-
stances; adhesives used in industry.

C l a s s 33: Alcoholic beverages (except beers).

C l a s s 34: Tobacco, smokers‘ articles, matches.

More details can be extracted from the official website of C G P D T M Office ( htt p : / / w w w. i p i n d i a . n i c .
in /writeread data /images/pdf/classifi cati on o f-goo d s.p d f).
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5.23 Non-Registerable G I

For G I registration, the indications must fall within the scope of Section 2(1)(e) of the G I Act, 1999. Being
so, it has to also satisfy the provisions of Section 9, which prohibits the registration of a G I mentioned
below:

The use of which would be likely to deceive or cause confusion.

The use of which would be contrary to any law.

Which comprises or contains scandalous or obscene matter.

Which comprises or contains any matter likely to hurt the sentiments of society.

Religious susceptibilities of any class or section of the citizens of India.

Which are determined to be generic names or indications of goods and are, therefore, not or ceased
to be protected in their country of origin or which have fallen into disuse in that country.

5.24 Protecti on of G I

The I P rights to G I are enforced by the court of law of the concerned country. The G I registration
of a product has certain advantages. It enables to identify pirated/non-genuine stuff, provides more
commercial value to the product, and also strengthens the case if it reaches the judicial courts.
The two common methods of protecting a G I are:

1. S u i generis systems: Special regimes of protection.

2. Certi fi cati on or Collecti ve M a r k Systems: Under these systems, G I is protected through
certification marks or collective marks. Many countries, including India, protect G I using the
sui generis system. This decision was taken after the T R I P S agreement (1995), and an option
was given to the countries to choose either T R I P S standards or the sui generis system. This
was decided by considering the fact that every country has different legislation and geographical
structures & resources. Therefore, this system is not uniform in all countries and varies according
to the jurisdiction and legislation of the particular country.

5.25 Collecti ve or Certi fi cati on M a r k s

Certification marks aim to certify the products comply with specific quality standards irrespective of
their origin. These standards include permitted materials and manufacturing methods. Therefore, the
purpose of certification marks is to distinguish certified goods from non-certified ones.
Collective marks are owned by associations ensuring compliance with the agreed standards. Collective
marks signify that a good or service originates from a member of a particular association. The collective
mark is used by cooperating enterprises that have agreed to comply with defined quality standards for
goods or services that share common characteristics.
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5.26 Enforcement of G I R i g h t s

The rights to G I protection are typically enforced by the court of law. The sanctions provided could
be civil (injunctions restraining or prohibiting unlawful acts, actions for damages, etc.), criminal, or
administrative.

5.27 Procedure for G I Registrati on

Prior to filing an application for registering GI, it is prudent to search whether the concerned G I is
already protected or not. This can be done by using search engines created by W I P O (htt ps://www.
w i p o . i n t / i p d l /e n /s e a rc h / l i s b o n /s e a rc h - s t r u c t . j s p) where ‘Search of Appellations of Origin and
Geographical Indications’ both can be conducted.

Additionally, W I P O has created a directory of all I P offices of its member countries. The registered G I of
any country can be searched by accessing the website of the respective country (htt ps://[Link]/
d i re c t o r y /e n / u r l s . j s p) . The list of registered G I in India can be accessed from the official website of
C G P D T M htt p://[Link]/writereaddata/Portal/News/367_1_Registered_GI.pdf.

Once the prior search for registered G I is done, the applicant has to file an application. The application for
G I can be forwarded by an individual or an organization or authority of people established under Indian
law. The application in a prescribed format is submitted to the Registrar, Geographical Indications
along with the prescribed fee (htt p://[Link]/writereaddata/Portal/IPORule/1_27_
1 _g i r u l e s. p d f) . In the application, the applicant needs to mention the interest of the producers of the
concerned product. The application should be duly signed by the applicant or his agent with all the
details about the G I that how its standard will be maintained. The submission of three certified copies
of the map of the region where the G I belongs is mandatory.

Once the application is filed at G I Registry, the Examiner will scrutinize the application for any de-
ficiencies or similarities. If the examiner finds any discrepancy, he will communicate the same to the
applicant, which is to be replied within one month of the communication of the discrepancy. Once the
examiner is satisfied with the response/s, he files an examination report and hands over the same to the
Registrar. Once again, the application is scrutinized. If need be, the applicant is asked to clear any
doubts/objections within two months of the communication otherwise, the application will be rejected.
After getti ng a green signal from the Registrar, the application is published in the official Geographical
Indication Journal ( htt p : / / w w w. i p i n d i a . n i c . i n / j o u r n a l -g i . ht m) for seeking any objections to the
claims mentioned in the application. The objections have to be filed within four months of the publica-
tion. If no opposition is received, the G I gets registered by allotti ng the filing date as the registration
date. Initially, G I is registered for ten years but is renewable on the payment of the fee.
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5.28 Documents Required for G I Registrati on

The following documents are required for the registration of Geographical Indications:

Details about the applicant‘s name, address, and particulars.

Application form GI-1A.

Statement about the designated goods being protected under GI.

Class of goods.

Affi davit to establish the claim of genuinely representing the interest of the producers.

Characteristics of GI.

The special human skill required (if any).

5.29 Applicati on Form s for G I Registrati on in India

The important forms to file Geographical Indication ( GI ) in India under various classes are mentioned
below:

1. Fo r m G I - 1 : Application for the registration of a Geographical Indication for goods included in

one class.
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Requisite Fee: Rs. 5000

2. Fo r m G I - 1 A : Application for the registration of a Geographical Indication for goods included in

one class from a Convention country.

Requisite Fee: Rs. 5000

3. Fo r m G I - 2 : A single application for the registration of a Geographical Indication for goods in

different classes.

Requisite Fee: Rs. 5000 for each class

4. Fo r m G I - 2 A : A single application for the registration of a Geographical Indication for goods in

different classes from a Convention country.

Requisite Fee: Rs. 5000 for each class

5. Fo r m G I - 3 : Notice of opposition to the registration of a Geographical Indication or an opposition

or an authorized user.

Requisite Fee: Rs. 1000 for each class

6. Fo r m G I - 3 A : Form of counter-statement.

Requisite Fee: Rs. 1000

7. Fo r m G I - 3 B : Application for extension of time for filing notice of opposition.

Requisite Fee: Rs. 300

8. Fo r m G I - 4 : Application for the registration of an authorized user of a registered Geographical

Indication.

Requisite Fee: Rs. 500

9. Fo r m G I - 5 : Request for issuance of a registration certificate as an authorized user.

Requisite Fee: Rs. 100

10. Fo r m G I - 6 : For renewal of an authorized user.

Requisite Fee: Rs. 1000

11. Fo r m G I - 7 : Renewal of the registration of a Geographical Indication at the expiration of the last
registration.

Requisite Fee: Rs. 3000

12. Fo r m G I - 7 A : Application for restoration of a Geographical Indication or an authorized user

removed from the Register.

Requisite Fee: Rs. 1000 plus applicable renewal fee

13. Fo r m G I - 7 B : Application for renewal within six months from the expiration of the last registra-
tion of Geographical Indication.

Requisite Fee: Rs. 3500

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14. Fo r m G I - 8 : Application for registration of a Geographical Indications agent.

Requisite Fee: Rs. 1000

15. Fo r m G I - 1 0 : Application for cancellation of an entry in the Register or to strike out goods.

Requisite Fee: Rs. 300

5.30 G I Ecosystem in India

India is among the geographically and traditionally rich countries. The scope of generating Geographical
Indication ( GI ) products in India is enormous. These products can contribute to the economic develop-
ment of a particular region or society. However, till June 2021, a total of 370 G I have been registered in
India, which is much below its potential ( htt ps: / / i p i n d i a . g ov. i n / wr i terea d d ata / Po r ta l / I m a ge s/
pdf/GI_Applicati on_Register_10-[Link]). Figure 2.13 represents the statistics for G I (filed
and registered) for the period 2010-20. The maximum number (148) of G I was filed in 2011-12, whereas
the minimum number (17) was observed in 2015-16. Not much change in the number of G I registrations
was observed during the period 2010-20. Each year, the number hovered around in the twenties, with
the maximum registrations (34) seen in 2016-17.

5.31 Tu r m e ri c Patent C a s e

Tu r m e r ic Plant:
Turmeric, scientifically known as Cucurma, is a prominent Geographical Indication ( GI ) in India. Turmeric(Curcuma
longa) is a flowering plant from the ginger family, originating from rhizomes plants. It is used as a spice
in Indian cooking and has medicinal and cosmetic uses, traditionally known for its wound-healing and
anti-parasitic properties.
Tu r m e r ic Patent Batt le:
The Turmeric Case is one of the most publicized cases involves the patenting of the wound healing
properties of turmeric (Curcuma longa) by two scientists of Indian origin in the United States in 1994.
Turmeric powder, specifically for wound healing, was patented in the US by the University of Mississippi
Medical Center. Although existing knowledge is not patentable, and the essential criterion of novelty
should disqualify it as an invention, the patent was granted due to a failure by the Patent Office to
identify the existing knowledge. This case sparked considerable discussion and debate in India as the
knowledge was available in ancient Ayurvedic texts. The Council of Scientific and Industrial Research
( C S I R ) , New Delhi challenged the patent’s grant before the US Patent and Trademark Office ( U S P TO )
and a re-examination application was filed with US Patent Office claiming the use of turmeric powder
was no novel invention and the medicinal use existed since ages. All the supporting evidence of ancient
Sanskrit were presented. Later, the US Patent Office revoked this patent stating the patent were obvious
and agreeing the use of turmeric having been known in India for centuries.
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5.32 N eem Patent C a s e

Neem :
Another instance involves the medicinal plant Neem (Azadirachta indica), whose properties were well-
known in India but not as recognized in the US and Europe. Neem extracts are used in agriculture for
pest and fungal control, and neem oil has medicinal properties. It has been used traditionally to treat
various diseases, and neem twigs are used as toothbrushes.
N e e m Patent Batt le:
In 1994, the European Patent Office ( E P O ) granted a patent to the US corporation W.R. Grace Company
and the US Department of Agriculture for a ”method for controlling fungi on plants by the aid of
hydrophobic extracted neem oil.” This patent was opposed by various non-governmental organizations
and Indian farmers, providing evidence of neem’s traditional use. The European Patent Office later
revoked the patent in 2000, stating it lacked inventive steps.

33. B as m ati Patent C a s e

B a s m ati R i c e :
Basmati rice is an aromatic variety grown in India and Pakistan. It has a long history in the region, with
farmers conserving distinct varieties for centuries.
B a s m ati Patent Batt le:
An American company ‘RiceTec’ was granted US Patent on ‘basmati rice lines and grains’. The patent
includes basmati and basmati-like rice. The company also claimed that it’s the novel innovation of them
creating such rice. Which also caused crisis between India and United States. The Indians claimed that
the innovation they are claiming are false, India threateningly took the matter to W T O as violation of
T R I P S . Later, RiceTec withdrew the claims of the patent. This controversy highlighted issues related to
traditional knowledge.

These case studies underscore the importance of protecting traditional knowledge from misappropria-
tion through patents. These cases also emphasize the need for a balanced approach that respects both
traditional practices and modern innovations.

34. I P Organizati ons I n India- Schemes and P r o -

grammes

In India, the key organizations engaged in I P affairs are mentioned below.

Depar tment for Promoti on of I n d u st r y and Internal Trad e ( D P I I T ) , N ew De lh i
D P I I T, formerly known as the Department of Industrial Policy and Promotion ( D I P P ) , operates under
the Ministry of Commerce and Industry, Government of India. It is the apex body for intellectual property
( I P ) in India and was established in 1995. D P I I T plays a crucial role in regulating and administering the
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industrial sector. The major categories of intellectual properties governed and administered by D P I I T
are listed in Table 5.1.

S. No. T y p e of I P Gover ning B o d y

1. Patents
Copyrights
Industrial Designs
Trademarks
Geographical Indications
Semiconductor Integrated Circuits Layout-Design
Department for Promotion of Industry and
Internal Trade, New Delhi

2. Traditional Knowledge Digital Library

Governed by C S I R & Ministry of AY U S H *
3. Plant Variety Protection
Governed by Ministry of Agriculture and Farmers Welfare, New Delhi
4. Biological Diversity Protection
Governed by Ministry of Environment, Forest and Climate Change, New Delhi
5. Trade Secrets
No specific body governs Trade Secrets.
Protected under various statutes like
Indian Contract Act, 1872
Copyright Act, 1957
Information Technology Act, 2000, etc.

D P I I T and Offi ce of the Controller General of Patents, Designs, and Trad e M a r ks ( C G -

PDTM)
D P I I T has established a dedicated and robust Office of the Controller General of Patents, Designs, and
Trade Marks ( C G P D T M ) . This office is responsible for formulating and implementing policies, rules, and
regulations related to Intellectual Property Rights ( I P R ) . In addition to its core responsibilities, D P I I T
undertakes various IPR-related activities, including:

Modernization and strengthening of the Intellectual Property Office.

Strengthening of physical infrastructure.

Enhancement of human resources.

Expansion of physical infrastructure in Delhi, Mumbai, Kolkata, and Chennai.

I T up-gradation.

Development of software required for International Searching Authority (ISA)/Internati onal Pre-
liminary Examining Authority ( I P E A ) and Madrid Protocol.

Subscription to non-patent literature required for Patent Cooperation Treaty ( P C T ) minimum

documentation.

Digitization of records.

Sensitization and awareness programs.

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Establishment of the electronic library.

Furniture and office equipment for the modernized environment in I P offices.

D P I I T actively engages in collaborations with the World Intellectual Property Organization ( W I P O ) and
other apex industry organizations to promote and strengthen the Intellectual Property ( I P ) ecosystem.
These collaborative efforts aim to foster innovation, protect intellectual property rights, and contribute
to the overall development of the I P landscape.

In addition to collaboration, D P I I T plays a significant role in providing valuable inputs on various issues
related to the Agreement on Trade-Related Aspects of Intellectual Property Rights ( T R I P S agreement).
This involvement underscores India’s commitment to contributing to global discussions on intellectual
property matters and ensuring alignment with international standards.

Through these collaborative initiatives and informed contributions, D P I I T strives to enhance the effec-
tiveness and coherence of intellectual property frameworks, both at the national and international levels.
Intellectual Pro p e r t y Appellate B o a rd ( I P A B ) and Recent Ch an ge s

In response to the increasing importance of Intellectual Property Rights ( I P R ) worldwide, the Indian
government established the Intellectual Property Appellate Board ( I PA B ) in 2003. I PA B, operating
under D P I I T, aimed to address the rising number of disputes related to I P R .

Originally, I PA B handled appeals against decisions made by the Registrars of Trademarks and Geograph-
ical Indications, and the Controller of Patents. The Copyright Office also had a dedicated board under
I PA B for determining rates, royalties, licensing, and assessment of compensation.

In 2017, the Copyright Board and Plant Varieties Protection Appellate Tribunal were merged with I PA B,
operating according to their respective Acts and Rules.

However, recent amendments in the Tribunal Reforms Ordinance led to the abolishment of various
Boards/Appellate Tribunals, including I PA B, as of April 4, 2021. Chief Justice D.N. Patel directed the
creation of a dedicated Intellectual Property Division ( I P D ) within High Courts to handle all IPR-related
matters, preventing conflicting decisions and reducing the burden on the judicial system.

All pending I PA B cases (around 3000) were transferred to I P D. Delhi High Court is in the process of
formulating comprehensive rules for I P D, including the creation of specific rules for patent disputes,
following the model of IPDs in other countries like the U K , Japan, Malaysia, Thailand, and China.

This decision is considered a landmark in the history of I P R s in India, streamlining procedures and
avoiding multiplicity of proceedings.
D ra ft Model Guidelines on Implementati on of I P R Po lic y for Acad em ic Insti tuti ons

To enhance the Intellectual Property ( I P ) ecosystem, I P commercialization, and the entrepreneurship

and start-up ecosystem in academic institutions, the Department for Promotion of Industry and Internal
Trade ( D P I I T ) has developed draft model guidelines for the implementation of an I P R policy.

The draft guidelines are designed to provide a framework for academic institutions to effectively imple-
ment policies related to Intellectual Property Rights ( I P R ) . These guidelines aim to foster a culture of
innovation, protect intellectual property, and encourage the commercialization of IP.
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The draft guidelines were made available for public feedback and suggestions from September 9th, 2019,
to October 25th, 2019. Interested parties could access the draft on the official D P I I T website ( h tt p s : / /
d i p p . g ov. i n / d raft -mo d el -g u i d el i n es-i mp l em entati o n -i p r-p o l i c y-a ca d em i c -i n sti t u ti o n s) . The
department actively sought input from the public during this period.

As of now, D P I I T is in the process of finalizing the guidelines, and the official release is expected soon.
Scheme for Facilitati ng Start-u ps Intellectual Pro p e r t y Protecti on ( S I P P )

To safeguard and promote Intellectual Property ( I P ) in India, the Department for Promotion of Indus-
try and Internal Trade ( D P I I T ) introduced the Scheme for Facilitating Start-ups Intellectual Property
Protection ( S I P P ) in 2016.

The details of the scheme can be found on the official D P I I T website ( htt p : / / w w w. i p i n d i a . n i c . i n /
writereaddata/Portal/News/323_1_Scheme_for_facilitati ng_start-[Link]). S I P P is specifically
designed to facilitate the protection of Patents, Trademarks, and Designs generated by start-up compa-
nies.

The primary objective of the scheme is to foster the growth of innovative and emerging technologies
within start-ups. S I P P aims to support these start-ups by providing mentorship and assistance in the
protection and commercialization of their intellectual property. This support is extended by granting
access to high-quality I P services and resources.

Through SIPP, D P I I T seeks to create an environment that encourages the development and safeguarding
of intellectual property within the start-up ecosystem.

5.35 Intellectual P ro p e r t y Initi ati ves in India

Intellectual Pro p e r t y Offi ce ( I P O ) In d ia

The I P O India, under the Department for Promotion of Industry and Internal Trade ( D P I I T ) , is the pri-
mary government agency responsible for the administration and regulation of intellectual property rights
in the country. It oversees the grant and registration of patents, trademarks, designs, and geographical
indications.
Nati onal Intellectual Pro p e r t y R i g h t s ( I P R ) Po lic y
The National I P R Policy, launched in 2016 by the Government of India, aims to foster innovation, pro-
mote creativity, and enhance access to intellectual property protection. The policy focuses on creating
awareness, strengthening enforcement mechanisms, and facilitating the commercialization of IP.
Patent Informati on Centers ( P I C s )
The I P O India has established Patent Information Centers across the country to provide information and
support on patents and the patenting process.
Technology and Innovati on Su p p o r t Centers ( T I S C s )
TI S Cs, set up in collaboration with the World Intellectual Property Organization (WIPO), provide patent-
related information and services, fostering innovation and technology transfer.
R & D and I P Facilitati on
Various government departments and agencies offer schemes and programs to encourage research and de-
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velopment ( R & D ) with a focus on intellectual property. These initiatives often include funding support
and incentives for innovation.
Star t-u p In d ia and Make in In d ia
The Start-up India initiative and the Make in India campaign encourage entrepreneurship and innova-
tion. They provide support for startups, including facilitation of I P protection and fast-tracking of patent
applications.
I P Awareness and Train in g Pro gra m s
The I P O India conducts awareness and training programs to educate stakeholders about intellectual
property rights, their importance, and the process of obtaining protection.
Innovati ons in Science P u rs u i t for Inspired Research ( I N S P I R E )
I N S P I R E is a program under the Department of Science and Technology that aims to attract talent to
the study of science at an early age. It also promotes research and innovation among students.

Questi on B a n k

1. Discuss the eligibility criteria for industrial design protection. Explain the concept of novelty and
originality in relation to industrial designs.

2. Discuss the eligibility criteria for industrial designs. Explore the enforcement of design rights and
non-protectable industrial designs in India. Provide insights into a famous case law related to
industrial designs.

3. Describe the procedure for registration of industrial designs in India. Explain the importance of
conducting a prior art search before filing an application.

4. What are the rights granted to the holders of geographical indications? Discuss the procedure for
registration of geographical indications and the documents required for the registration process.

5. Explain the concept of design rights. Discuss the enforcement mechanisms available for protecting
design rights in India.

6. Discuss the classification of industrial designs based on the Locarno Classification. Explain the
significance of classifying industrial designs in the registration process.

7. Describe the protection term and renewal process for registered industrial designs in India. Discuss
the importance of design registration for businesses.

8. Explain the concept of non-protectable industrial designs in India. Discuss the criteria for deter-
mining the non-protectability of industrial designs.

9. Explain the concept of non-protectable industrial designs in India. Discuss the famous case law
between Apple Inc. and Samsung Electronics Co., highlighting the key legal issues, and the
prolonged legal proceedings.

10. Discuss the acts, laws, and rules governing geographical indications in India. Explain the ownership
of geographical indications and the rights granted to the holders.

11. Define Geographical Indications with example. Explain the procedure for G I Registration.

12. Describe the ecosystem for geographical indications in India. Discuss the role of various organiza-
tions and bodies involved in the promotion and protection of geographical indications.
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13. Explain the ownership of geographical indications (GIs) and the rights granted to holders. Discuss
the classes of GIs and the protection of GIs. Explore collective or certification marks in the context
of GIs.

14. Choose one of the case studies on patents (Curcuma, Neem, or Basmati ) and discuss the key issues
and outcomes of the case. Analyze the impact of these case studies on the protection of traditional
knowledge and intellectual property rights.

15. Explore the eligibility criteria and laws governing industrial designs. Discuss the importance of
design registration, the procedure for registration, and the duration of the registration of a design.
Provide examples of famous case law related to industrial designs.