Research Ethics and Intellectual Property in Engineering

Types of Research Misconduct

• Fabrication (Illegitimate creation of data): Fabrication is the act of conjuring data or experiments with a belief of knowledge about what the conclusion of the analysis or experiments would be, but cannot wait for the results possibly due to timeline pressures from supervisor or customers.

• Falsification (Inappropriate alteration of data): Falsification is the misrepresentation or misinterpretation, or illegitimate alteration of data or experiments, even if partly, to support a desired hypothesis even when the actual data received from experiments suggest otherwise. Falsification and fabrication of data and results hamper engineering research and cause false empirical data to percolate in the literature, wreck trustworthiness of individuals involved, incur additional costs, impede research progress, and cause actual and avoidable delays in technical advancement.

• Plagiarism (Taking others' work sans attribution): Plagiarism takes place when someone uses or reuses the work (including portions) of others (text, data, tables, figures, illustrations or concepts) as if it were his/her own without explicit acknowledgement. Verbatim copying or reusing one's own published work is termed as self-plagiarism and is also an unacceptable practice in scientific literature. The increasing availability of scientific content on the internet seems to encourage plagiarism in certain cases, but also enables detection of such practices through automated software packages.

  How are supervisors, reviewers or editors alerted to plagiarism?

  1. Original author comes to know and informs everyone concerned.
  2. Sometimes a reviewer finds out about it during the review process.
  3. Or, readers who come across the article or book, while doing research.

• Other Aspects of Research Misconduct: Serious deviations from accepted conduct could be construed as research misconduct. When there is both deception and damage, a fraud is deemed to have taken place. Sooner or later ethical violations get exposed. Simultaneous submission of the same article to two different journals also violates publication policies. Another issue is that when mistakes are found in an article or any published content, they are generally not reported for public access unless a researcher is driven enough to build on that mistake and provide a correct version of the same which is not always the primary objective of the researcher.

Defining Engineering 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 to expand the existing knowledge base.
• Research is a process of creating, or formulating knowledge that does not yet exist. Thus research is an art of scientific investigation.

Objectives of Engineering Research

• To solve new and important problems, and since the conclusion at the end of one's research outcome has to be new, but when one starts, the conclusion is unknown.
• Research objectives can sometimes be convoluted and difficult to follow. Knowing where and how to find different types of information helps one solve engineering problems, in both academic and professional career.
• Lack of investigation into engineering guidelines, standards, and best practices result in failures with severe repercussions. As an engineer, the ability to conduct thorough and accurate research while clearly communicating the results is extremely important in decision making.
• The main aim of the research is to apply scientific approaches to seek answers to open questions, and although each research study is particularly suited for a certain approach.
• The objectives of engineering research should be to develop new theoretical or applied knowledge and not necessarily limited to obtaining abilities to obtain the desired result.
• The objectives should be framed such that in the event of not being able to achieve the desired result that is being sought, one can fall back to understanding why it is not possible, because that is also a contribution toward ongoing research in solving that problem.

Ethical Considerations in Research Authorship

• Academic authorship involves communicating scholarly work, establishing priority for their discoveries, and building peer-reputation, and comes with intrinsic burden of acceptance of the responsibility for the contents of the work. It is the primary basis of evaluation for employment, promotion, and other honors.
• There are several important research conduct and ethics related issues connected to authorship of research papers and are summarized herewith in the context of engineering research.
• Credit for research contributions is attributed in three major ways in research publications: by authorship (of the intended publication), citation (of previously published or formally presented work), and through a written acknowledgment (of some inputs to the present research).
• Authorship establishes both accountability and gives due credit. A person is expected to be listed as an author only when associated as a significant contributor in research design, data interpretation, or writing of the paper. Including “guest” or “gift” (co-authorship bestowed on someone with little or no contribution to the work) authors dilutes the contribution of those who actually did the work, inappropriately inflates credentials of the listed authors, and is ethically a red flag highlighting research misconduct.
• Sometimes, the primary author dubiously bestows co-authorship on a junior faculty or a student to boost their chances of employment or promotion, which can be termed as Career-boost authorship.
• There is also an unfortunate malpractice of co-authorship that can be described as “Career-preservation authorship” wherein a head of the department, a dean, a provost, or other administrators are added as Coauthors because of quid pro quo arrangement wherein the principal author benefits from a “good relation” with the superiors and the administrator benefits from authorship without doing the required work for it.
• The unrecognized “author” is as a consequence, unavailable to readers for elaboration.
• All listed authors have the full obligation of all contents of a research article, and so naturally, they should also be made aware of a journal submission by the corresponding author.

Types of Engineering Research

• Descriptive versus Analytical: Descriptive research includes comparative and correlational methods, and fact-finding inquiries, to effectively describe the present state of art. The researcher holds no control over the variables; rather only reports as it is. Descriptive research also includes attempts to determine causes even though the variables cannot be controlled. On the contrary, in analytical research, already available facts for analysis and critical evaluation are utilized. Some research studies can be both descriptive and analytical.

• Applied versus Fundamental: Research can either be applied research or fundamental (basic or pure) research. Applied research seeks to solve an immediate problem facing the organization, whereas fundamental research is concerned with generalizations and formulation of a theory. Research concerning natural phenomena or relating to pure mathematics are examples of fundamental research. 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.

• Quantitative versus Qualitative: Quantitative research uses statistical observations of a sufficiently large number of representative cases to draw any conclusions. While qualitative researchers rely on a few non-representative cases or verbal narrative in behavioral studies such as clustering effect in intersections in Transportation engineering to make a proposition.

• Conceptual vs. Empirical: Conceptual research is that related to some abstract idea(s) or theory. It is generally used by philosophers and thinkers to develop new concepts or to reinterpret existing ones. On the other hand, empirical research relies on experience or observation alone, often without due regard for system and theory. It is data-based research, coming up with conclusions which are capable of being verified by observation or experiment. We can also call it as experimental type of research. In such a research it is necessary to get at facts firsthand, at their source, and actively to go about doing certain things to stimulate the production of desired information.

New and Existing Knowledge in Research

• 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.
• The new knowledge can have vastly different interpretations depending on what the researcher’s background, and one’s perception of that new knowledge can change from indifference to excitement (or vice versa), depending on what else one knows.
• The significance can normally be argued from the point of view that there is indeed an existing problem and that it is known by looking at what already exists in the field.
• The existing knowledge is needed to make the case that there is a problem and that it is important.
• One can infer that the knowledge that is sought to be produced does not yet exist by describing what other knowledge already exists and by pointing out that this part is missing so that what we have is original. To do this, one again needs the existing knowledge: the context, the significance, the originality, and the tools.
• Normally, one finds this knowledge by reading and surveying the literature in the field that was established long ago and also about the more recent knowledge which is in fact always changing.
• With this foundation in place, the new knowledge that one will make will be much more difficult to challenge than without that strong foundation in place which is ensured with lots of references to the literature.
• The research paper is written for other researchers out on the edge of knowledge and it assumes that the reader already knows a lot in that field.
• The review process must explain how a research item builds on another one. An effective review of literature ensures a firm foundation for advancing knowledge, facilitates theoretical growth, eliminates areas that might be of interest, and opens new avenues of possible work.
• 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.
• A good literature survey is typically a two-step process as enumerated below:
  1. Identify the major topics or subtopics or concepts relevant to the subject under consideration.
  2. Place the citation of the relevant source (article/patent/website/data, etc.) in the correct category of the concept/topic/subtopic.

Knowledge Flow via Citation Networks

• Knowledge flows through verbal communications, books, documents, video, audio, and images, which plays a powerful role in research community in promoting the formulation of new knowledge.
• In engineering research, knowledge flow is primarily in the form of books, thesis, articles, patents, and reports. Citing a source is important for transmission of knowledge from previous work to an innovation.
• Knowledge flow happens 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.
• If paper A is cited by paper B, then knowledge flows through citation networks across institutions.
• 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.
• The below figure shows a relationship between co-authorship and different types of citations. 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 Y2 have authors (A, P), (H, R), (D), (Q, B, F), and (R), respectively.

Impact of Title and Keywords on Research Visibility

• The citation rate of any research paper depends on various factors including significance and availability of the journal, publication types, research area, and importance of the published research work.
• Other factors like length of the title, type of the title, and selected keywords also impact the citation count. Title is the most important attribute of any research paper.
• It is the main indication 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 papers traceable.
• A good title is informative, represents a paper effectively to readers, and gains their attention. Some titles are informative but do not capture attention of readers, some titles are attractive but not informative or related to the readers’ research area.
• The download count and citation of a research paper might be influenced by title.
• There are three different aspects which provide a particular behavior to the title:
  1. Types of the title,
  2. Length of the title, and
  3. Presence of specific markers.
• Longer titles mainly include the study methodology and/or results in more detail, and so attract more attention and citations.
• In general, titles containing a question mark, colon, and reference to a specific geographical region are associated with lower citation rates, also result-describing titles usually get citations than method-describing titles.
• Additionally, review articles and original articles usually receive more citations than short communication articles.
• At least two keywords in the title can increase the chance of finding and reading the article as well as get more citations.
• 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.

Critical and Creative Reading in Research

• Reading a research paper is a critical process. The reader should not be under the assumption that reported results or arguments are correct. Rather, being suspicious and asking appropriate questions is in fact a good thing.
• Have the authors attempted to solve the right problem? Are there simpler solutions that have not been considered? What are the limitations (both stated and ignored) of the solution and are there any missing links? Are the assumptions that were made reasonable? Is there a logical flow to the paper or is there a flaw in the reasoning? These need to be ascertained apart from the relevance and the importance of the work, by careful reading.
• Use of judgmental approach and boldness to make judgments is needed while reading.
• Flexibility to discard previous erroneous judgments is also critical.
• Additionally, it is important to ascertain whether the data presented in the paper is right data to substantiate the argument that was made in the paper and whether the data was gathered and interpreted in a correct manner.
• Critical reading is relatively easy. It is relatively easier to critically read to find the mistakes than to read it so as to find the good ideas in the paper. Anyone who has been a regular reviewer of journal articles would agree to such a statement.
• Reading creatively is harder, and requires a positive approach in search. In creative reading, the idea is to actively look for other applications, interesting generalizations, or extended work which the authors might have missed? Are there plausible modifications that may throw up important practical challenges? One might be able to decipher properly if one would like to start researching an extended part of this work, and what should be the immediate next aspect to focus upon.

Web of Science Bibliographic Database

• 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, which can be made by selection in fields that are available in drop down menu such as title, topic, author, address, etc.
• The tool also allows sorting by number of citations (highest to lowest), publication date.
• Put quotes around phrases, add more keywords, or use the “Refine Results” panel on the left to narrow down the search by keyword, phrases in quotation marks, type of material such as peer-reviewed journal articles, date, language, and more.
• “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.
• A structured search like this that enables narrowing and refining what one is looking for is effective to ensure that the results throw up relevant sources and time spent in studying those is likely to be well utilized.
• Based on the researcher’s need the search result can be broadened or narrowed down using the built-in fields provided in this website.
• 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.

Ineffective Citation Types

• Spurious citations: In certain cases, when citation is not required or an appropriate one is not found, if the author nevertheless goes ahead with including one anyways, it would be considered as a spurious citation. These sorts of citations do not add any value to the reader in terms of properly understanding the paper. Such actions result in loss of time of the reader or reviewer in looking for the cited paper that is otherwise not relevant. Just as due credit should be given to a paper through citation, inappropriate credit must be avoided so that the credibility of a research work or of the journal or conference proceedings where that paper is published is not lost through this sort of carelessness.

• Biased citations: When authors cite the work of their friends or colleagues despite there being no significant connection between the two works, or when they do not cite work of genuine significance because they do not wish to give credit in the form of citation to certain individuals, then such actions can be classified as biased citations. Neglect of citations to prior work whose conclusions or data contradict the current work is also biased.

• Self-citations: There is nothing wrong in citing one’s prior work if the citation is really relevant. Self-citation of prior papers is natural because the latest paper is often a part of a larger research project which is ongoing. Sometimes, it is also advantageous for the reader because citations of all the related works of the same author are given in one paper and this may reduce the effort of the reader in trying to find the full versions of those papers. However, it is helpful and ethical only if all the papers are really relevant to the present work. However, there can also be negative impact on the journal as well as individual researchers due to inappropriate and irrelevant self-citations. Self-citations in such cases may be either spurious or biased or even both. Editors of journals who ignore such types of citations and allow by negligence or otherwise, to be included in published materials end up directly or indirectly altering the impact factor of those publications.

• Coercive citations: Despite shortcomings, impact factors remain a primary method of quantification of research. One side effect is that it creates an incentive for editors to indulge in coercion 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 demands consequently diminish the reputation of the journal.

Intellectual Property Rights Explained

Intellectual Property Rights (IPR) is the privileges accorded to the creator/inventor (of IP) in conformance with the laws. These rights are given to the creator/inventor in exchange for revealing the process of creation/invention in the public domain. The inventor is conferred with the special rights to use, sell, distribute, offering for sale and restricting others from using the invention without his prior permission.

IP comprises of two branches i.e. Copyrights and Related Rights and Industrial Property Rights.

• Copyrights and Related Rights refer to the creative expressions in the fields of literature and art, such as books, publications, architecture, music, wood/stone carvings, pictures, portrays sculptures, films and computer-based software’s/databases.
• The Industrial Property Rights refer to the Patents, Trademarks, Trade Services, Industrial Designs and Geographical Indications.

• Copyright: 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: A patent is a legal record that bestows the holder the exclusive right over an invention as per the claims, in a limited geographical 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.

• Trademarks: 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 arrival under letter of credit, application for negotiation and inquiries etc.

• Industrial Designs: An industrial design protection is related to certain specific ornamental shapes associated with products whose duplication the owner may wish to prevent.

• Geographical Indications: 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.

Key Steps in Patent Registration

Prior Art 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/she has to check whether or not his invention already exists in the public domain.
• For this, he/she needs to read patent documents and Non-Patent Literature (NPL), scientific journals/reports/magazines, etc.
• The information lying in the public domain in any form, either before the filing of the patent application or the priority date of the patent application claiming the invention, is termed as Prior Art.
• Conducting a prior art search before filing the patent has advantages as it averts infringement, 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.

Choice of Application to be Filed

Once a decision has been made to patent the invention, 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 application 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 application can be included in the final application. In other words, the provisional application 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.

Pre-grant Opposition

• If anybody has an objection to the invention claimed in the patent application, he/she 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, but under special circumstances, this period can be reduced when the patentee/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.

Indian Patent Filing Requirements Abroad

• In general, Indian residents are required to file the patent application first in India. Subsequently, they may file for patent protection in other countries.
• But for this, prior approval is needed from the Patent Office. However, 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 does not wish to file the patent in India. In such a scenario, the Indian resident has to seek Foreign Filing Permission (FFP) 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.
  • If the invention is related to defense or atomic energy or utility model, the inventor/s needs to seek permission from the Indian Patent Office because inventions related to these domains are not the subject matter of patentability in India.

Patent Application Process in India

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

• Filing of application with IPO (https://ipindiaonline.gov.in/ePatentfiling/ForLogin/doLogin)
• Publishing
• Examination
• Grant of the Patent

While the process of patenting includes – Prior art search, Choice of Application to be Filed, Patent Application Forms, Jurisdiction of Filing Patent Application, Publication, Pre-grant Opposition, Examination, Grant of a Patent, Validity of Patent Protection, Post- grant Opposition.

Prior Art Search

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 commonly used databases for prior art search fall in two categories i.e. Patents Databases and NPL.

Choice of Application to be Filed

Once a decision has been made to patent the invention, 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 application is preferred for the following reasons:

• It is cheaper, takes less time, and involves fewer formalities.
• A provisional application allows you to secure a priority date for the patent applied.

Publication

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

Pre-grant Opposition

• If anybody has an objection to the invention claimed in the patent application, he/she 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.

Examination

• 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.

Grant of Patent

• After fulfilling all the requirements for the grant of a patent, including all objections/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.

Validity of Patent Protection

• The patent protection is granted to an applicant for a limited period, generally 20 years, starting from the date of filing of the application.
• 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.

Post-grant Opposition

• 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 in a Court of Law.

History of Intellectual Property Rights in India

• 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 VI of 1856, adapted from the British Patent Law of 1852. The objective of this legislation was to encourage the inventions of new and useful manufactures.
• At the beginning of the 20th century, all the earlier Acts related to inventions and designs were done away with the introduction of “The Indian Patents and Designs Act” 1911 (Act II 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
  • 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.
• Keeping the national interest in mind, recommendations were made in 1949 as a modification to existing “The Indian Patents and Designs Act”. And those recommendations are as follows:
  • 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 UK Patent Act.
• These recommendations were introduced in the Act XXXII of 1950.
• Two years later, another amendment (Act LXX of 1952) was made to provide compulsory licensing of patents related to food, drugs and chemicals killing insects and microbes. Based on these amendments, a bill was presented in the parliament in 1953 but was rejected.

Strategies for Patent Commercialization

• 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 deliberations. Although, the validity of the granted patent is for 20 years (from the date of filing a patent application), but the patentee is required to furnish information (Form-27), on an annual basis relating to the commercialization/selling of the patent. It is called as Working/Licensing of the Patent.
• The licensing of a patent can be exclusive or non-exclusive.
• In an Exclusive License, 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 IP except the named licensee.
• In Non-Exclusive License, a patentee can sell his patent rights to as many individuals/parties as he likes.

Utility Models vs. Patents

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 “Utility Models” or “Petty Patents” or “Innovation Patents”.

• Definition:

  • Patent: Protects inventions that are novel, non-obvious, and industrially applicable.
  • Utility Model: Protects minor or incremental improvements to existing products or processes.

• Duration:

  • Patent: Typically lasts 20 years from the filing date.
  • Utility Model: Shorter duration, usually 7-10 years (varies by country).

• Inventive Step:

  • Patent: Requires a significant inventive step or novelty.
  • Utility Model: Requires a lower level of inventiveness.

• Application Process:

  • Patent: More rigorous and costly examination process.
  • Utility Model: Simpler, faster, and less expensive.

• Scope:

  • Patent: Suitable for complex inventions (e.g., pharmaceuticals, machinery).
  • Utility Model: Best for incremental innovations or functional improvements.

• Geographical Availability:

  • Patent: Available in most countries worldwide.
  • Utility Model: Not available in all countries; common in Asia and Europe (e.g., China, Germany).

Trademark Registration Process Flowchart

Prior to applying for Trademark registration, it is always prudent to check whether the intended Trademark is already registered or not. Also, it is ascertained whether the intended Trademark is not similar to the ones already registered.

• 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.
• The application is assigned an application number within a few days.
• 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. 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.
• 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 unfavorable outcome, the applicant has the right to contest the decision in front of the IPAB.
• Once the application has successfully completed all formalities, a Trademark registration certificate is issued in the name of the applicant.

Copyrights: Definition, Classes, and Rights

Copyrights refer to the legal rights provided by law to the original creator of the work in the fields of literature and computer software.

Classes of Copyrights

• Literature: Books, Essays, Research articles, Oral speeches, Lectures, Compilations, Computer programs, Software, Databases.
• Dramatics: Screenplays, Dramas.
• Sound Recordings: Recording of sounds regardless of the medium on which such recording is made e.g. a Phonogram and a CD-ROM.
• Artistic: Drawing, Painting, Logo, Map, Chart, Photographs, Work of Architecture, Engravings, and Craftsmanship.
• Musical: Musical notations, excluding any words or any action intended to be sung, spoken or performed with the music. A musical work need not be written down to enjoy Copyright protection.
• Cinematograph Film: It is a visual recording performed by any medium, formed through a process and includes a sound recording. For example, Motion Pictures, TV Programs, Visual Recording, Sound Recording, etc.

Exclusive Rights Owned by the Copyright Owner

A Copyright owner enjoys two types of rights i.e. Economic Rights (or Proprietary Rights) and Moral Rights (or Personal Rights).

• Economic Rights are associated with financial benefits accruing from the sale of copyrights. 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.

• 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.

Copyright Registration Process Flowchart

https://www.wipo.int/classifications/locarno/loc pub/en/fr/). 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.

Designs Registration Trends in India

The below figure 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).

Apple vs Samsung Design Rights Case Study

• 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 Utility 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 submitting 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 (ITC) in Washington D.C.
• The proceedings continued for the 7 years in various courts. In June 2018 both companies reached for a settlement and Samsung was ordered to pay $539 million to Apple Inc. for infringing on its patents.

Geographical Indications Ecosystem in India

GI Ecosystem in India

• India is among the geographically and traditionally rich countries.
• The scope of generating GI products in India is enormous. These products can contribute to the economic development of a particular region or society.
• However, till June 2021, a total of 370 GI have been registered in India, which is much below its potential.
• The below Figure represents the statistics for GI (filed, and registered) for the period 2010-20. Maximum number (148) of GI was filed in 2011-12 whereas, minimum number (17) was observed in 2015-16.
• Not much change in the number of GI registrations was observed during the period 2010-20. Each year the number hovered around in the twenties, with maximum registrations (34) seen in 2016-17.

Industrial Design Registration Process

1. Prior Art Search: - Before filing an application for registration of industrial designs, it is important to ensure that the design is novel and significantly distinguishable from other designs. This can be done by conducting a prior art search using various search engines such as the Design Search Utility (CGPDTM) and the Global Design Database (WIPO).

2. Application for Registration: - Once the applicant is satisfied that the design is novel and distinguishable, they can proceed with filing an application for design registration. The application can be filed by an individual, small entity, institution, organization, or industry through a professional patent agent or legal practitioner. If the applicant is not a resident of India, they need to employ an agent residing in India for this purpose.

3. Examination of Application: - After the application has been filed, an officer (examiner) analyzes the application to ensure it meets the minimum standards for eligibility criteria for registration. If there are any queries or objections, the applicant is required to respond within a specified timeframe.

4. Acceptance and Registration: - Once any objections are resolved, the application is accepted for registration. The registration of a design is initially valid for ten years from the date of registration. It can be extended for a further five years by making a renewal application before the expiry of the initial ten-year period.

5. Enforcement and Protection: - Upon registration, the proprietor of the design gains exclusive rights and can legally prevent others from reproducing, manufacturing, selling, or dealing in the registered design without prior consent. The proprietor also has the right to take legal action against infringement and claim damages.

6. Cancellation and Restoration: - The registration of a design may be cancelled at any time under certain grounds, and restoration of a design is also possible under specific circumstances.

7. Application Forms: - There are various application forms related to industrial designs, including forms for registration, renewal, restoration, and cancellation.

In summary, the procedure for design registration involves conducting a prior art search, filing an application, examination of the application, acceptance and registration, enforcement and protection of rights, and the possibility of cancellation and restoration of the design.

Industrial Design Registration Flowchart

Geographical Indications Registration Process

• Prior to filing an application for registering GI, it is prudent to search whether the concerned GI is already protected or not. This can be done by using search engines created by WIPO.
• The list of registered GI in India can be accessed from the official website of CGPDTM.
• Once the prior search for registered GI is done, the applicant has to file an application.
• The application for GI 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.
• 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 GI that how its standard will be maintained.
• The submission of three certified copies of the map of the region where the GI belongs is mandatory.
• Once the application is filed at GI Registry, the Examiner will scrutinize the application for any deficiencies 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 getting a green signal from the Registrar, the application is published in the official Geographical Indication Journal for seeking any objections to the claims mentioned in the application.
• The objections have to be filed within four months of the publication. If no opposition is received, the GI gets registered by allotting the filing date as the registration date.
• Initially, GI is registered for ten years but is renewable on the payment of the fee.

Geographical Indications: Definition and Rights

GI is defined as a sign which can be used on products belonging to a particular geographical location/region and possesses qualities or a reputation associated with that region. For example, plants of Darjeeling Tea can be grown in any part of India. But 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.

Rights Granted to GI Holders

• Right 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 written and registered with the Registrar of GI, for it to be valid and legitimate.
• Right to sue - The holder of GI has the right to use and take legal action against a person who uses the product without his consent.
• Right to exploit - The holder of GI can authorize users with exclusive right to use goods for which the GI is registered.
• Right to get reliefs - Registered proprietors and authorized users have the right to obtain relief concerning the violation of such GI products.

Geographical Indications Case Studies

Case Study of Neem Patent

The initial application for a patent concerning Neem was submitted by W.R. Grace and the Department of Agriculture of the USA to the European Patent Office. This patent pertained to a technique for managing fungal issues on plants, involving the application of a formulation containing Neem oil to the fungi. India responded by raising legal objections against the patent's approval.

The opposition to the patent's issuance was lodged by the Research Foundation for Science, Technology, and Ecology (RFSTE), based in New Delhi. This effort was undertaken in collaboration with the International Federation of Organic Agriculture Movements (IFOAM) and Magda Aelvoet, a former green Member of the European Parliament (MEP).

The Neem tree, deeply ingrained in India's heritage, boasts an array of powerful compounds, prominently including azadirachtin found in its seeds. This tree finds extensive application, serving as an astringent across various domains. Its bark, leaves, flowers, and seeds are harnessed for treating an array of conditions, ranging from leprosy to diabetes, skin ailments, and ulcers. For generations, Neem twigs have been utilized as antiseptic toothbrushes.

Opponents of the patent provided historical evidence from ancient Indian Ayurvedic texts that outlined the use of hydrophobic extracts from Neem seeds for centuries. These extracts were documented as effective in treating dermatological conditions in humans and in safeguarding agricultural plants against fungal infections.

Upon review, the European Patent Office (EPO) recognized deficiencies in terms of novelty, inventive progression, and potential prior art in relation to the patent. Consequently, the patent was invalidated. In addition to this, multiple recent US patents have been issued for Neem-based formulations and solutions.

Case Study of Curcuma (Turmeric) Patent

Turmeric, a tropical herb cultivated in the eastern regions of India, finds versatile applications within the country. Among its various uses, turmeric powder is extensively employed in India for medicinal, culinary, and dyeing purposes. It serves as a blood purifier, aids in treating common colds, and exhibits anti-parasitic properties for managing several skin infections. Additionally, it plays an indispensable role as a key ingredient in numerous Indian dishes.

In 1995, the University of Mississippi medical center was granted a patent by the United States for the wound healing properties of turmeric. The patent encompassed the utilization of "turmeric powder and its administration," encompassing both oral and topical applications, for the purpose of wound healing. This exclusive right granted the authority to sell and distribute products based on this patent.

However, this patent was met with opposition from the Indian Council for Scientific and Industrial Research (CSIR), which contested the patent and presented well-documented evidence of prior usage of turmeric for similar purposes. Although turmeric's healing properties were widely known and practiced in Indian households for generations, unearthing published information specifically detailing the use of turmeric powder for wound healing through both oral and topical methods proved to be a challenging endeavor. After extensive research, a total of 32 references were located in various languages, including Sanskrit, Urdu, and Hindi, establishing the historical use of turmeric for wound healing.

Consequently, the patent was revoked by the United States Patent and Trademark Office (USPTO). The USPTO reasoned that the claims made in the patent were obvious and anticipated, acknowledging that the utilization of turmeric for wound healing was an ancient practice.