For an inventor, the transition from a breakthrough discovery to a legally protected asset is one of the most critical phases of the innovation lifecycle. In India, the Intellectual Property (IP) landscape is governed by a rigorous set of rules under the Indian Patents Act, 1970.
If you are an inventor or a researcher planning to secure your invention, you need more than just a good idea; you need the right documentation. Whether you are working with a patent agent or an expert patent company, understanding these requirements ensures your patent prosecution journey is smooth and successful.
In this detailed guide, we break down the specific documents required for the three primary filing routes in India: Ordinary Filing, Convention Application, and PCT National Phase.
Documents for Ordinary Patent Filing in India
An Ordinary Application is a direct filing with the Indian Patent Office (IPO) without claiming priority from any previous application. This is the standard route for most domestic inventors.
Mandatory Forms & Technical Documents:
- Form 1 (Application for Grant of Patent): This is the “ID card” of your application. it includes bibliographic data, the title of the invention, and the names/addresses of the applicants and inventors.
- Form 2 (Specification): This describes your invention. You can file a Provisional Specification to secure an early priority date while your research is ongoing, or a Complete Specification that includes the full technical description and patent claims.
- Form 3 (Statement & Undertaking): Under Section 8, you must declare if you have filed for the same invention in any other country.
- Form 5 (Declaration of Inventorship): A formal declaration by the applicant stating who the “true and first” inventors are.
- Form 26 (Power of Attorney): If you are engaging a firm like Intellect Bastion to handle your filing, this document authorizes your patent agent to represent you.
- Form 28 (To Claim Small Entity/Startup Status): This is a crucial cost-saving document. By filing Form 28 along with proof of registration (like a DPIIT certificate or MSME Udyam registration), startups and small entities can avail of up to 80% discount on official government fees.
Strategic Speed-Up Forms:
- Form 9 (Request for Early Publication): Normally, the IPO publishes a patent after 18 months. Form 9 allows for publication within weeks, giving you earlier legal standing.
- Form 18 (Request for Examination): Your patent will not move to the examination stage unless this is filed.
- Form 18A (Expedited Examination): Specifically for startups, small entities, female inventors. This can reduce the time to grant from years to just months.
Documents for Convention Application Filing
A Convention Application is filed in India within 12 months of filing a “priority” application in a Paris Convention country. This allows you to claim the original filing date as your priority date in India.
In addition to the standard forms (1, 2, 3, 5, 9, 18/18A, 26, and 28), you must provide:
- Certified Priority Document: A copy of the application filed in the first country, certified by that country’s patent office.
- Verified English Translation: If the original application was not in English, a verified translation is mandatory.
- Proof of Right: If the applicant in India is different from the original inventor (e.g., an employer), an Assignment Deed or an employment contract must be submitted to prove the right to file.
Documents for PCT National Phase Application
The Patent Cooperation Treaty (PCT) is the “Gold Standard” for international researchers. It allows you to enter the Indian “National Phase” within 31 months of your earliest priority date.
When entering the Indian National Phase, you must submit:
- Standard Forms (1, 3, 5, 26, 28): These forms must specifically mention the PCT Application Number and International Filing Date.
- Form 18 or 18A: If India was the International Searching Authority (ISA), you can use Form 18A to get an Expedited Examination.
- Complete Specification: This is the English version of the specification as published by WIPO. If you made amendments during the international phase (under Article 19 or 34), verified English translations of those amendments must be included.
- PCT/IB/304: This confirms the priority document was filed at the international stage. If not, the certified priority document must be filed directly in India.
Why Every Document Matters
The Indian patent system is strictly time-bound. A missing Form 3 update or a forgotten Form 28 can lead to unnecessary expenses or even the abandonment of your application. For researchers, the technical description (Form 2) is the heart of the patent, but the administrative forms are the lungs—without them, the application cannot survive.
To understand the full lifecycle and timelines of these documents, we recommend reading comprehensive guide on how long the patent filing process takes.
Summary Table: Key Forms for Inventors
| Form | Purpose | Importance |
|---|---|---|
| Form 1 | Application for Grant of Patent | Mandatory for all filing routes. |
| Form 2 | Technical Specification & Claims | Defines the scope of protection |
| Form 3 | Statement & Undertaking | Mandatory; updated for foreign filings (Section 8). |
| Form 5 | Declaration as to Inventorship | Mandatory with the Complete Specification. |
| Form 28 | Small Entity/Startup Claim | Reduces government fees by 80% |
| Form 9 | Early Publication | Speeds up the "wait time" |
| Form 18 / 18A | Examination Request | Initiates the actual review process |
| Form 26 | Agent Authorization | Essential if using a professional firm |
Take the Next Step in Your Innovation Journey
Navigating the Indian Patent Office requirements can be daunting for even the most seasoned researcher. Whether you are filing an ordinary application or moving from a PCT international phase to India, precision is key to ensuring novelty and inventive step are recognized.
Are you ready to protect your research? Our team at Intellect Bastion specializes in helping inventors and startups manage their entire IP portfolio—from drafting to grant.
Would you like us to help you prepare a customized document checklist for your specific invention? Reach out to us today!
