July 23, 2025 by Abhishek Chauhan
Filing a patent application, whether as an Ordinary Application or via the PCT National Phase route, requires strict compliance with the statutory documentation requirements under the Patents Act, 1970 and the Patents Rules, 2003 (as amended in 2024).
Missing, incorrect, or delayed filings may lead to objection under Rule 12 or even abandonment under Section 9(1) read with Rule 13(6).
| S. No. | Document | Description |
|---|---|---|
| 1 | Form 1 – Application for Grant | Contains applicant, inventor, and correspondence details as per Rule 20(1). |
| 2 | Form 2 – Specification | Either Provisional or Complete specification, describing invention as per Section 10 and Rule 13. |
| 3 | Form 3 – Foreign Filings | Statement under Section 8 of foreign patent applications, to be updated every 6 months (Rule 12). |
| 4 | Form 5 – Declaration of Inventorship | Mandatory under Rule 13(6); to be filed within one month of Form 1. |
| 5 | Form 26 – Authorization of Agent | Required when filed through a registered patent agent. |
| 6 | Drawings/Diagrams (if applicable) | Required if necessary for understanding the invention (Rule 13(4)). |
| 7 | Priority Document (if applicable) | For Convention applications under Section 135, certified copy to be filed within 3 months. |
| 8 | Form 28 | For claiming startup/small entity status under Rule 2(fa). |
| 9 | Proof of Right | Assignment deed or declaration from inventors if applicant is not the inventor (Rule 10). |
Form 5: Within 1 month from the date of filing Form 1.
Form 3: To be updated within 6 months of any foreign filing.
Priority Document: Within 3 months from filing (for Convention applications).
PCT National Phase applications are governed by Rule 20 and must enter India within 31 months from the priority date (first international filing date).
| S. No. | Document | Description |
|---|---|---|
| 1 | Form 1 | Patent Application form with inventor, applicant, and communication details. |
| 2 | Form 2 | Complete specification submitted at WIPO or updated Indian version. |
| 3 | Verified English Translation | Required if WIPO documents were filed in a non-English language. |
| 4 | PCT Application Documents | Includes Request Form (PCT/RO/101), International Search Report (ISR), Written Opinion, and IPRP. |
| 5 | Form 3 | Statement of foreign filings (updated within 6 months under Rule 12). |
| 6 | Form 5 | Declaration of Inventorship. |
| 7 | Form 26 | Authorization of patent agent (if applicable). |
| 8 | Priority Document | WIPO-certified priority documents. |
| 9 | Form 28 | For startups and small entities claiming fee benefits. |
| 10 | Proof of Right | Assignment documents or declarations as required under Rule 10. |
Filing must occur within 31 months from the earliest priority date under Rule 20(1).
Delays in translation or documentation may result in application being deemed withdrawn.
| Document | When Required |
|---|---|
| Power of Attorney | Required if applicant is not the inventor and not represented by agent. |
| Form 18 / 18A | Request for examination (normal/expedited); must be filed within 48 months. |
| Form 9 | Optional request for early publication under Rule 24A. |
| Fee Item | Natural Person / Startup / Small Entity | Other Entities |
|---|---|---|
| Form 1 Filing (up to 30 pages & 10 claims) | ₹1,600 | ₹8,000 |
| Form 18 (Examination) | ₹4,000 | ₹20,000 |
| Additional Pages (after 30 pages) | ₹320 per page | ₹1,600 per page |
| Additional Claims (after 10 claims) | ₹320 per claim | ₹1,600 per claim |
| Sequence Listing Pages (biotech) | ₹1,600 per 100 pages or part thereof | ₹8,000 per 100 pages |
Refer to First Schedule of the Patents Rules for official updates.
Ensure:
Accurate drafting of technical specifications.
Timely submission of mandatory and optional forms.
Fee payments based on claim count and page count.
Utilize patent agents or digital docketing software to maintain deadline compliance and minimize errors.
Q1: Can I file a provisional application only?
→ Yes, but it must be followed by a complete specification within 12 months (Section 9(1)).
Q2: Is Form 26 required for all filings?
→ Only if a patent agent is filing on behalf of the applicant.
Q3: Do documents need notarization?
→ Not required in most cases. However, assignment deeds and declarations must be signed and properly dated.
Q4: What if Form 5 is delayed?
→ Patent Office may raise objections. It must be filed within 1 month, else risk of non-compliance arises.
Q5: Can I file PCT national phase without a patent agent?
→ Permitted, but not advisable due to procedural complexity.