MODULE 1: INTRODUCTION

Syllabus
Meaning of Research, Objectives of Engineering Research, and Motivation 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, Ethical Issues Related to Authorship.

MEANING OF RESEARCH
Research refers to a careful, well-defined (or redefined), objective, and systematic method of search for
knowledge
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

The purpose of research is to discover answers to questions through the application of scientific
procedures. The main aim of research is to find out the truth which is hidden and which has not been
discovered as yet.
Purpose of research is following:
 Exploratory or Formulative research studies
 Descriptive research studies
 Diagnostic research studies
 Hypothesis-testing research studies
Develop new technologies and improve existing ones: This is perhaps the most well-known objective of
engineering research. Engineers are constantly striving to create new technologies and improve upon
existing ones. This can involve developing new materials, processes, devices, and systems.
Solve real-world problems: Engineering research is all about finding solutions to real-world problems.
These problems can be anything from developing new ways to generate clean energy to creating more
efficient transportation systems to designing safer buildings.
Advance fundamental engineering knowledge: In addition to developing practical applications,
engineering research also aims to advance fundamental engineering knowledge. This includes developing
new theories, models, and methods that can be used to solve a wide range of engineering problems.
Increase efficiency and sustainability: A major focus of engineering research today is on developing more
efficient and sustainable technologies. This includes finding ways to reduce energy consumption, conserve
resources, and minimize pollution.
Improve public health and safety: Engineering research also plays a vital role in improving public health
and safety. This includes developing new medical devices, improving transportation safety, and designing
buildings that can withstand natural disasters.

MOTIVATION IN ENGINEERING RESEARCH

 Curiosity and the thrill of discovery: Engineers are curious folks who love to solve puzzles and answer
questions. Research lets them explore the unknown and be the first to understand how things work.

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  Making a difference: Many engineers are driven by a desire to improve the world. Research allows
them to develop new technologies that can solve problems, improve lives, and make a positive impact
on society.
 Challenge and intellectual growth: Engineering research is challenging and intellectually stimulating.
It pushes engineers to think critically, develop new ideas, and constantly learn and grow.
 Recognition and career advancement: Publishing research findings and contributing to advancements
in the field can bring recognition and open doors for career advancement in engineering.
 Passion for a specific field: Some engineers are deeply passionate about a specific engineering
discipline. Research allows them to delve deeper into that field, explore its intricacies, and contribute
meaningful knowledge.

TYPES OF ENGINEERING RESEARCH

Descriptive versus (vs) Analytical Research:
 Descriptive Research: This type of research focuses on describing a phenomenon or situation. It
involves collecting data to understand "what" is happening.
Example: Surveying engineers about the challenges they face in a specific industry.
 Analytical Research: This type of research goes beyond description and aims to analyze "why"
something happens. It involves processing data to identify relationships, causes, and effects.
Example: Analyzing the data from the engineering survey to identify factors contributing to the
challenges.
Applied versus (vs) Fundamental Research:
 Applied Research: This type of research focuses on developing practical solutions to real-world
problems. It takes existing knowledge and uses it to create new technologies or processes.
Example: Researching ways to improve the efficiency of solar panels for wider adoption.
 Fundamental Research: This type of research aims to expand our fundamental understanding of
engineering principles. It focuses on developing new knowledge and theories that can be applied in
various ways in the future.
Example: Researching the properties of new materials to understand their potential for future
engineering applications.
Quantitative versus (vs) Qualitative Research:
 Quantitative Research: This type of research relies on numerical data and statistical analysis. It
involves measuring and counting to understand a phenomenon.
Example: Measuring the strength of different materials under various conditions.
 Qualitative Research: This type of research focuses on non-numerical data, such as observations,
interviews, and user experiences. It aims to understand the "how" and "why" behind a phenomenon.
Example: Interviewing engineers to understand their thought processes when designing a new
product.
Conceptual versus (vs) Empirical Research:
 Conceptual Research: This type of research involves developing theoretical models, frameworks, or
ideas. It relies on logic, reasoning, and existing knowledge to propose solutions.
Example: Developing a conceptual model for a new type of bridge design.
 Empirical Research: This type of research relies on collecting data through experiments, observations,
or surveys to test hypotheses and validate theories.

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 Example: Building a prototype of the new bridge design and testing its structural integrity.

ENGINEERING RESEARCH PROCESS

1. Identify a Research Question or Problem:
 The starting point is recognizing a gap in knowledge, a real-world problem, or an opportunity for
improvement.
 This stage involves brainstorming, literature review, and consulting with experts to define a clear and
focused research question.
2. Literature Review:
 This involves conducting a thorough review of existing research related to your topic.
 This helps you understand what's already known, identify any gaps, and avoid duplicating efforts.
 Sources like academic journals, conference proceedings, and technical reports are crucial here.
3. Develop a Research Methodology:
 This step involves outlining the methods you will use to collect and analyze data.
 The choice of methodology depends on your research question and can include experiments,
simulations, surveys, interviews, or a combination of techniques.
4. Conduct the Research:
 This is where you put your plan into action and collect data according to your chosen methodology.
 Ensure data collection is rigorous and controlled to produce reliable results.
5. Analyze and Interpret Data:
 Once you have data, you need to analyze it to identify patterns, trends, and relationships.
 Statistical analysis, visualization tools, and software can be helpful in this stage.
 Interpret the data in light of your research question and existing knowledge.
6. Draw Conclusions and Recommendations:
 Based on your analysis, formulate conclusions that answer your research question or address the
problem.
 Discuss the limitations of your study and propose recommendations for future research or practical
applications.
7. Disseminate Findings:
 Share your research findings with the engineering community and the public.
 This can be done through publications in journals, conference presentations, technical reports, or
online platforms.
8. Refine and Iterate (Optional):
 Research is often an iterative process. New findings might lead to new questions or require further
investigation.
 You may revisit previous steps to refine your research question, methodology or analysis based on the
initial findings.

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ETHICS IN ENGINEERING RESEARCH
1. Integrity and Honesty:
 Researchers must be honest in their data collection, analysis, and reporting.
 Fabrication, falsification, or plagiarism of data is strictly prohibited.
 Transparency in methodology and results is crucial.
2. Conflicts of Interest:
 Researchers should disclose any potential conflicts of interest, such as financial ties to companies that
might benefit from the research.
 This helps maintain objectivity and avoid bias in the research process.
3. Responsible Conduct of Research:
 Researchers have a responsibility to ensure the safety of themselves, participants, and the
environment during the research.
 Proper protocols and ethical approval should be obtained for studies involving human subjects or
animals.
4. Data Ownership and Sharing:
 Clear guidelines are needed regarding data ownership and authorship in collaborative research
projects.
 Researchers should be open to sharing data with qualified colleagues, following ethical data
management practices.
5. Environmental Considerations:
 Researchers should consider the environmental impact of their research activities.
 Sustainable practices and responsible disposal of materials used in the research process are
important.

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6. Social Responsibility:
 Engineers have a social responsibility to consider the potential impacts of their research on society.
 They should strive to develop technologies that are beneficial and avoid creating unintended negative
consequences.
7. Collegiality and Respect:
 Researchers should treat colleagues with respect, acknowledging their contributions and fostering
collaboration.
 Open communication and constructive criticism are essential for advancing knowledge.
8. Whistle-blowing:
 If researchers witness unethical conduct by colleagues, they have a responsibility to report it through
appropriate channels.
 This protects the integrity of the research and the profession.

ETHICS IN ENGINEERING RESEARCH PRACTICE

 Honesty and Integrity: This forms the foundation. It requires researchers to be truthful in data
collection, analysis, reporting, and authorship. Fabrication, falsification, or plagiarism are
unacceptable.
 Conflicts of Interest: Researchers must disclose any financial ties or other interests that could
influence their research objectivity. This fosters transparency and helps readers assess potential bias.
 Responsible Conduct: Safety is paramount. Researchers have a duty to ensure the safety of
themselves, participants (human or animal), and the environment during the research process. Proper
protocols and ethical approval are crucial for studies involving human subjects or animals.
 Data Management and Sharing: Clear guidelines are needed for data ownership, authorship, and
ethical data management practices like secure storage and responsible disposal. Openness to sharing
data with qualified colleagues can advance research, but privacy concerns and intellectual property
rights need to be considered.
 Environmental Considerations: Research activities should minimize environmental impact. This
involves efficient resource use, considering the lifecycle of materials, and responsible waste disposal.
 Social Responsibility: Engineering research should strive to benefit society. Engineers should think
about the potential social and ethical implications of new technologies to avoid unintended
consequences.
 Collegiality and Respect: Researchers should treat colleagues with respect, acknowledge
contributions, and foster collaboration. Open communication and constructive criticism are essential
for advancing knowledge.
 Whistle-blowing: If researchers witness unethical conduct by colleagues, they have a responsibility to
report it through appropriate channels. This protects the integrity of the research and the profession.
TYPES OF RESEARCH MISCONDUCT
All three terms, fabrication, falsification, and plagiarism, refer to forms of misconduct in research or
scholarly work. They involve dishonesty and misrepresentation of information, which can undermine the
entire research process and the credibility of the resulting knowledge.
1. Fabrication (Illegitimate creation of data):
 Meaning: Fabrication involves making up data or research results entirely. This could involve inventing
data points, experiments that never happened, or participants who don't exist.

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  Example: A researcher might fabricate survey responses to fit their hypothesis without actually
conducting the survey.
2. Falsification (Inappropriate alteration of data):
 Meaning: Falsification involves manipulating existing data or research materials to alter the results.
This could involve changing data points, omitting inconvenient findings, or manipulating images to
support a desired outcome.
 Example: A researcher might change the values in a data set to show a statistically significant effect
that wasn't actually present in the raw data.
3. Plagiarism (Taking other’s work sans attribution):
 Meaning: Plagiarism involves presenting someone else's ideas, words, or work as your own without
proper attribution. This can be complete plagiarism (copying everything) or partial plagiarism (copying
parts without proper citation).
 Example: A researcher might copy and paste paragraphs from another author's work into their own
paper without quotation marks or proper citation.

ETHICAL ISSUES RELATED TO AUTHORSHIP

1. Gift Authorship or Honorary Authorship:
Description: This occurs when someone is listed as an author on a research paper even though they
didn't make a significant contribution to the research. This can be done out of courtesy, pressure from
senior colleagues, or to fulfill institutional requirements for authorship.
Ethical Concern: It undermines the credibility of authorship and devalues the contributions of those
who actually did the work.
2. Ghost Authorship:
Description: This is the opposite of gift authorship. Here, someone who made a substantial contribution
to the research is not listed as an author on the paper. This can happen when research assistants,
technicians, or statisticians who play a crucial role aren't acknowledged.
Ethical Concern: It's unfair and disrespectful to those who deserve recognition for their work.
3. Authorship Order Disputes:
Description: Disagreements can arise about the order in which authors are listed on a paper. The order
typically reflects the level of contribution, with the first author putting in the most work.
Ethical Concern: Unresolved disputes can create tension and damage collaboration. There should be
clear guidelines and open communication to determine authorship order.
4. Salami Slicing:
Description: This involves dividing a single research project into multiple publications to inflate the
number of publications for each author. While some studies naturally have multiple papers, salami
slicing does it for artificial reasons.
Ethical Concern: It diminishes the impact of each individual publication and can mislead readers about
the scope of the research.
5. Not Including All Contributors:
Description: Sometimes, research involves contributions from multiple teams or institutions. Failing to
acknowledge all those who played a role is a form of ethical lapse.
Ethical Concern: It's important to be transparent about all the entities and individuals involved in the
research.

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 MODULE 2: LITERATURE REVIEW AND TECHNICAL READING, ATTRIBUTIONS AND CITATIONS

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, Conceptualizing 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, Citing Datasets, Styles for Citations,
Acknowledgments and Attributions, What Should Be Acknowledged, Acknowledgments in, Books
Dissertations, Dedication or Acknowledgments.

NEW AND EXISTING KNOWLEDGE

Existing Knowledge:
 This is the foundation of your literature review. It involves identifying and analyzing scholarly sources
that explore your research topic or related areas.
 You'll be summarizing and synthesizing what's already known about the topic, including:
o Established theories and frameworks
o Key findings from previous research studies
o Methodologies used in past research
o Identified gaps and limitations in existing knowledge
New Knowledge:
 Your literature review isn't just about summarizing the past. It's also about laying the groundwork for
your own contribution. Here's how you introduce new knowledge:
o Identifying Research Gaps: Based on your review, you can pinpoint areas where existing
knowledge is lacking or inconclusive. This is where your research can potentially add new insights.
o Critically Analyzing Existing Work: You can go beyond simply summarizing findings. You can
analyze the strengths and weaknesses of past research, identify new interpretations, or propose
alternative explanations.
o Formulating New Research Questions: By examining existing knowledge, you can refine your own
research question or develop new ones that haven't been explored before.
o Presenting Your Unique Perspective: You can bring your own ideas and expertise to the table,
proposing new approaches or methodologies to address the research gaps you've identified.
How New and Existing Knowledge Work Together:
 A strong literature review demonstrates your understanding of the existing landscape of knowledge
on your topic. This establishes your research as credible and relevant.
 By identifying gaps and limitations, you create a space for your own research to contribute something
new and valuable to the field.
 Your literature review positions your research within a larger conversation, showing how it builds
upon and expands existing knowledge

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BIBLIOGRAPHIC DATABASES
Bibliographic databases are electronic collections of information that provide references and descriptions
of published scholarly materials. They're like giant online catalogs, but instead of listing books or articles in
a library, they list and index scholarly sources like:
 Journal articles
 Conference proceedings
 Books
 Dissertations
 Reports
 Government publications
 Patents (in some databases)
What Bibliographic Databases Offer:
 Citations: These are basic descriptions of a source, typically including author names, title, publication
details, and keywords.
 Abstracts: Many entries also include summaries of the source, allowing you to quickly grasp the
content and relevance to your research.
 Links to Full Text: In some cases, the database might provide links to the full text of the article or
book, though this depends on your library's subscriptions.
Web of Science:
The Web of Science (WoS) is a well-established bibliographic database widely used by researchers across
various disciplines. Here's a breakdown of its key features and how it's used in research:
Key Features of WoS:
 Extensive Coverage: WoS indexes a massive collection of scholarly publications, including journals,
conference proceedings, books, and book chapters. It covers a broad range of scientific disciplines,
humanities, and social sciences.
 Citation Indexing: A distinctive feature of WoS is its Citation Indexing. It allows you to track how
research publications are cited over time, enabling you to identify highly influential articles and trace
the development of knowledge in a particular field.
 Search Capabilities: WoS offers powerful search functionalities that allow you to search by author,
title, keyword, publication date, and other criteria. You can also refine your search using advanced
search operators and filters.
 Analytics Tools: WoS provides various analytical tools, including citation analysis and publication
trends. These tools can help researchers identify emerging research areas, track the impact of their
work, and evaluate the scholarly performance of authors and institutions.
 Interconnectivity: WoS integrates with other Web of Knowledge platforms, allowing you to explore
connections between different research areas and disciplines.
Common Uses of WoS in Research:
 Literature Review: Researchers use WoS to conduct comprehensive literature reviews by searching for
relevant publications, identifying key articles, and tracing the intellectual history of a research topic
using citation analysis.
 Identifying Influential Research: By analyzing citation data, researchers can find highly cited articles
and established scholars in their field. This helps them stay current with the latest advancements and
build upon influential work.

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 Evaluating Research Impact: Researchers can use WoS to track the number of citations their work has
received, a measure of its influence within the research community.
 Finding Collaborators: WoS can help researchers identify scholars who are working on similar topics,
potentially leading to new collaborations.
 Monitoring Research Trends: Using WoS analytics tools, researchers can track emerging research
areas and analyze publication trends to stay informed about the evolving landscape of their field.
Google and Google Scholar:
 Google is a great place to start one‘s search when one is starting out on a topic. It can be helpful in
finding freely available information, such as reports from governments, organizations, companies,
and so on. However, there are limitations:
o It‘s a ―black box‖ of information. It searches everything on the Internet, with no quality
control—one does not know where results are coming from.
o There are limited search functionality and refinement options.
 Google Scholar limits one‘s search to scholarly literature. However, there are limitations:
o 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.
o It is not comprehensive. Some publishers do not make their content available to Google Scholar.
o There are limited search functionality and refinement options.
 There are search operators that can be used to help narrow down the results. These help one to find
more relevant and useful sources of information.
 Operators can be combined within searches. Here are some basic ones that one can use:
o OR - Broadens search by capturing synonyms or variant spellings of a concept.
o Brackets/Parentheses ( ) - Gather OR‘d synonyms of a concept together, while combining them
with another concept.
o Quotation marks ― ‖ - Narrow the search by finding words together as a phrase, instead of
separately.
o Site - limits the search to results from a specific domain or website.
o File type - limits the search to results with a specific file extension one could look for pdf‘s,
PowerPoint presentations, Excel spreadsheets, and so on.
 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.
 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 gets more relevant and focused results, because they have better quality control and search
functionality. One should choose a database based on subject area, date coverage, and publication
type. Interfaces vary between databases, but the search techniques remain essentially the same.

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CRITICAL AND CREATIVE READING
Critical and creative reading is a powerful approach to understanding information and sparking new ideas.
It goes beyond simply absorbing information to actively analyzing it, questioning it, and using it as a
springboard for your own thinking. Here's a breakdown of the key steps involved in this process:
1. Preparation:
Set Goals: Before diving in, define your purpose for reading. Are you looking for specific information,
evaluating an argument, or seeking inspiration? Knowing your goals helps you focus your reading.
Background Knowledge: Activate your prior knowledge on the topic. This could involve brainstorming what
you already know, skimming the introduction, or reviewing related concepts.
2. Active Reading:
Engage with the Text: Don't just passively read. Annotate the text by highlighting key points, questioning
assumptions, and jotting down your reactions.
Ask Questions: Be curious and question what you're reading. Ask yourself questions about the author's
purpose, evidence used, and potential biases.
Identify Main Ideas: Distinguish between supporting details and central arguments. Summarize the main
points in your own words to solidify your understanding.
3. Analysis and Interpretation:
Evaluate the Argument: Analyze the author's logic, evidence, and reasoning. Are they convincing? Are
there alternative perspectives?
Consider Context: Think about the historical, social, and cultural context in which the text was written. How
might this influence the author's perspective?
Identify Biases and Assumptions: No text is completely objective. Recognize the author's potential biases
and any underlying assumptions made.
4. Creative Response:
Make Connections: Relate the text to your own experiences, knowledge, and other readings. Look for
similarities and differences.
Generate New Ideas: Use the text as a springboard for your own creative thinking. How can you apply the
information or concepts to new situations?
Formulate Your Own Argument: Develop your own perspective based on your reading and analysis. Do you
agree with the author? Can you add a new dimension to the discussion?
5. Synthesis and Evaluation:
Summarize Your Findings: Condense your key takeaways, insights, and new ideas generated from the
reading process.
Evaluate Your Reading Approach: Reflect on your reading process. What worked well? What could you
improve for future reading endeavors?

CITATIONS: FUNCTIONS AND ATTRIBUTES

A citation provides information about a source that has been used in a piece of writing. Citations have three
main functions: verification, acknowledgment, and documentation.
 Verification function: Citations allow readers to verify the information presented in the text. By
following the citation, readers can find the original source and see for themselves the evidence that
supports the author's claims.
 Acknowledgment function: Citations acknowledge the work of others who have contributed to the field
of study. This helps to ensure that all researchers receive proper credit for their ideas.

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 Documentation function: Citations provide a record of the sources that were used to write a piece of
text. This allows readers to learn more about the topic and to see how the author's work fits into the
broader body of scholarship.
KNOWLEDGE FLOW THROUGH CITATION
 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
Explain the most common styles for citation used by engineers during research, and provide an example.
Engineers primarily use two main citation styles during research:
1. APA (American Psychological Association) Style:
 Commonly used in various scientific fields, including engineering.
 Author-date style: citations are included within the text using the author's last name and publication
year in parentheses.
 Example: A recent study by Smith (2023) found that material X has superior strength properties.
2. IEEE (Institute of Electrical and Electronics Engineers) Style:
 Specific to engineering and related technical fields.
 Numbered style: citations are assigned a number within the text, and a corresponding numbered list
with full bibliographic details appears at the end of the work.
 Example: This research builds upon the concepts presented in [1].

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Additional Styles:
 Some engineering disciplines might have their own preferred styles, like ASME (American Society of
Mechanical Engineers) or ASCE (American Society of Civil Engineers). These styles are often similar to
the two main ones mentioned above.
Choosing a Style:
 Always prioritize your specific field's preferred style or any specific instructions from your professor or
publisher.
 APA and IEEE are widely recognized and a safe choice if unsure.

List and explain the Importance of Note-taking while reading research papers
1. Boosts Comprehension and Focus:
 The act of writing down key points forces you to actively process information, leading to a deeper
understanding of the research.
 Note-taking helps you stay focused by filtering out extraneous details and keeping your attention on
the main arguments and findings.
2. Improves Memory and Recall:
 Research papers are dense with information. Taking notes creates an external record, aiding in
memory retrieval when you revisit the material later.
 Effective notes act as a reference point, allowing you to quickly refresh your memory on crucial
aspects of the research.
3. Facilitates Critical Thinking and Analysis:
 Note-taking encourages you to evaluate the research by prompting you to question, summarize, and
paraphrase key ideas.
 As you take notes, you can jot down your own thoughts and reactions to the research, fostering
critical thinking and analysis.
4. Enhances Research Paper Writing:
 Well-organized notes provide a strong foundation for writing your research paper.
 Your notes act as a roadmap, allowing you to easily locate relevant information and quotes to support
your arguments.
 Effective note-taking helps you identify connections and patterns across different research papers,
which can strengthen your overall analysis.
5. Saves Time and Effort:
 Trying to rely solely on memory when revisiting research papers can be time-consuming and
frustrating.
 Comprehensive notes eliminate the need to reread entire papers, allowing you to efficiently locate
specific information.

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What types of citations fail to achieve their goal and do not benefit the reader? Explain.
Not all citations are created equal. While citations are meant to strengthen research and guide readers,
some fall short and can even hinder understanding. Here are some types of citations that fail to achieve
their goals:
1. Inaccurate Citations:
 Wrong Source: Citing the wrong source entirely can mislead readers and break the chain of
knowledge flow. Imagine arrow in the diagram pointing to the wrong circle!
 Incorrect Information: If the cited information within the citation itself is wrong (e.g., wrong page
number, misinterpreted data), it creates a faulty foundation for the citing work.
2. Irrelevant Citations:
 Shoehorning Sources: Sometimes citations are included just to pad the reference list, not because
they directly contribute to the current work. These citations become distractions for the reader.
 Outdated Sources: Citing overly outdated sources, especially in fast-moving fields, can give readers an
incomplete picture. Imagine citing a decade-old computer science paper; the landscape might have
changed drastically.
3. Poor Citation Style:
 Inconsistent Formatting: Inconsistent citation styles make it difficult for readers to follow up on the
references. Imagine if the arrow kept changing its style and color – confusing, right?
 Missing Information: Incomplete citations that lack crucial details (e.g., author name, publication
date) make it hard for readers to locate the source.
4. Self-Citation Overload:
 Excessive Self-Promotion: Citing only or primarily your own work can come across as narcissistic and
limit the exploration of diverse viewpoints.
Illustrate using a flowchart, how collaboration in a Co-authorship network can improve the flow of
knowledge in the research.

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1. Co-authorship networks represent the collaborative relationships between researchers or authors who
have co-authored publications together.
2. These networks can be visualized as graphs, where nodes represent individual authors, and edges or
connections between nodes represent co-authorship relationships.
3. Co-authorship networks provide insights into the patterns of collaboration and knowledge flow within a
research community or discipline.
4. They can help identify influential authors, research groups, or institutions that play a central role in the
network or serve as connecting nodes between different clusters or communities.
5. The analysis of co-authorship networks can reveal the structure and dynamics of research collaborations,
including the formation of research teams, the spread of ideas, and the flow of knowledge across different
domains or geographic regions.

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 MODULE 3: INTELLECTUAL PROPERTY RIGHTS, PATENTS AND PROCESS OF PATENTING

Syllabus
Introduction to Intellectual Property: Role of IP in the Economic and Cultural Development of the Society, IP
Governance, IP as a Global Indicator of Innovation, Origin of IP, History of IP in India, Major Amendments in
IP 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, and Eligible for Patenting, Non-
Patentable Matters, Patent Infringements, Avoid Public Disclosure of an Invention before Patenting.
Process of Patenting: 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, 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, Utility Models

INTRODUCTION TO INTELLECTUAL PROPERTY

Intellectual Property Rights (IPR) are legal protections granted to creators over their original creations.
These rights essentially give the creator an exclusive right to control how their creation is used for a certain
period of time. Think of it as a way to incentivize innovation and creativity.
Here are the main types of IPR:
Patents: Protect inventions and new processes for a limited time (typically 20 years). This prevents others
from making, using, selling, or importing your invention without permission.
Copyrights: Protect original works of authorship like books, music, movies, software, and artistic creations.
Copyright gives the creator exclusive rights to reproduce the work, prepare derivative works, distribute
copies, and perform or display the work publicly.
Trademarks: Protect distinctive signs or indicators used to identify the source of your goods or services.
This could be a brand name, logo, slogan, or even a sound. Trademarks help consumers recognize and
distinguish your products from competitors.
Trade Secrets: Information that is not generally known and gives a business a competitive advantage. Trade
secrets are protected by law as long as reasonable measures are taken to keep them confidential.
These are the most common types of IPR, but there are others such as:
Geographical Indications (GIs): Protect products with a specific geographical origin and qualities linked to
that place (e.g., Darjeeling tea).
Industrial Designs: Protect the ornamental or aesthetic aspects of a product (e.g., the design of a new
chair).

PATENTS
A patent is a type of intellectual property (IP) that gives the inventor exclusive rights to their invention for a
limited period of time. In exchange for disclosing the invention to the public, the government grants the
inventor the right to prevent others from making, using, selling, or importing the invention without their
permission. This exclusivity encourages innovation by providing inventors with a temporary monopoly on
their creations.

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CONDITIONS FOR OBTAINING A PATENT PROTECTION
 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
o not in the knowledge of the public,
o not published anywhere through any means of publication and
o not be claimed in any other specification by any other applicant.
 Inventive step - Not obvious to the person (s) skilled in the art. The innovation is
o a technical advancement over the existing knowledge,
o possesses economic significance and,
o not obvious to a person skilled in the concerned subject.
 Capable of industrial application - For the benefit of society. The invention is capable of being made
or used in any industry.
INVENTIONS ELIGIBLE FOR PATENTING
 Products or processes: The invention can be a new machine, a new method of doing something, a
new chemical composition, or a new improvement to an existing product or process.
 Novelty: The invention must be new (not already known or publicly available).
 Inventive step (Non-obviousness): The invention must not be obvious to someone with ordinary
knowledge in that field. There must be an inventive leap beyond what's already known.
 Industrial application: The invention must be capable of being produced or used in an industry.
NON-PATENTABLE MATTERS
In the Patent Act, 1970, there are some exclusion (product and processes) that cannot be
Patented, such as:
 Invention contrary to public morality - a method for human cloning, a method for gambling.
 Mere discovery - finding a new micro-organism occurring freely in nature, laws of gravity.
 Mere discovery of a new form of a known substance - use of aspirin for heart treatment. Aspirin
was patented for reducing fever and mild pains.
 Frivolous invention - dough supplemented with herbs, merely changing the taste of the dough, 100
years calendar, and bus timetable.
 Arrangement or rearrangement - an umbrella fitted with a fan, a torch attached to a bucket.
 Inventions falling within Section 20(1) of the Atomic Energy Act, 1962 – inventions relating to
compounds of Uranium, Beryllium, Thorium, Plutonium, Radium, Graphite, Lithium and more as
notified by the Central Government from time to time.
 Literary, dramatic, musical, artistic work - books, sculptures, drawings, paintings, computer
programmer, mathematical calculations, online chatting method, method of teaching, method of
learning a language as they are the subject matter of Copyright Act. 1957.
 Topography of integrated circuits - protection of layout designs of integrated circuits is provided
separately under the Semiconductor Integrated Circuit Layout Designs Act, 2000.
 Plants and animals - plants and animals in whole or any part including seeds, varieties and species
and essentially biological processes for the production or propagation of plants and animals are
excluded from the scope of protection under patents.

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  Traditional knowledge - an invention which in effect is traditional knowledge or which is an
aggregation or duplication of known properties of traditionally known components are also
excluded.
PATENT INFRINGEMENTS
 One the patent is granted to the applicant, he owns the right to use or exploit the invention in any
capacity. If anyone uses the invention without the prior permission of the owner, that act will be
considered an infringement of the invention. Infringements can be classified into two categories
 Direct Infringement - when a product is substantially close to any patented product or in a case
where the marketing or commercial use of the invention is carried out without the permission of the
owner of the invention.
 Indirect Infringement - When some amount of deceit or accidental infringement happens without
any intention of infringement. If such an unlawful act has been committed, the patentee holds the
right to sue the infringer through judicial intervention. Every country has certain laws to deal with
such unlawful acts. Following reliefs are made available to the patentee:
o Interlocutory/interim injunction.
o Damages or accounts of profits.
o Permanent injunction

PROCESS OF PATENTING

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Step 101
File a patent application in the IPO. I think you might find our articles on “Patent Application Filing
Procedure/Process in India” useful.
Step 102
File an early publication request.
Filing an early publication request is an optional step. This request is filed to have your patent application
published early. Filing an early publication request helps in expediting the patent examination process.
Step 103
If you file an early publication request, then your patent application will be published by the IPO, generally,
within 1 week from the data of receiving the request.
Step 104
If the early publication request is not filed, then the IPO publishes your patent application after 18 months
from the priority date.
Step 105
File a request for examination. This request can be filed within 48 months from the priority date. Note that
the IPO will not examine your patent application, unless this request is filed. Hence, if you wish to expedite
the patent process, early filing of the examination request is advised.
Step 106
Once the IPO receives your request for examination, the IPO puts your application in queue for
examination. Subsequently, your patent application will be examined by the IPO. In light of the
examination, if the IPO is of the opinion that your patent application satisfies all the requirement of
patentability, then a patent is granted to your invention.
Step 107
On the other hand, after examining your application, if the IPO is of the opinion that the requirements of
patentability are not met, then a First Examination Report (FER) is issued.
Step 108
You will have to respond to the FER within 6 months from the date of the FER. However, it is advisable to
respond as early as possible. By responding early, you provide an opportunity to the IPO to issue another
examination report if the IPO is not convinced by your response to issue a patent.
Step 109 and 110
In light of the communication with the IPO, the IPO can either grant a patent or reject granting of a patent.

COMMERCIALIZATION OF A PATENT
A patent grants you the exclusive right to your invention in India for a limited period. But simply having a
patent doesn't guarantee financial rewards. To reap the benefits of your invention, you need to
commercialize it. Here's a breakdown of different ways to commercialize a patent in India:
Methods of Commercialization:
1. Manufacturing and Selling:
This is the most straightforward approach. You directly manufacture and sell products or utilize the
patented process yourself. This requires setting up manufacturing facilities, distribution channels, and
marketing strategies.

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 2. Licensing:
You grant permission (license) to another party (licensee) to make, use, sell, or import your patented
invention for a specific period and territory in exchange for royalty fees or a one-time payment. This
allows you to leverage the licensee's expertise and resources for broader market reach.
3. Assignment:
You completely sell your patent rights to another party (assignee) for a one-time payment. This is a
good option if you don't have the resources or desire to commercialize the invention yourself.
4. Strategic Alliances:
You partner with another company that has complementary products or technologies. This can
combine your invention with their expertise to create a more attractive offering for the market.

TYPES OF PATENT APPLICATIONS

 Provisional Application - 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 Application - A patent application filed with complete specifications and claims but without
claiming any priority date.
 PCT Application - An international application filed in accordance with PCT. A single application can
be filed to seek patent protection and claim priority in all the member countries of PCT.
 Divisional Application - 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.
 Patent of Addition Application - 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.
 Convention Application - 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 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.

NATIONAL BODIES DEALING WITH PATENT AFFAIRS

There are many departments/organizations/bodies dealing with various aspects of patents, namely,
The Indian Patent Office (IPO) - 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 administers the Indian law of Patents, Designs and Trade Marks.
Department for Promotion for Industry and Internal Trade (DPIIT) - DPIIT, earlier known as the
Department of Industrial Policy and Promotion (DIPP), under the Ministry of Commerce and Industry, Govt.
of India, is the apex IP body. It came into existence in 1995 and is the main body for regulating and
administering the industrial sector.

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Technology Information, Forecasting and Assessment Council (TIFAC) – The importance of undertaking
technology forecasting and assessment studies on a systematic and continuing basis was highlighted in the
Government of India’s Technology Policy Statement (TPS) of 1983. Therefore in 1985, TIFAC 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
National Research Development Corporation (NRDC) - NRDC, an enterprise of Department of Scientific &
Industrial Research (DSIR), Govt. of India, was set up in 1953 with a mandate to develop, promote and
transfer/commercialize IP and technologies emanating from Higher Education Institutes (HEIs), R&D
research laboratories/institutions and Public Sector Undertakings (PSUs). NRDC 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 technology data bank (http://fccollc.com/nrdclive/) containing information
regarding technologies available in various fields, such as electrical & electronics, mechanical, coil, mining,
biotechnology, healthcare, leather, etc.

In which circumstances Indian residents are not required to file a patent application first in India to get
patent protection in another country? Explain
Indian residents generally must obtain permission before filing a patent application for an invention
outside India if they haven't filed an application in India first. This requirement is outlined in Section 39 of
the Indian Patents Act, 1970.
However, there are a few exceptions where an Indian resident can file a patent application abroad without
prior permission from the Indian Patent Office (IPO):
 Corresponding Application After 6 Weeks:
An Indian resident can file a patent application for the same invention in a convention country or
under the Patent Cooperation Treaty (PCT) within six months from the date of filing the application in
India. A convention country is a member of an international agreement that simplifies the process of
filing for patent protection in multiple countries.
 No Secrecy Direction:
The IPO can issue a secrecy direction on a patent application if it considers the invention vital for
national security or defense purposes. If such a direction is issued, filing abroad would require consent
from the Central Government. However, if there's no secrecy direction on the application, you can
proceed with filing abroad without permission.
 Inventions Excluded from Patentability:
If the invention falls under categories excluded from patent protection in India, such as scientific
principles, discoveries, mathematical methods, or plants and animals (unless produced by a
microbiological process), then permission from the IPO wouldn't be required for filing abroad.
 Application by Foreign Resident Filed Outside India:
Section 39 applies only to applications filed by residents of India. If a co-inventor residing outside
India files the application in their home country, an Indian resident co-inventor wouldn't need
separate permission from the IPO.

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What are utility models, and how do they differ from patents?
Utility models and patents are both forms of intellectual property (IP) protection for inventions in India, but
they have some key differences. Here's a breakdown:
Utility Models:
 Simpler and Faster: Obtaining a utility model is generally simpler and faster compared to a patent.
The application process is less rigorous, and examination is not as thorough. You can expect a utility
model registration within 6 months to 1 year, while patents can take 2-5 years.
 Lower Costs: The fees associated with filing and maintaining a utility model are significantly lower
compared to patents.
 Shorter Protection: Utility models offer a shorter protection period compared to patents. In India,
utility models are typically valid for 10 years, while patents have a validity of 20 years.
 Less Rigorous Requirements: To obtain a utility model, you only need to demonstrate that the
invention is novel (new) and has industrial application. Patents, on the other hand, require a higher
bar. They must be novel, inventive (not obvious), and industrially applicable.

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 MODULE 4: COPYRIGHTS AND RELATED RIGHTS AND TRADEMARKS

Syllabus
Copyrights and Related Rights: Classes of Copyrights, Criteria for Copyright, Ownership 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,
Validity 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 (CEAC), International
Copyright Agreements, Conventions 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, and Types of Trademark Registered in India, Trademark Registry, and Process for Trademarks
Registration, Prior Art Search, and Famous Case Law: Coca-Cola Company vs. Bisleri International Pvt. Ltd.

COPYRIGHTS AND RELATED 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.
 The Related Rights encompass the work in the fields of dramatics, sound recording, film/video
recordings, paintings, architecture, etc.
 Copyrights and Related Rights are one of the categories of IP and governed by the Copyright Act, 1957
of India.
 This Act provides rights of reproduction, communication to the masses, adaptation and translation of
the work.

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.

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REGISTRAR PROCESS OF COPYRIGHTS

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  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:
o Summoning and enforcing the attendance of any person and examining him on oath.
o Requiring the discovery and production of any document.
o Receiving evidence on affidavit.
o Issuing commissions for the examination of witnesses or documents.
o Requisitioning any public record or copy thereof from any court or office.
o Any other matters which may be prescribed.
 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
objection

TRADEMARK
 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.

ELIGIBILITY CRITERIA FOR TRADEMARK

Who can apply?
 Individuals: Anyone, resident or non-resident of India, can apply for a trademark.
 Businesses: All forms of businesses can apply, including sole proprietorships, partnerships, LLPs, and
companies (Indian or foreign).
What can be trademarked?
The trademark itself needs to meet certain criteria:
 Distinctiveness: The trademark should be unique and capable of distinguishing your goods or services
from others. Generic terms or purely descriptive phrases are not eligible.
 Non-deceptiveness: The trademark should not mislead consumers about the product or service.
 Lawful and non-offensive: The trademark should comply with public order and morality.
 Similarity to the prior marks - The mark should be unique and should not be having similarity to the
existing marks.

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TYPES OF TRADEMARK 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 register able
Trademarks:
o Any name including personal or surname of the applicant or predecessor in business or the
signature of the person e.g. the Trademark ‘BAJAJ‘ is named after industrialist Mr. Jamnalal
Bajaj.
o A word having no relevance to the product/services e.g. Trademark ‘INDIA GATE‘ is being used
for food grains and allied products.
o Letters or numerals or any combination thereof e.g. ‘YAHOO‘ is the abbreviation of the phrase
Yet Another Hierarchical Officious Oracle‘. It has now become a worldwide famous Trademark.
PROCESS FOR TRADEMARKS REGISTRATION

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To seek Trademark registration, the proprietor of the Trademark has to fill an application. The proprietor
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.
 Prior Art Search - 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. The requisite search can be carried out using
various web portals such as
o Public search for Trademarks by CGPDTM
o Trademark Electronic Search System (TESS)
o WIPO‗s Global Brand Database
 The steps involved in the registration process are as follows
o 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.
o The application is assigned an application number within a few days. (The same can be tracked
online at https://ipindiaonline.gov.in/tmrpublicsearch/frmmain.aspx.)
o 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 (http: //www.ipindia.
nic.in/journal-tm.htm). 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.
o 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.
o Once the application has successfully completed all formalities, a Trademark registration
certificate is issued in the name of the applicant.

FAMOUS CASE LAW: COCA-COLA COMPANY VS. BISLERI INTERNATIONAL PVT. LTD.
 'MAAZA', 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, IPR and goodwill, etc.) to a beverage company,
Coca-Cola, for the Indian Territory.
 However, in 2008, the Bisleri Company applied 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 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 MAAZA in India as well as for the export market, which was held
to be an infringement of Trademark

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What are the key considerations and tests for determining fair use doctrine under copyright law? Explain
with examples.
Fair use is a balancing act! It's a legal doctrine in copyright law that allows for limited use of copyrighted
material without requiring permission from the copyright owner. This fosters creativity and public discourse
but needs to be weighed against the rights of the copyright holder. Here's what to consider when
determining fair use:
1. The Purpose and Character of the Use:
 Non-profit vs. Commercial: Using a copyrighted clip in a non-profit educational video leans more
towards fair use than using it in a commercial.
 Transformative Use: Does your use fundamentally alter the meaning or purpose of the original work?
A parody that uses excerpts from a song to comedically critique it could be fair use.
2. The Nature of the Copyrighted Work:
 Published vs. Unpublished Works: Unpublished works generally receive greater copyright protection.
 Factual vs. Creative Works: Using a small fact from a news article is less likely to be an issue than
using a creative poem in its entirety.
3. The Amount and Substantiality of the Portion Used:
 Quantity vs. Quality: Using a short clip might be fair use, while using the heart of a copyrighted work
probably wouldn't be.
 Focus on Key Elements? Are you using the most creative or important parts of the work?
4. The Effect of the Use on the Market:
 Will it Hurt Sales? Does your use directly compete with or replace the copyrighted work?
 Creating a New Market? If your use introduces the copyrighted work to a new audience, it could be
fair use.
Examples:
 A film critic quoting a short excerpt of a movie in a review is likely fair use.
 Posting an entire copyrighted song on your social media is likely not fair use.
 A teacher showing a short documentary clip in class for educational purposes could be fair use.
What were the key events and circumstances surrounding the copyright dispute between photographer
David Slater and the macaques in Indonesia in 2011? Explain.
The year was 2011, and wildlife photographer David Slater was in Indonesia to capture images of crested
macaques. Here's how the now-famous "monkey selfie" copyright dispute unfolded:
The Click: Slater set up his camera equipment, hoping the macaques would interact with it. One curious
macaque, named Naruto by some, ended up snapping a selfie (or several) with Slater's camera.
Viral Fame: The photo went viral, becoming an internet sensation. Slater sought to claim copyright
ownership.
Wikimedia Commons Dispute: Slater requested the image be removed from Wikimedia Commons, a free
image library, arguing it belonged to him. However, Wikimedia disagreed, stating that since an animal took
the photo, copyright couldn't be applied, making it public domain.
PETA Enters the Ring: The People for the Ethical Treatment of Animals (PETA) sued Slater in 2014, arguing
the copyright should belong to Naruto the macaque.
Legal Battle and Settlement: The lawsuit centered on whether animals could hold copyright. The courts
sided with Slater, stating copyright law doesn't extend to animals. However, in 2017, all parties reached a
settlement. Slater agreed to donate 25% of future earnings from the photo to organizations protecting
macaques in Indonesia.

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What are the two exclusive rights owned by the copyright owner? Explain briefly
Copyright grants the owner exclusive control over several aspects of their creative work. Here's a quick
breakdown of the key rights:
 Reproduction: The copyright owner decides who can make copies of the work. This applies to physical
copies (like printing a book) and digital copies (like downloading a song).
 Derivative Works: This right controls who can create something new based on the original work. This
could be a translation of a book, a remix of a song, or a movie adaptation of a novel.
 Distribution: The copyright owner decides how the work is distributed to the public. This includes
selling copies, renting them out, or lending them.
 Public Performance & Display: The owner controls whether and how the work is performed or
displayed publicly. This applies to things like plays, concerts, and displaying paintings in a gallery.
What are the roles and functions of the copyright board and the copyright society in administering
copyright laws and regulations?
Copyright boards and copyright societies play different but complementary roles in administering copyright
laws and regulations:
Copyright Board
 Handles disputes regarding copyright ownership and infringement. This can involve situations where
two parties claim ownership of the same work, or where someone believes their copyright has been
violated.
 Makes decisions on the registration of copyright works. Copyright registration is not mandatory in all
countries, but it can provide certain benefits to copyright holders, such as making it easier to enforce
their rights.
 May have the authority to issue compulsory licenses in certain cases. A compulsory license is a license
that allows someone to use a copyrighted work without the permission of the copyright holder, but
subject to certain conditions, such as the payment of royalties.
Copyright Society
 Acts as a collecting agent for copyright royalties. Copyright royalties are fees that are paid to the
copyright holder for the use of their work. Copyright societies collect royalties from users of
copyrighted works, such as broadcasters, public performance venues, and businesses that sell
copyrighted material, and then distribute them to copyright holders.
 May provide other services to copyright holders, such as registration and enforcement. Copyright
societies may help copyright holders to register their works, and they may also take legal action
against copyright infringers.

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 MODULE 5: INDUSTRIAL DESIGN, GEOGRAPHICAL INDICATIONS AND CASE STUDIES ON PATENTS

Syllabus
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, Application Forms,
Classification of Industrial Designs, Designs Registration Trend in India, International Treaties, Famous Case
Law: Apple Inc. vs. Samsung Electronics Co.
Geographical Indications: Acts, Laws and Rules Pertaining to GI, Ownership of GI, Rights Granted to the
Holders, Registered GI in India, Identification of Registered GI, Classes of GI, Non-Registerable GI,
Protection of GI, Collective or Certification Marks, Enforcement of GI Rights, Procedure for GI Registration
Documents Required for GI Registration, GI Ecosystem in India.
Case Studies on Patents: Case study of Curcuma (Turmeric) Patent, Case study of Neem Patent, Case study
of Basmati patent, IP Organizations in India, Schemes and Programs.

Briefly explain the overview of Industrial Design (ID). Summarize the Non-Protectable Industrial Designs
in India.
Industrial Design (ID) is all about creating the physical products we use every day. It's the bridge between
creativity and functionality, designing objects for mass production that are both aesthetically pleasing and
user-friendly. Here's a quick breakdown:
 Focus: Form, function, and manufacturability of physical products.
 Goal: Designing user-centered objects that are innovative, functional, and visually appealing.
 Process: Industrial designers typically collaborate with engineers and marketers to consider usability,
production methods, and customer needs. They sketch, create prototypes, and refine their ideas until
a final design is achieved.
 Examples: From smartphones and furniture to appliances and even toys, almost any everyday object
you can think of has likely been influenced by industrial design.
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 integrated 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:
o Paintings, sculptures, drawings including a diagram, map, chart or plan.
o Photographs and work of architecture.
o Any other work related to artistic craftsmanship.
Industrial Designs does not include any Trademark (The Designs Act, 2000

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ENFORCEMENT OF DESIGN RIGHTS
 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) in order 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 or infringement, the court can ask him to pay the damage
(50,000/-) in respect of infringement of one registered Design.

PROCEDURE FOR REGISTRATION OF INDUSTRIAL DESIGNS

Prior Art Search
 Before filing an application for 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 Utility (CGPDTM),
Global Design Database (WIPO), etc.

Application for Registration

 Once the applicant is satisfied that his Design is novel and significantly distinguishable from other
Designs, 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 application 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

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CLASSIFICATION OF INDUSTRIAL DESIGNS
 Designs are registered in different classes as per the Locarno Agreement, 1968;
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

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 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).

Fig: Industrial Designs Profile in India

FAMOUS CASE LAW: APPLE INC. VS. SAMSUNG ELECTRONICS CO.
 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.

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GEOGRAPHICAL INDICATIONS
 A 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.
 In GI, there is a strong link between the product and its original place of production.

ACTS, LAWS AND RULES PERTAINING TO GI

 In India, GI was introduced in 2003 and is governed under the Geographical Indications of Goods
(Registration & Protection) Act, 1999 and the Geographical Indications of Goods (Registration &
Protection) Rules, 2002.

OWNERSHIP OF GI
 The ownership/holders of GI (registered) can be of the producers, as group/association/cooperative
society or association or in certain cases, government.

RIGHTS GRANTED TO THE 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

NON-REGISTERABLE GI
For GI registration, the indications must fall within the scope of section 2(1) (e) of GI Act, 1999. Being so, it
has to also satisfy the provisions of Section 9, which prohibits registration of a GI 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.

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PROCEDURE FOR GI REGISTRATION DOCUMENTS
 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.

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RM&IPR Page 35
CASE STUDIES ON PATENTS
Case study of Curcuma (Turmeric) Patent)
 In India, the turmeric has been "a classic grandmother's remedy", applied to cuts of children as an
anti-parasitic agent, used as a blood purifier and in treating the common cold for generations.
 It is also used as an essential ingredient in many Indian dishes. It is of our traditional knowledge.
 In 1995, two expatriate Indians at the University of Mississippi Medical Centre were granted U.S.
Patent 5,401,504 on Use of Turmeric in Wound Healing.
 The claim covered "a method of promoting healing of a wound by administering turmeric to a patient
afflicted with wound". This patent also granted them the exclusive right to sell and distribute turmeric.
Initially, this news was disbelief and surprised many people in India.
 In 1996, The Council of Scientific & Industrial Research (CSIR), India, New Delhi requested the US Patent
and Trademarks Office (USPTO) to revoke the patent on the grounds of existing of prior art. CSIR did not
succeed in providing that many Indians already use turmeric for wound healing although turmeric was
known to every Indian household for ages.
 The patent was promptly challenged by Dr. R A Mashelkar, an Indian scientist who has done much to
awaken India to Intellectual Property Rights issues, Director General of Council of Scientific and
Industrial Research (CSIR) (1995-2006).
 Fortunately, it could provide documentary evidence of traditional knowledge including ancient Sanskrit
text and a paper published in 1953 in the Journal of the Indian Medical Association. The patent was
revoked in 1997, after ascertaining that there was no novelty.
The case
 US patent 5401504granted: May 1995
 CSIR request for re-examination at USPTO: October 1996
 1st office action rejecting all patent claims: March 1997
 Response by patentee
 Second action report
 Patentee's interview with examiner
 Re-examination certificate issued and proceedings concluded in favor of CSIR: April 1998

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 Case study of Neem Patent
 There are approximately 14 million neem trees (Azadirachta indica) in India. Access to neem products
was very cheap (if not free) and easy to get. It is a tropical evergreen, related to the mahogany that
mainly grows in arid regions of India and Burma and Southwest Asia and West Africa.
 The neem tree has many versatile traits that can be traced back to the Upavanavinod, an ancient
Sanskrit treatise dealing with agriculture. This treatise cites the neem tree as a cure for ailing soil, plants
and livestock. The tree has been referred to as the 'curer of all ailments' and the 'blessed tree' by both
the Hindu and Muslim population in India. The leaves and the bark have been used to treat illnesses
such as leprosy, ulcers, diabetes and skin disorder.
Issue
 In 1971, US timber importer Robert Larson began importing neem seed. Over the next decade he
conducted safety and performance tests upon a pesticidal neem extract called Margosan-O and in 1985
received clearance for the product from the US Environmental Protection Agency(EPA).
 Three years later (1988) he sold the patent for the product to the multinational chemical corporation,
WR Grace and Co.
 Since 1985, over a dozen US patents have been issued by US and Japanese firms for stable neem-based
solutions and emulsions and even for a neem-based toothpaste.
 W. R Grace had applied for two patents in 1990 and 1994 and they were granted.
 It became a controversial issue.
1990 : Multinational chemical corporation, WR Grace and Co (Neem-based biopeticides).
1994 : European Patent Office (EPO) granted a patent.
1995 : Opposed by Vandana Shiva of the Research Foundation for Science, Technology and Ecology (RFSTE).
2000 : EPO revoked patent on this basic of lack of inventive step and novely.

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 Case study of Basmati patent
 Originally from India and Pakistan, Basmati became a controversial 'issue' after RiceTec, a Texas-based
company, in 1997, patented some types of rice they developed as "American basmati".
 RiceTec Inc, had been trying to enter the international Basmati market with brands like "Kasmati" and
"Texmati". Ultimately, the company claimed to have developed a new strain of aromatic rice by
interbreeding basmati with another variety. They sought to call the allegedly new variety as Texmati or
American Basmati.
 RiceTec Inc, was issued the Patent number 5663484 on Basmati rice lines and grains on September 2,
1997.
 This was objected to by two Indian nongovernmental organizations (NGOs) Centre for Food Safety, an
international NGO that campaigns against bio piracy, and the Research Foundation for Science,
Technology and Ecology, an Indian environmental NGO who filed Electronic copy available at:
http://ssrn.com/abstract=1143209 legal petitions in the United States. The Centre for Scientific and
Industrial Research also objected to it.
 The Centre for Scientific and Industrial Research also objected to it. ü They sought trade protection for
basmati rice of the Indian subcontinent and jasmine rice of Thailand. They demanded amendment of
U.S. rice standards to specify that the term "basmati" can be used only for rice grown in India and
Pakistan, and jasmine for the Thai rice.
 The Indian government, after putting together the evidence, officially challenged the patent in June
2000.
Issue:
 The patent was challenged on the fact that the plant varieties and grains already exist as a staple in
India.5 75 percent of U.S. rice imports are from Thailand and that the remainder is from India and
Pakistan and both varieties are rice that cannot be grown in the United States. The legal theory is that
the patent is not novel and for an invention that is obvious, being based on rice that is already being
imported in the United States; therefore it should not have been granted in the first place.
 Trademark law could also be a basis for challenging the use of basmati. RiceTec and to prevent it from
marketing basmati rice in a way that creates confusion with the Indian product. But, in order to be
successful on such a claim, the Indian government would have to show likelihood of confusion among
consumers. RiceTec did not trademark the term 'basmati' and it has been careful in marketing its
product so as not to use the term basmati as an indication of source.
 As a result of the re-examination application filed by the Indian government, RiceTec agreed to
withdraw several of the claims. In January 29, 2002, the United States Patent and Trademark Office
issued a Re- examination Certificate cancelling claims 1-7, 10, and 14-20 (the broad claims covering the
rice plant) out of 24 claims and entered amendments to claims 12-13 on the definition of chalkiness of
the rice grains.
Case
 Case number: 493  Publication date: Sep 2, 1997
 Case mnemonic: Basmati  Filing date: Jul 8, 1994
 Case name: India-US Basmati Rice Dispute
 Patent number: US5663484 A
 Publication type: Grant
 Application number: US 08/272,353

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