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Research methodology unit 1 230215 151157
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RM4151 - RESEARCH METHODOLOGY AND IPR UNIT - 1
RESEARCH METHODOLOGY AND IPR

UNIT I RESEARCH DESIGN
Overview of research process and design, Use of Secondary and exploratory data to
answer the research question, Qualitative research, Observation studies, Experiments and
Surveys.
1.1 Overview of research process and design
Definition of Research
Research refers to a search for knowledge.
It is a scientific and systematic search for pertinent information on a specific topic.
Research refers to the systematic method of enunciating (clearly stating) the problem,
formulating a hypothesis (proposed explanation made on the basis of limited evidence),
collecting the facts or data, analyzing the facts and reaching certain conclusions either in the
form of solutions(s) towards the problem or generalizations for some theoretical formulation.
Research Methodology
Enunciating the problem
Formulating a hypothesis
Collecting the facts or
data Analyzing the facts
Reaching conclusion
Solutions(s) towards the problem Generalizations for some theoretical

Formulation
Motivations in Research
The factors that motivate people to undertake research are
1. Desire to get a research degree along with its consequential benefits
2. Desire to face the challenge in solving the unsolved problems
3. Desire to get intellectual joy of doing some creative work
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4. Desire to be of service to society

5. Desire to earn respect
6. Desire to get better employment
7. Curiosity about new things
Research Process
Research process consists of series of actions or steps necessary to effectively carry
out research and the desired sequencing of these steps.
The various steps involved in a research process are not mutually exclusive; nor they
are separate and distinct.
They do not necessarily follow each other in any specific order.
However, the following order concerning various steps provides a useful procedural
guideline regarding the research process:
1. Formulating the research problem
2. Extensive literature survey
3. Development of working hypotheses
4. Preparing the research design
5. Determining sample design
6. Collecting the data
7. Execution of the project
8. Analysis of data
9. Hypothesis-testing
10. Generalizations and interpretation
11. Preparation of the report or the thesis
1. Formulating the research problem:

The researcher must firstly decide the general area of interest.
Formulating the research problem involves understanding the problem thoroughly and
stating the same in meaningful terms from an analytical point of view.
Initially the problem may be stated in a broad general way and then the ambiguities
relating to the problem can be resolved.
Then, the feasibility of a particular solution is considered before the formulation of the
problem is set up.
2. Extensive literature survey:

Once the problem is formulated the researcher should undertake extensive literature
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survey connected with the problem.

For this purpose, academic journals, conference proceedings, books, government reports,
published or unpublished bibliographies etc.. are to be referred.
The earlier studies, if any, which are similar to the study in hand should be carefully studied.
3. Development of working hypotheses:

After extensive literature survey, researcher should state the working hypothesis or
hypotheses.
Working hypothesis is a tentative assumption made in order to test its logical or empirical
consequences.
Hypothesis should be very specific and limited to the piece of research in hand because it
has to be tested.
Developing a working hypotheses:

(a) Discussions with colleagues and experts about the problem.
(b) Examination of data and records concerning the problem.
(c) Review of similar studies in the area.
(d) Investigation involving original field interviews with interested parties .
Some problems do not need working hypotheses, specially in the case of exploratory or
formulative researches the hypothesis.
4. Preparing the research design:
The function of research design is to provide relevant evidence with minimal expenditure
and effort.
The preparation of the research design involves:
(i) the means of obtaining the information
(ii) the availability and skills of the researcher and his staff (if any)
(iii) Organization of information
(iv) time available for research
(v) finance available for the research.
5. Determining sample design:

A sample design is a definite plan determined before any data are actually collected for
obtaining a sample from a given population.
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Thus, the plan to select 12 of a city’s 200 drugstores in a certain way constitutes a sample
design.
The important sample designs are as follows:
(i) Deliberate sampling:
It is also known as purposive or non-probability sampling.
It involves deliberate selection of particular units from the population.
(ii) Simple random sampling:
It is also known as chance sampling or probability sampling where each and every item in
the population has an equal probability of inclusion.
(iii) Systematic sampling: Sometimes it is practical to pick every nth element on a list.
Sampling of this type is known as systematic sampling.
(iv) Stratified sampling: If the population is non-homogeneous, then stratified sampling
technique is applied. In this technique, the population is stratified into a number of
nonoverlapping subpopulations or strata and sample items are selected from each stratum.
(v) Quota sampling:
Quota samples are non-probability samples which are generally judgement samples rather
than random samples.
(vi) Cluster sampling and area sampling: Cluster sampling involves grouping the
population and then selecting the groups or the clusters rather than individual elements for
inclusion in the sample.
Under area sampling we first divide the total area into a number of smaller non-overlapping
areas, then a number of these smaller areas are randomly selected and all units in these
small areas are included in the sample.
(vii) Multi-stage sampling: This is meant for big inquiries extending to a considerably
large geographical area like an entire country.
In this, the first stage may be to select large primary sampling units such as states, then
districts, then towns and finally certain families within towns.
(viii) Sequential sampling: The size of the sample is not fixed in advance but is
determined according to mathematical decisions on the basis of information yielded as
survey progresses.
6. Collecting the data:

Primary data can be collected through experiment or through
survey. In an experiment, the researcher records some
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observations.
In the case of a survey, data can be collected by observation, personal interview, telephone
interviews, mailing questionnaires or Through trained enumerators
7. Execution of the project:

The researcher should see that the project is executed in a
systematic manner and in time.
8. Analysis of data:
The analysis of data involves coding, tabulation and then drawing statistical inferences.
9. Hypothesis-testing:
After analysing the data, the researcher can test the formulated hypotheses earlier.
Various tests, such as Chi square test, t-test, F-test, have been developed by statisticians
for the purpose.
Hypothesis-testing will result in either accepting the hypothesis or in rejecting it.
10. Generalisations and interpretation:

If a hypothesis is tested and upheld several times, it may be possible for the researcher to
arrive at generalisation, i.e., to build a theory.
11. Preparation of the report or the thesis:

Report should be written in concise and simple language avoiding vague expressions such
as ‘it seems,’ ‘there may be’, and the like.
The layout of the report should be as follows:

(i) the preliminary pages;
(ii) the main text
(iii) the end matter.
The preliminary pages should carry title, acknowledgements, foreword, table of contents,
list of figures, list of tables, list of graphs and charts given in the report.
The main text of the report should have:
(a) Introduction: It should contain objectives of the research, scope of the study, limitations
and explanation of the methodology adopted in accomplishing the research.
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(b) Summary of findings

(c) Main report: The main body of the report should be presented in logical sequence and
broken-down into readily identifiable sections including background, methodology and
results.
(d) Conclusions
(e) Bibliography i.e., list of books, journals, reports, etc., consulted, should also be given in
the end.
Research design definition

Research design is the framework of research methods and techniques chosen by a
researcher. The design allows researchers to hone in on research methods that are suitable for
the subject matter and set up their studies up for success.
The design of a research topic explains the type of research (experimental, survey
research, correlational, semi-experimental, review) and also its sub-type (experimental
design, research problem, descriptive case-study).
There are three main types of designs for research: Data collection, measurement, and
analysis.
The type of research problem an organization is facing will determine the research design and
not vice-versa. The design phase of a study determines which tools to use and how they are
used.
An impactful research usually creates a minimum bias in data and increases trust in the
accuracy of collected data. A design that produces the least margin of error in experimental
research is generally considered the desired outcome. The essential elements are:
1. Accurate purpose statement

2. Techniques to be implemented for collecting and analyzing research
3. The method applied for analysing collected details
4. Type of research methodology
5. Probable objections for research
6. Settings for the research study
7. Timeline
8. Measurement of analysis
1.2 Use of Secondary and exploratory data to answer the research question
Exploratory research: Definition
Exploratory research is defined as a research used to investigate a problem which is
not clearly defined. It is conducted to have a better understanding of the existing problem, but
will not provide conclusive results. For such a research, a researcher starts with a general idea
and uses this research as a medium to identify issues, that can be the focus for future
research. An important aspect here is that the researcher should be willing to change his/her
direction subject to the revelation of new data or insight. Such a research is usually carried
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out when the problem is at a preliminary stage. It is often referred to as grounded theory
approach or interpretive research as it used to answer questions like what, why and how.
For example: Consider a scenario where a juice bar owner feels that increasing the variety of
juices will enable increase in customers, however he is not sure and needs more information.
The owner intends to carry out an exploratory research to find out and hence decides to do an
exploratory research to find out if expanding their juices selection will enable him to get
more customers of if there is a better idea.
Another example of exploratory research is a podcast survey template that can be used to
collect feedback about the podcast consumption metrics both from existing listeners as well
as other podcast listeners that are currently not subscribed to this channel. This helps the
author of the podcast create curated content that will gain a larger audience.
Types and methodologies of Exploratory research

While it may sound a little difficult to research something that has very little
information about it, there are several methods which can help a researcher figure out the best
research design, data collection methods and choice of subjects. There are two ways in which
research can be conducted namely primary and secondary.. Under these two types, there are
multiple methods which can used by a researcher. The data gathered from these research can
be qualitative or quantitative. Some of the most widely used research designs include the
following:
Primary research methods

Primary research is information gathered directly from the subject. It can be through
a group of people or even an individual. Such a research can be carried out directly by the
researcher himself or can employ a third party to conduct it on their behalf. Primary research
is specifically carried out to explore a certain problem which requires an in-depth study.
Surveys/polls: Surveys/polls are used to gather information from a predefined group of

respondents. It is one of the most important quantitative method. Various types of
surveys or polls can be used to explore opinions, trends, etc. With the advancement in
technology, surveys can now be sent online and can be very easy to access. For instance, use
of a survey app through tablets, laptops or even mobile phones. This information is also
available to the researcher in real time as well. Nowadays, most organizations offer short
length surveys and rewards to respondents, in order to achieve higher response rates.
For example: A survey is sent to a given set of audience to understand their opinions about
the size of mobile phones when they purchase one. Based on such information organization
can dig deeper into the topic and make business related decision.
Interviews: While you may get a lot of information from public sources, but sometimes an in
person interview can give in-depth information on the subject being studied. Such a research
is a qualitative research method. An interview with a subject matter expert can give you
meaningful insights that a generalized public source won’t be able to provide. Interviews are
carried out in person or on telephone which have open-ended questions to get meaningful
information about the topic.
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For example: An interview with an employee can give you more insights to find out the
degree of job satisfaction, or an interview with a subject matter expert of quantum theory can
give you in-depth information on that topic.
Focus groups: Focus group is yet another widely used method in exploratory research. In
such a method a group of people is chosen and are allowed to express their insights on the
topic that is being studied. Although, it is important to make sure that while choosing the
individuals in a focus group they should have a common background and have comparable
experiences.
For example: A focus group helps a research identify the opinions of consumers if they were
to buy a phone. Such a research can help the researcher understand what the consumer value
while buying a phone. It may be screen size, brand value or even the dimensions. Based on
which the organization can understand what are consumer buying attitudes, consumer
opinions, etc.
Observations: Observation research can be qualitative observation or quantitative

observation. Such a research is done to observe a person and draw the finding from their
reaction to certain parameters. In such a research, there is no direct interaction with the
subject.
For example: An FMCG company wants to know how it’s consumer react to the new shape
of their product. The researcher observes the customers first reaction and collects the data,
which is then used to draw inferences from the collective information.
Secondary research methods

Secondary research is gathering information from previously published primary research. In
such a research you gather information from sources likes case studies, magazines,
newspapers, books, etc.
Online research: In today’s world, this is one of the fastest way to gather information on any
topic. A lot of data is readily available on the internet and the researcher can download it
whenever he needs it. An important aspect to be noted for such a research is the genuineness
and authenticity of the source websites that the researcher is gathering the information from.
For example: A researcher needs to find out what is the percentage of people that prefer a
specific brand phone. The researcher just enters the information he needs in a search engine
and gets multiple links with related information and statistics.
Literature research: Literature research is one of the most inexpensive method used for
discovering a hypothesis. There is tremendous amount of information available in libraries,
online sources, or even commercial databases. Sources can include newspapers, magazines,
books from library, documents from government agencies, specific topic related articles,
literature, Annual reports, published statistics from research organizations and so on.
However, a few things have to be kept in mind while researching from these sources.
Government agencies have authentic information but sometimes may come with a nominal
cost. Also, research from educational institutions is generally overlooked, but in fact
educational institutions carry out more number of research than any other entities.
Furthermore, commercial sources provide information on major topics like political agendas,
demographics, financial information, market trends and information, etc.
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For example: A company has low sales. It can be easily explored from available statistics and
market literature if the problem is market related or organization related or if the topic being
studied is regarding financial situation of the country, then research data can be accessed
through government documents or commercial sources.
Case study research: Case study research can help a researcher with finding more
information through carefully analyzing existing cases which have gone through a similar
problem. Such analysis are very important and critical especially in today’s business world.
The researcher just needs to make sure he analyses the case carefully in regards to all
the variables present in the previous case against his own case. It is very commonly used by
business organizations or social sciences sector or even in the health sector.
For example: A particular orthopedic surgeon has the highest success rate for performing
knee surgeries. A lot of other hospitals or doctors have taken up this case to understand and
benchmark the method in which this surgeon does the procedure to increase their success
rate.
1.3 Qualitative research

Qualitative research involves collecting and analyzing non-numerical data (e.g., text,
video, or audio) to understand concepts, opinions, or experiences. It can be used to gather in-
depth insights into a problem or generate new ideas for research.
Qualitative research is the opposite of quantitative research, which involves collecting

and analyzing numerical data for statistical analysis.
Qualitative research is commonly used in the humanities and social sciences, in

subjects such as anthropology, sociology, education, health sciences, history, etc.
Qualitative research approaches
Approach What does it involve?
Grounded theory Researchers collect rich data on a topic of interest and develop
theories inductively.
Ethnography Researchers immerse themselves in groups or organizations to

understand their cultures.
Action research Researchers and participants collaboratively link theory to practice to

drive social change.
Phenomenological Researchers investigate a phenomenon or event by describing and

research interpreting participants’ lived experiences.
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Approach What does it involve?
Narrative research Researchers examine how stories are told to understand how
participants perceive and make sense of their experiences.
Qualitative research methods

Each of the research approaches involve using one or more data collection methods.
These are some of the most common qualitative methods:
• Observations: recording what you have seen, heard, or encountered in detailed field
notes.
• Interviews: personally asking people questions in one-on-one conversations.
• Focus groups: asking questions and generating discussion among a group of people.
• Surveys: distributing questionnaires with open-ended questions.
• Secondary research: collecting existing data in the form of texts, images, audio or
video recordings, etc.
Qualitative data analysis

Qualitative data can take the form of texts, photos, videos and audio. For example, you might
be working with interview transcripts, survey responses, fieldnotes, or recordings from
natural settings.
Most types of qualitative data analysis share the same five steps:
1. Prepare and organize your data. This may mean transcribing interviews or typing
up fieldnotes.
2. Review and explore your data. Examine the data for patterns or repeated ideas that
emerge.
3. Develop a data coding system. Based on your initial ideas, establish a set of codes
that you can apply to categorize your data.
4. Assign codes to the data. For example, in qualitative survey analysis, this may mean
going through each participant’s responses and tagging them with codes in a
spreadsheet. As you go through your data, you can create new codes to add to your
system if necessary.
5. Identify recurring themes. Link codes together into cohesive, overarching themes.
Advantages of qualitative research

Qualitative research often tries to preserve the voice and perspective of participants and can
be adjusted as new research questions arise. Qualitative research is good for:
• Flexibility
The data collection and analysis process can be adapted as new ideas or patterns emerge.
They are not rigidly decided beforehand.
• Natural settings
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Data collection occurs in real-world contexts or in naturalistic ways.
• Meaningful insights
Detailed descriptions of people’s experiences, feelings and perceptions can be used in

designing, testing or improving systems or products.
• Generation of new ideas
Open-ended responses mean that researchers can uncover novel problems or opportunities
that they wouldn’t have thought of otherwise.
Disadvantages of qualitative research

Researchers must consider practical and theoretical limitations in analyzing and interpreting
their data. Qualitative research suffers from:
• Unreliability
The real-world setting often makes qualitative research unreliable because of uncontrolled
factors that affect the data.
• Subjectivity
Due to the researcher’s primary role in analyzing and interpreting data, qualitative research
cannot be replicated. The researcher decides what is important and what is irrelevant in data
analysis, so interpretations of the same data can vary greatly.
• Limited generalizability
Small samples are often used to gather detailed data about specific contexts. Despite rigorous
analysis procedures, it is difficult to draw generalizable conclusions because the data may be
biased and unrepresentative of the wider population.
• Labour-intensive
Although software can be used to manage and record large amounts of text, data analysis
often has to be checked or performed manually.
1.4 Observation Studies
The term observational research is used to refer to several different types of non-
experimental studies in which behaviour is systematically observed and recorded. The goal of
observational research is to describe a variable or set of variables. More generally, the goal is
to obtain a snapshot of specific characteristics of an individual, group, or setting. As
described previously, observational research is non-experimental because nothing is
manipulated or controlled, and as such we cannot arrive at causal conclusions using this
approach. The data that are collected in observational research studies are often qualitative in
nature but they may also be quantitative or both (mixed-methods).
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There are several different types of observational research designs that will be described
below.
1.participant
2.non participant
3.Naturalistic observation
4. simulation
1). Participant observation
Another approach to data collection in observational research is participant

observation. In participant observation, researchers become active participants in the group
or situation they are studying. Participant observation is very similar to naturalistic
observation in that it involves observing people’s behavior in the environment in which it
typically occurs. As with naturalistic observation, the data that is collected can include
interviews (usually unstructured), notes based on their observations and interactions,
documents, photographs, and other artifacts. The only difference between naturalistic
observation and participant observation is that researchers engaged in participant observation
become active members of the group or situations they are studying. The basic rationale for
participant observation is that there may be important information that is only accessible to,
or can be interpreted only by, someone who is an active participant in the group or situation.
Like naturalistic observation, participant observation can be either disguised or undisguised.
In disguised participant observation, the researchers pretend to be members of the social
group they are observing and conceal their true identity as researchers. In contrast
with undisguised participant observation, the researchers become a part of the group they
are studying and they disclose their true identity as researchers to the group under
investigation. Once again there are important ethical issues to consider with disguised
participant observation. First no informed consent can be obtained and second passive
deception is being used. The researcher is passively deceiving the participants by
intentionally withholding information about their motivations for being a part of the social
group they are studying. But sometimes disguised participation is the only way to access a
protective group (like a cult). Further, disguised participant observation is less prone to
reactivity than undisguised participant observation.
2)non participant observation
The researcher does not participate in the activities of the group being observed.
on-participant Observation involves observing participants without actively

participating. This option is used to understand a phenomenon by entering the community or
social system involved, while staying separate from the activities being observed.
3) naturalistic observation
Naturalistic observation is an observational method that involves observing people’s

behavior in the environment in which it typically occurs. Thus naturalistic observation is a
type of field research (as opposed to a type of laboratory research). Jane Goodall’s famous
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research on chimpanzees is a classic example of naturalistic observation. Dr. Goodall spent

three decades observing chimpanzees in their natural environment in East Africa. She
examined such things as chimpanzee’s social structure, mating patterns, gender roles, family
structure, and care of offspring by observing them in the wild. However, naturalistic
observation could more simply involve observing shoppers in a grocery store, children on a
school playground, or psychiatric inpatients in their wards. Researchers engaged in
naturalistic observation usually make their observations as unobtrusively as possible so that
participants are not aware that they are being studied. Such an approach is called disguised
naturalistic observation. Ethically, this method is considered to be acceptable if the
participants remain anonymous and the behavior occurs in a public setting where people
would not normally have an expectation of privacy. Grocery shoppers putting items into their
shopping carts, for example, are engaged in public behavior that is easily observable by store
employees and other shoppers. For this reason, most researchers would consider it ethically
acceptable to observe them for a study. On the other hand, one of the arguments against the
ethicality of the naturalistic observation of “bathroom behavior” discussed earlier in the book
is that people have a reasonable expectation of privacy even in a public restroom and that this
expectation was violated.
4) simulation observation
The researcher simulates or recreates a situation, environment, or system and observes

the subject under study in the simulated environment.
CASE STUDIES
A case study is an in-depth examination of an individual. Sometimes case studies are also
completed on social units (e.g., a cult) and events (e.g., a natural disaster). Most commonly in
psychology, however, case studies provide a detailed description and analysis of an
individual. Often the individual has a rare or unusual condition or disorder or has damage to
a specific region of the brain.
1.5 Experiments and Surveys

Survey :
Survey refers to the way of gathering information regarding a variable under study from all
or a specified number of respondents of the universe. Surveys are carried out by
maintaining a structured form of data collection, through interview, questionnaire, case
study etc. In surveys prepared questions are asked from the prepared formal questionnaire
set and the output is collected in the same form.
For example – Survey among the students about the new education policy of India.
Experiment :
Experiments refers to the way of experimenting something practically with the help of
scientific procedure/approach and the outcome is observed. Experiments are carried out by
performing the experiments by following scientific procedure or scientific approach. In
experiments the investigator/examiner performs tests or experiments based on various
factors and observes the outcome of the experiment.
For example – Experiment in the chemistry laboratory by a group of students and faculties
specific to a topic.
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Difference between Survey and Experiment :
S.No. SURVEY EXPERIMENT
It refers to the way of experimenting

It refers to a way of gathering information something practically with the help of
regarding a variable under study from scientific procedure/approach and the
01. people. outcome is observed.
Sureys are conducted in case of descriptive Experiments are conducted in case of

02. research. experimental research.
Experiments are carried out to experience

03. Surveys are carried out to see something. something.
04. These studies usually have larger samples. These studies usually have smaller samples.
The surveyor does not manipulate the The researcher may manipulate the variable
05. variable or arrange for events to happen. or arrange for events to happen.
It is appropriate in case of social or It is appropriate in case of physical and

06. behavioral science. natural science.
07. It comes under field research. It comes under laboratory research.
Possible relationship between the data and

the unknowns in the universe can be Experiments are meant to determine such
08. studied through surveys. relationships.
Surveys can be performed in less cost than

09. a experiments. Experiments costs higher than the surveys.
10. Surveys often deals with secondary data. Experiments deal with primary data.
In surveys there is no requirement of

laboratory equipment or there is a very In experiments usually laboratory equipment
small requirement of equipment just to are used in various activities during the
11. collect any sample of data. experiment process.
12. It is vital in co-relational analysis. It is vital in casual analysis.
13. No manipulation is involved in surveys. Manipulation is involved in experiments.
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In surveys data is collected through In experiments data is collected through

14. interview, questionnaire, case study etc. several readings of experiment.
15. Surveys can focus on broad topics. Experiments focuses on specific topic.
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UNIT II DATA Collection AND Sources pdf
Computer Science (Anna University)

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RM4151-RESEARCHG METHODOLOGY UNIT -2
UNIT II DATA COLLECTION AND SOURCES

Measurements, Measurement Scales, Questionnaires and Instruments, Sampling and
methods. Data - Preparing, Exploring, examining and displaying.
Measurements
Measurement is the process of describing some property of a phenomenon under

study and assigning a numerical value to it. Measurement is considered as the foundation of
scientific inquiry. In our daily life, many things are measured continuously in different ways
for different purposes.
We can not only measure physical objects but abstract objects also, that means we can
measure quantitatively and qualitatively. We can measure height, weight, length, width,
income etc., (quantitative measurement) and at the same time, we can measure attitude,
personality, perception, intelligence, preference (qualitative measurement) etc. A
measurement can give us different kinds of information about a theoretical concept under
study.
A more contemporary definition of measurement as “the estimation or the discovery
of the ratio of some magnitude of a quantitative attribute to a unit of the same attribute”
(Michell, 1997).
According to Warren S Torgerson “The assignment of numbers to objects to represent
amounts or degrees of a property possessed by all of the objects.” To understand the nature of
the data, we must know at which level the data is measured. So the measurement can occur at
different levels, and the relationship among the values assigned determines the level of
measurement. There are four hierarchical levels of measurement identified by Stevens
(1946); they are nominal, ordinal, interval, and ratio.
Measurement Scales
Nominal Scale
This is a method of measuring the objects or events into a discrete category. This is regarded
as the most basic form of measurement. Here we assign a number to an object only for the
identification of the object. So it is a categorical data or qualitative data. Here the numbers
are only used for labeling the object, and there is no quantitative value at all. This is used to
categories the data into different groups. In a survey, all the respondence are divided into
PREPARED BY. E.JANAKIRAMAN.MCA.MPHIL., AP/APEC 1

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different categories, which should be mutually exclusive and collectively exhaustive. Here
the categories have no predefined order.
Examples of nominal scale data connection using a questionnaire.
1. Specify your gender
1. Male
2. Female
2. Are you Married?
1. Yes
2. No
3. You are from
1. Urban
2. Rural
4. Specify your working department
1. Marketing
2. HR
3. Finance
4. Sales
5. Production
6. Operations
5. Specify your food habit
1. Vegetarian
2. No-Vegetarian
Here we can assign number to each option like 1 to Male and 2 to female, and 1 to Yes, and 2
to No, 1 to Urban, 2 to Rural, 1 to Marketing, 2 to HR, 3 to Finance etc.
Here these numbers have no quantitative values; they only represent the category. So we
cannot apply any arithmetic operations in this type of sale. We can only count the number of
items in each category.
Here we can prepare a frequency distribution table for representing this nominal data.
Ordinal Scale
The ordinal scale is the next level of data measurement scale. Here we measure according to
the rank order of the data without considering the degree of difference between the
data. Here the “Ordinal” is the indication of “Order”. In ordinal measurement, we assign a
numerical value to the variables based on their relative ranking or positioning in comparison

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with other data in that group. An ordinal scale is indicating the logical hierarchy among
variables under observation.
Here the data has an order. In a nominal scale, there is no predefined order for arranging the
data. But here the data is arranged according to some predefined order, but not considering
the magnitude of difference. The ranking scale tells us the relative position of the objects
under study.
Suppose in a 100-meter race John finished first, Tom finished second, Mathew
finished 3 and Xavier finished fourth. Here we explain the data in ranking scale. We arrange
the data according to the relative position of the data set. Here we not consider the magnitude
of difference between John and Tom, Tom and Mathew, Mathew and Xavier. They may not
finish in the equal interval, that is Tom finished 5 seconds after John, Mathew finished 9
seconds after Tom, and Xavier finished 18 seconds after Mathew. Here we do not consider
this magnitude of difference, but only the order of the finishing position.
Examples of Ordinal scale data (Rank Scale) connection using a questionnaire.
Example: Rank your feature preferences when you buy a mobile phone. The most preferred
feature should be ranked one, the second preferred feature should be rank two and so on.
Rank the following mobile brand in order of your preference, the most preferred mobile
brand should be ranked one, the second most preferred should be ranked two and so on.
To know the descriptive analysis of the ranking scale, watch the video.
Ranking Scale Questionnaire - How to tabulate, analyse and prepare graph using MS Excel.

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Interval Scale
It is the next higher level of measurement. It overcomes the limitation of ordinal scale
measurement. In the ordinal scale, the magnitude of the difference is unimportant, but here on
an interval scale, the magnitude of the difference is important. In the interval scale, the
difference between the two variables has a meaningful interpretation. In the interval scale, the
difference between variables is equal distance. The distance between any two adjacent
attributes is called an interval, and intervals are always equal.
Examples of Interval Scale data connection using questionnaire.
How likely do you recommend our product to your friends or relatives?
Likert scale is a tool to collect interval data, which is developed by Rensis Likert
To know the descriptive analysis of the interval scale , watch the video.
How to tabulate, analyze, and prepare graph from Likert Scale questionnaire data using Ms
Excel.
Ratio Scale
Ratio scale is purely quantitative. Among the four levels of measurement, ratio scale
is the most precise. The score of zero in ratio scale is not arbitrary compared to the other
three scales.
This is the unique quality of ratio scale data. It represents all the characteristics of nominal,
ordinal, and interval scales. Examples of ratio scales are age, wight, height, income, distance
etc.
Examples of Interval Scale (Ranking Scale) data connection using questionnaire.
Specify you monthly income :
How many students are there in your institution? :
Number of departments in your organisation :

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Questionnaires and Instruments
What is a Questionnaire?
A questionnaire is a research instrument that consists of a set of questions or other types of

prompts that aims to collect information from a respondent. A research questionnaire is
typically a mix of close-ended questions and open-ended questions.
Open-ended, long-form questions offer the respondent the ability to elaborate on their
thoughts. Research questionnaires were developed in 1838 by the Statistical Society of
London.
The data collected from a data collection questionnaire can be both qualitative as well
as quantitative in nature. A questionnaire may or may not be delivered in the form of
a survey, but a survey always consists of a questionnaire.
Questionnaire Examples
The best way to understand how questionnaires work is to see the types of questionnaires
available. Some examples of a questionnaire are:
1. Customer Satisfaction Questionnaire: This type of research can be used in any situation
where there’s an interaction between a customer and an organization. For example, you
might send a customer satisfaction survey after someone eats at your restaurant. You can
use the study to determine if your staff is offering excellent customer service and a positive
overall experience.
2. Product Use Satisfaction: You can use this template to better understand your product’s
usage trends and similar products. This also allows you to collect customer preferences
about the types of products they enjoy or want to see on the market.
3. Company Communications Evaluation: Unlike the other examples, a company
communications evaluation looks at internal and external communications. It can be used
to check if the policies of the organization are being enforced across the board, both with
employees and clients.
The above survey questions are typically easy to use, understand, and execute. Additionally,
the standardized answers of a survey questionnaire instead of a person-to-person conversation
make it easier to compile useable data.
The most significant limitation of a data collection questionnaire is that respondents need to
read all of the questions and respond to them. For example, you send an invitation through
email asking respondents to complete the questions on social media. If a target respondent
doesn’t have the right social media profiles, they can’t answer your questions.

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Characteristics of a good questionnaire
Your survey design depends on the type of information you need to collect from respondents.
Qualitative questionnaires are used when there is a need to collect exploratory information to
help prove or disprove a hypothesis. Quantitative questionnaires are used to validate or test a
previously generated hypothesis. However, most questionnaires follow some essential
characteristics:
• Uniformity: Questionnaires are very useful to collect demographic information, personal

opinions, facts, or attitudes from respondents. One of the most significant attributes of a
research form is uniform design and standardization. Every respondent sees the same
questions. This helps in data collection and statistical analysis of this data. For example,
the retail store evaluation questionnaire template contains questions for evaluating retail
store experiences. Questions relate to purchase value, range of options for product
selections, and quality of merchandise. These questions are uniform for all customers.
• Exploratory: It should be exploratory to collect qualitative data. There is no restriction on
questions that can be in your questionnaire. For example, you use a data collection
questionnaire and send it to the female of the household to understand her spending and
saving habits relative to the household income. Open-ended questions give you more
insight and allow the respondents to explain their practices. A very structured question list
could limit the data collection.
• Question Sequence: It typically follows a structured flow of questions to increase the
number of responses. This sequence of questions is screening questions, warm-up
questions, transition questions, skip questions, challenging questions, and classification
questions. For example, our motivation and buying experience questionnaire
template covers initial demographic questions and then asks for time spent in sections of
the store and the rationale behind purchases.
Types of questions in a questionnaire
You can use multiple question types in a questionnaire. Using various question types can help
increase responses to your research questionnaire as they tend to keep participants more
engaged. The best customer satisfaction survey templates are the most commonly used for
better insights and decision-making.
Some of the widely used types of questions are:
• Open-Ended Questions: Open-ended questions help collect qualitative data in a

questionnaire where the respondent can answer in a free form with little to no restrictions.
• Dichotomous Questions: The dichotomous question is generally a “yes/no” close-ended
question. This question is usually used in case of the need for necessary validation. It is the
most natural form of a questionnaire.
• Multiple-Choice Questions: Multiple-choice questions are a close-ended question type in
which a respondent has to select one (single-select multiple-choice question) or many
(multi-select multiple choice question) responses from a given list of options. The
multiple-choice question consists of an incomplete stem (question), right answer or
answers, incorrect answers, close alternatives, and distractors. Of course, not all multiple-

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choice questions have all of the answer types. For example, you probably won’t have the
wrong or right answers if you’re looking for customer opinion.
• Scaling Questions: These questions are based on the principles of the four measurement
scales – nominal, ordinal, interval, and ratio. A few of the question types that utilize these
scales’ fundamental properties are rank order questions, Likert scale questions, semantic
differential scale questions, and Stapel scale questions.
• Pictorial Questions: This question type is easy to use and encourages respondents to
answer. It works similarly to a multiple-choice question. Respondents are asked a question,
and the answer choices are images. This helps respondents choose an answer quickly
without over-thinking their answers, giving you more accurate data.
Types of Questionnaires based on Distribution
Questionnaires can be administered or distributed in the following forms:
• Online Questionnaire: In this type, respondents are sent the questionnaire via email or
other online mediums. This method is generally cost-effective and time-efficient.
Respondents can also answer at leisure. Without the pressure to respond immediately,
responses may be more accurate. The disadvantage, however, is that respondents can easily
ignore these questionnaires. Read more about online surveys.
• Telephone Questionnaire: A researcher makes a phone call to a respondent to collect
responses directly. Responses are quick once you have a respondent on the phone.
However, a lot of times, the respondents hesitate to give out much information over the
phone. It is also an expensive way of conducting research. You’re usually not able to
collect as many responses as other types of questionnaires, so your sample may not
represent the broader population.
• In-House Questionnaire: This type is used by a researcher who visits the respondent’s
home or workplace. The advantage of this method is that the respondent is in a comfortable
and natural environment, and in-depth data can be collected. The disadvantage, though, is
that it is expensive and slow to conduct.
• Mail Questionnaire: These are starting to be obsolete but are still being used in
some market research studies. This method involves a researcher sending a physical data

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collection questionnaire request to a respondent that can be filled in and sent back. The
advantage of this method is that respondents can complete this on their own time to answer
truthfully and entirely. The disadvantage is that this method is expensive and time-
consuming. There is also a high risk of not collecting enough responses to make actionable
insights from the data.
A good questionnaire design
Questionnaire design is a multistep process that requires attention to detail at every step.
Researchers are always hoping that the responses received for a survey questionnaire yields
useable data. If the questionnaire is too complicated, there is a fair chance that the respondent
might get confused and will drop out or answer inaccurately.
As a survey creator, you may want to pre-test the survey by administering it to a focus group
during development. You can try out a few different questionnaire designs to determine
which resonates best with your target audience. Pre-testing is a good practice as the survey
creator can comprehend the initial stages if there are any changes required in the survey.
Steps Involved in Questionnaire Design
1. Identify the scope of your research:
Think about what your questionnaire is going to include before you start designing the look
of it. The clarity of the topic is of utmost importance as this is the primary step in creating the
questionnaire. Once you are clear on the purpose of the questionnaire, you can begin the
design process.

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2. Keep it simple:
The words or phrases you use while writing the questionnaire must be easy to understand. If
the questions are unclear, the respondents may simply choose any answer and skew the data
you collect.
3. Ask only one question at a time:
At times, a researcher may be tempted to add two similar questions. This might seem like an
excellent way to consolidate answers to related issues, but it can confuse your respondents or
lead to inaccurate data. If any of your questions contain the word “and,” take another look.
This question likely has two parts, which can affect the quality of your data.
4. Be flexible with your options:
While designing, the survey creator needs to be flexible in terms of “option choice” for the
respondents. Sometimes the respondents may not necessarily want to choose from the answer
options provided by the survey creator. An “other” option often helps keep respondents
engaged in the survey.
5. The open-ended or closed-ended question is a tough choice:
The survey creator might end up in a situation where they need to make distinct choices
between open or close-ended questions. The question type should be carefully chosen as it
defines the tone and importance of asking the question in the first place.
If the questionnaire requires the respondents to elaborate on their thoughts, an open-ended

question is the best choice. If the surveyor wants a specific response, then close-ended
questions should be their primary choice. The key to asking closed-ended questions is to
generate data that is easy to analyze and spot trends.
6. It is essential to know your audience:
A researcher should know their target audience. For example, if the target audience speaks
mostly Spanish, sending the questionnaire in any other language would lower the response
rate and accuracy of data. Something that may seem clear to you may be confusing to your
respondents. Use simple language and terminology that your respondents will understand,
and avoid technical jargon and industry-specific language that might confuse your
respondents.
For efficient market research, researchers need a representative sample collected using one of
the many sampling techniques, such as a sample questionnaire. It is imperative to plan and
define these target respondents based on the demographics required.

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7. Choosing the right tool is essential:
QuestionPro is a simple yet advanced survey software platform that the surveyors can
use to create a questionnaire or choose from the already existing 300+ questionnaire
templates.
Always save personal questions for last. Sensitive questions may cause respondents to drop
off before completing. If these questions are at the end, the respondent has had time to
become more comfortable with the interview and are more likely to answer personal or
demographic questions.
Differences between a Questionnaire and a Survey
Questionnaire Survey
A questionnaire can is a research A survey is a research method used for
instrument that consists of a set of collecting data from a pre-defined group
Meaning
questions to collect information from of respondents to gain information and
a respondent. insights on various topics of interest.
Process of collecting and analyzing that
What is it? The instrument of data collection
data
Consists of questionnaire and survey
Characteristic Subset of survey
design, logic and data collection
Time and
Fast and cost-effective Much slower and expensive
Cost
Use Conducted on the target audience Distributed or conducted on respondents
Close-ended and very rarely open-
Questions Close-ended and open-ended
ended
Answers Objective Subjective or objective

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Sampling and methods

Sampling Methods with Examples
What is sampling?
Sampling is a technique of selecting individual members or a subset of the population

to make statistical inferences from them and estimate characteristics of the whole population.
Different sampling methods are widely used by researchers in market research so that they do
not need to research the entire population to collect actionable insights.
It is also a time-convenient and a cost-effective method and hence forms the basis of
any research design. Sampling techniques can be used in a research survey software for
optimum derivation.
For example, if a drug manufacturer would like to research the adverse side effects of a drug
on the country’s population, it is almost impossible to conduct a research study that involves
everyone. In this case, the researcher decides a sample of people from each demographic and
then researches them, giving him/her indicative feedback on the drug’s behavior.
Types of sampling: sampling methods

Sampling in market research is of two types – probability sampling and non-probability
sampling. Let’s take a closer look at these two methods of sampling.
1. Probability sampling: Probability sampling is a sampling technique where a

researcher sets a selection of a few criteria and chooses members of a population
randomly. All the members have an equal opportunity to be a part of the sample
with this selection parameter.

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2. Non-probability sampling: In non-probability sampling, the researcher chooses

members for research at random. This sampling method is not a fixed or predefined
selection process. This makes it difficult for all elements of a population to have
equal opportunities to be included in a sample.
In this blog, we discuss the various probability and non-probability sampling methods that
you can implement in any market research study.
Types of probability sampling with examples:

Probability sampling is a sampling technique in which researchers choose samples from a
larger population using a method based on the theory of probability. This sampling method
considers every member of the population and forms samples based on a fixed process.
For example, in a population of 1000 members, every member will have a 1/1000 chance of
being selected to be a part of a sample. Probability sampling eliminates bias in the population
and gives all members a fair chance to be included in the sample.
There are four types of probability sampling techniques:
• Simple random sampling: One of the best probability sampling techniques that helps
in saving time and resources, is the Simple Random Sampling method. It is a
reliable method of obtaining information where every single member of a
population is chosen randomly, merely by chance. Each individual has the same
probability of being chosen to be a part of a sample.
For example, in an organization of 500 employees, if the HR team decides on
conducting team building activities, it is highly likely that they would prefer
picking chits out of a bowl. In this case, each of the 500 employees has an equal
opportunity of being selected.
• Cluster sampling: Cluster sampling is a method where the researchers divide the
entire population into sections or clusters that represent a population. Clusters are
identified and included in a sample based on demographic parameters like age, sex,
location, etc. This makes it very simple for a survey creator to derive effective
inference from the feedback.
For example, if the United States government wishes to evaluate the number of
immigrants living in the Mainland US, they can divide it into clusters based on
states such as California, Texas, Florida, Massachusetts, Colorado, Hawaii, etc.
This way of conducting a survey will be more effective as the results will be
organized into states and provide insightful immigration data.
• Systematic sampling: Researchers use the systematic sampling method to choose the
sample members of a population at regular intervals. It requires the selection of a
starting point for the sample and sample size that can be repeated at regular
intervals. This type of sampling method has a predefined range, and hence this
sampling technique is the least time-consuming.
For example, a researcher intends to collect a systematic sample of 500 people in a
population of 5000. He/she numbers each element of the population from 1-5000
and will choose every 10th individual to be a part of the sample (Total population/
Sample Size = 5000/500 = 10).
• Stratified random sampling: Stratified random sampling is a method in which the
researcher divides the population into smaller groups that don’t overlap but

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represent the entire population. While sampling, these groups can be organized and
then draw a sample from each group separately.
For example, a researcher looking to analyze the characteristics of people
belonging to different annual income divisions will create strata (groups) according
to the annual family income. Eg – less than $20,000, $21,000 – $30,000, $31,000 to
$40,000, $41,000 to $50,000, etc. By doing this, the researcher concludes the
characteristics of people belonging to different income groups. Marketers can
analyze which income groups to target and which ones to eliminate to create a
roadmap that would bear fruitful results.
Uses of probability sampling
There are multiple uses of probability sampling:
• Reduce Sample Bias: Using the probability sampling method, the bias in the sample
derived from a population is negligible to non-existent. The selection of the sample
mainly depicts the understanding and the inference of the researcher. Probability
sampling leads to higher quality data collection as the sample appropriately
represents the population.
• Diverse Population: When the population is vast and diverse, it is essential to have
adequate representation so that the data is not skewed towards one demographic.
For example, if Square would like to understand the people that could make their
point-of-sale devices, a survey conducted from a sample of people across the US
from different industries and socio-economic backgrounds helps.
• Create an Accurate Sample: Probability sampling helps the researchers plan and
create an accurate sample. This helps to obtain well-defined data.
Types of non-probability sampling with examples
The non-probability method is a sampling method that involves a collection of feedback
based on a researcher or statistician’s sample selection capabilities and not on a fixed
selection process. In most situations, the output of a survey conducted with a non-probable
sample leads to skewed results, which may not represent the desired target population. But,
there are situations such as the preliminary stages of research or cost constraints for
conducting research, where non-probability sampling will be much more useful than the other
type.
Four types of non-probability sampling explain the purpose of this sampling method in a
better manner:
• Convenience sampling: This method is dependent on the ease of access to subjects

such as surveying customers at a mall or passers-by on a busy street. It is usually
termed as convenience sampling, because of the researcher’s ease of carrying it out
and getting in touch with the subjects. Researchers have nearly no authority to
select the sample elements, and it’s purely done based on proximity and not
representativeness. This non-probability sampling method is used when there are
time and cost limitations in collecting feedback. In situations where there are
resource limitations such as the initial stages of research, convenience sampling is
used.
For example, startups and NGOs usually conduct convenience sampling at a mall to
distribute leaflets of upcoming events or promotion of a cause – they do that by
standing at the mall entrance and giving out pamphlets randomly.

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• Judgmental or purposive sampling: Judgemental or purposive samples are formed

by the discretion of the researcher. Researchers purely consider the purpose of the
study, along with the understanding of the target audience. For instance, when
researchers want to understand the thought process of people interested in studying
for their master’s degree. The selection criteria will be: “Are you interested in
doing your masters in …?” and those who respond with a “No” are excluded from
the sample.
• Snowball sampling: Snowball sampling is a sampling method that researchers apply
when the subjects are difficult to trace. For example, it will be extremely
challenging to survey shelterless people or illegal immigrants. In such cases, using
the snowball theory, researchers can track a few categories to interview and derive
results. Researchers also implement this sampling method in situations where the
topic is highly sensitive and not openly discussed—for example, surveys to gather
information about HIV Aids. Not many victims will readily respond to the
questions. Still, researchers can contact people they might know or volunteers
associated with the cause to get in touch with the victims and collect information.
• Quota sampling: In Quota sampling, the selection of members in this sampling
technique happens based on a pre-set standard. In this case, as a sample is formed
based on specific attributes, the created sample will have the same qualities found
in the total population. It is a rapid method of collecting samples.
Uses of non-probability sampling
Non-probability sampling is used for the following:
• Create ahypothesis: Researchers use the non-probability sampling method to create

an assumption when limited to no prior information is available. This method helps
with the immediate return of data and builds a base for further research.
• Exploratory research: Researchers use this sampling technique widely when
conducting qualitative research, pilot studies, or exploratory research.
• Budget and time constraints: The non-probability method when there are budget
and time constraints, and some preliminary data must be collected. Since the survey
design is not rigid, it is easier to pick respondents at random and have them take the
survey or questionnaire.
Difference between probability sampling and non-probability sampling methods
We have looked at the different types of sampling methods above and their subtypes. To
encapsulate the whole discussion, though, the significant differences between probability
sampling methods and non-probability sampling methods are as below:
Probability Sampling Methods Non-Probability Sampling Methods
Probability Sampling is a sampling Non-probability sampling is a

technique in which samples from a sampling technique in which the
Definition larger population are chosen using a researcher selects samples based on
method based on the theory of the researcher’s subjective judgment
probability. rather than random selection.
Alternatively
Random sampling method. Non-random sampling method
Known as

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Population The population is selected

The population is selected arbitrarily.
selection randomly.
Nature The research is conclusive. The research is exploratory.
Since there is a method for deciding Since the sampling method is

the sample, the population arbitrary, the population demographics
Sample
demographics are conclusively representation is almost always
represented. skewed.
Takes longer to conduct since the

This type of sampling method is quick
research design defines the
Time Taken since neither the sample or selection
selection parameters before the
criteria of the sample are undefined.
market research study begins.
This type of sampling is entirely

This type of sampling is entirely
biased and hence the results are biased
Results unbiased and hence the results are
too, rendering the research
unbiased too and conclusive.
speculative.
In probability sampling, there is an

underlying hypothesis before the In non-probability sampling, the
Hypothesis study begins and the objective of hypothesis is derived after conducting
this method is to prove the the research study.
hypothesis.
The data preparation process
The data preparation process is shown in Figure 17.1. The entire process is guided by
the preliminary plan of data analysis that was formulated in the research design phase. The first
step is to check for acceptable questionnaires. This is followed by editing, coding and
transcribing the data. The data are cleaned and a treatment for missing responses is prescribed.
Often, after the stage of sample validation, statistical adjustment of the data may be necessary
to make them representative of the population of interest. The researcher should then select an
appropriate data analysis strategy. The final data analysis strategy differs from the preliminary
plan of data analysis due to the information and insights gained since the preliminary plan was
formulated. Data preparation should begin as soon as the first batch of questionnaires is
received from the field, while the fieldwork is still going on. Thus, if any problems are detected,
the fieldwork can be modified to incorporate corrective action.
Checking the questionnaire

The initial step in questionnaire checking involves reviewing all questionnaires for
completeness and interviewing or completion quality. Often these checks are made while

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fieldwork is still under way. If the fieldwork was contracted to a data collection agency, the
researcher should make an independent check after it is over. A question naire returned from
the field may be unacceptable for several reasons:
1. Parts of the questionnaire may be incomplete.
2. The pattern of responses may indicate that the respondent did not understand or follow the
instructions. For example, filter questions may not have been followed
3. The responses show little variance. For example, a respondent has ticked only 4s on a
series of seven-point rating scales.
4. The returned questionnaire is physically incomplete: one or more pages is missing. Chapter
17 • Data preparation 422 Editing A review of the questionnaires with the objective of
increasing accuracy and precision. Coding Assigning a code to represent a specific response
to a specific question along with the data record and column position that the code will
occupy.
5 The questionnaire is received after the pre-established cut-off date.
6 The questionnaire is answered by someone who does not qualify for participation
Editing
Editing is the review of the questionnaires with the objective of increasing accuracy
and precision. It consists of screening questionnaires to identify illegible, incomplete,
inconsistent or ambiguous responses. Responses may be illegible if they have been poorly
recorded. This is particularly common in questionnaires with a large number of unstructured
questions. The data must be legible if they are to be properly coded. Likewise, questionnaires
may be incomplete to varying degrees. A few or many questions may be unanswered.
At this stage, the researcher makes a preliminary check for consistency. Certain
obvious inconsistencies can be easily detected. For example, a respondent may have
answered a whole series of questions relating to their perceptions of a particular bank, yet in

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other questions may have indicated that they have not used that particular bank or even heard
of it.
Coding
Many questionnaire design and data entry software packages code data automatically.
Examples of the options available will be presented in the Internet and computer applications
section and on the Companion Website. Learning how to use such pack ages or even using
spreadsheet packages means that the process of coding is now a much simpler task for the
marketing researcher. Many of the principles of coding are based on the days of data
processing using ‘punched cards’ or even, much more recently, DOS files
Transcribing
Transcribing data involves keying the coded data from the collected questionnaires
into computers. If the data have been collected via the Internet, CATI or CAPI, this step is
unnecessary because the data are entered directly into the computer as they are collected.
Besides the direct keying of data, they can be transferred by using mark sense forms, optical
scanning or computerised sensory analysis.
Mark sense forms require responses to be recorded in a pre-designated area coded for
that response, and the data can then be read by a machine. Optical scanning involves direct
machine reading of the codes and simultaneous transcription.
A familiar exam ple of optical scanning is the transcription of universal product code
(UPC) data, scanned at supermarket checkout counters. Technological advances have resulted
in computerised sensory analysis systems, which automate the data collection process. The
questions appear on a computerised gridpad, and responses are recorded directly into the
computer using a sensing device.
Except for CATI and CAPI, an original record exists which can be compared with
what was either automatically read or keyed. Errors can occur in an automatic read or as data
are keyed and it is necessary to verify the dataset, or at least a portion of it, for these errors.
A second operator re-punches the data from the coded questionnaires. The transcribed
data from the two operators are compared record by record. Any discrepancy between the
two sets of transcribed data is investigated to identify and correct for data keyed in error.
Verification of the entire data set will double the time and cost of data transcription. Given
the time and cost constraints, and that experienced operators who key data are quite accurate,
it is sufficient to verify 10–25% of the data. With automatically read data, the completed data
set that has been read can be compared with original records. Again, a percentage may be
selected and checks made to see what may have caused differences between the original
record and the read data (e.g. respondents entering two ticks when only one was requested).

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Cleaning the data
Data cleaning includes consistency checks and treatment of missing responses. Even though
preliminary consistency checks have been made during editing, the checks at this stage are
more thorough and extensive, because they are made by computer. Consistency checks
Consistency checks identify data that are out of range or logically inconsistent or have
extreme values. Out-of-range data values are inadmissible and must be corrected. For
example, respondents have been asked to express their degree of agreement with a series of
lifestyle statements on a 1 to 5 scale. Assuming that 9 has been designated for missing values,
data values of 0, 6, 7 and 8 are out of range. Computer packages can be programmed to
identify out-of-range values for each variable and will not progress to another variable within
a record until a value in the set range is entered. Other pack ages can be programmed to
print out the respondent code, variable code, variable name, record number, column number
and out-of-range value6 . This makes it easy to check each variable systematically for out-of-
range values. The correct responses can be determined by going back to the edited and coded
questionnaire.
Treatment of missing responses
Missing responses
Substitute a neutral value.
Substitute an imputed response
Casewise deletion
Pairwise deletion
Statistically adjusting the data
Procedures for statistically adjusting the data consist of weighting, variable re-
specifi cation and scale transformation. These adjustments are not always necessary but can
enhance the quality of data analysis. Weighting In weighting, each case or respondent in the

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database is assigned a weight to reflect its importance relative to other cases or respondents.
The value 1.0 represents the unweighted case. The effect of weighting is to increase or decrease
the number of cases in the sample that possess certain characteristics. (See Chapter 15, which
dis cussed the use of weighting to adjust for non-response bias.) Weighting is most widely
used to make the sample data more representative of a target population on specific
characteristics. For example, it may be used to give greater importance to cases or respondents
with higher-quality data. Yet another use of weighting is to adjust the sample so that greater
importance is attached to respon dents with certain characteristics. If a study is conducted to
determine what modifications should be made to an existing product, the researcher might want
to attach greater weight to the opinions of heavy users of the product. This could be
accomplished by assigning weights of 3.0 to heavy users, 2.0 to medium users, and 1.0 to light
users and non-users.
Selecting a data analysis strategy
The process of selecting a data analysis strategy is described in Figure below. The
selection of a data analysis strategy should be based on the earlier steps of the marketing
research process, known characteristics of the data, properties of statistical tech niques, and
the background and philosophy of the researcher. Data analysis is not an end in itself. Its
purpose is to produce information that will help address the problem at hand. The selection of
a data analysis strategy must begin with a consideration of the earlier steps in the process:
problem definition (step 1), development of an approach (step 2), and research design (step 3).
The preliminary plan of data analysis prepared as part of the research design should be used as
a springboard. Changes may be necessary in the light of additional information gener ated in
subsequent stages of the research process. The next step is to consider the known characteristics
of the data. The measure ment scales used exert a strong influence on the choice of statistical
techniques (see Chapter 12). In addition, the research design may favour certain techniques.
For example, analysis of variance (see Chapter 19) is suited for analysing experimental data
from causal designs. The insights into the data obtained during data preparation can be valuable
for selecting a strategy for analysis. It is also important to take into account the properties of
the statistical techniques, particularly their purpose and underlying assumptions.

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What is Data Exploration?
Data exploration is the first step of data analysis used to explore and visualize data to
uncover insights from the start or identify areas or patterns to dig into more. Using interactive
dashboards and point-and-click data exploration, users can better understand the bigger
picture and get to insights faster.
Why is Data Exploration Important?
Starting with data exploration helps users to make better decisions on where to dig
deeper into the data and to take a broad understanding of the business when asking more
detailed questions later. With a user-friendly interface, anyone across an organization can
familiarize themselves with the data, discover patterns, and generate thoughtful questions that
may spur on deeper, valuable analysis.
Data exploration and visual analytics tools build understanding, empowering users to
explore data in any visualization. This approach speeds up time to answers and deepens
users’ understanding by covering more ground in less time. Data exploration is important for
this reason because it democratizes access to data and provides governed self-service
analytics. Furthermore, businesses can accelerate data exploration by provisioning and
delivering data through visual data marts that are easy to explore and use.
What are the Main Use Cases for Data Exploration?
Data exploration can help businesses explore large amounts of data quickly to better
understand next steps in terms of further analysis. This gives the business a more manageable
starting point and a way to target areas of interest. In most cases, data exploration involves
using data visualizations to examine the data at a high level. By taking this high-level
approach, businesses can determine which data is most important and which may distort the
analysis and therefore should be removed. Data exploration can also be helpful in decreasing
time spent on less valuable analysis by selecting the right path forward from the start.

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UNIT III DATA Analysis AND Reporting

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RM4151-RESEARCH METHODOLOGY AND INTELLECTUAL PROPERTY RIGHTS UNIT-III
UNIT III DATA ANALYSIS AND REPORTING

Overview of Multivariate analysis, Hypotheses testing and Measures of
Association. Presenting Insights and findings using written reports and oral presentation.
Introduction
Multivariate means involving multiple dependent variables resulting in one outcome. This
explains that the majority of the problems in the real world are Multivariate. For example,
we cannot predict the weather of any year based on the season. There are multiple factors
like pollution, humidity, precipitation, etc. Here, we will introduce you to multivariate
analysis, its history, and its application in different fields.
Multivariate analysis: An overview
Multivariate analysis (MVA) is a Statistical procedure for analysis of data

involving more than one type of measurement or observation. It may also mean solving
problems where more than one dependent variable is analyzed simultaneously with other
variables.
Multivariate analysis is used widely in many industries, like healthcare. In the

recent event of COVID-19, a team of data scientists predicted that Delhi would have more
than 5lakh COVID-19 patients by the end of July 2020. This analysis was based on
multiple variables like government decision, public behavior, population, occupation,
public transport, healthcare services, and overall immunity of the community.
The History of Multivariate analysis
In 1928, Wishart presented his paper. The Precise distribution of the sample covariance
matrix of the multivariate normal population, which is the initiation of MVA.
In the 1930s, R.A. Fischer, Hotelling, S.N. Roy, and B.L. Xu et al. made a lot of
fundamental theoretical work on multivariate analysis. At that time, it was widely used in
the fields of psychology, education, and biology.
In the middle of the 1950s, with the appearance and expansion of computers, multivariate
analysis began to play a big role in geological, meteorological. Medical and social and
science. From then on, new theories and new methods were proposed and tested
constantly by practice and at the same time, more application fields were exploited. With
the aids of modern computers, we can apply the methodology of multivariate analysis to
do rather complex statistical analyses.
Prepared By.E.janakiraman.MCA.MPhil,. | AP/APEC

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Classification Chart of Multivariate Techniques
Selection of the appropriate multivariate technique depends upon-
a) Are the variables divided into independent and dependent classification?
b) If Yes, how many variables are treated as dependents in a single analysis?
c) How are the variables, both dependent and independent measured?
Multivariate analysis technique can be classified into two broad categories viz., This
classification depends upon the question: are the involved variables dependent on each
other or not?
If the answer is yes: We have Dependence methods.

If the answer is no: We have Interdependence methods.
Dependence technique: Dependence Techniques are types of multivariate analysis

techniques that are used when one or more of the variables can be identified as dependent
variables and the remaining variables can be identified as independent.
Interdependence Technique
Interdependence techniques are a type of relationship that variables cannot be classified

as either dependent or independent.

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It aims to unravel relationships between variables and/or subjects without explicitly

assuming specific distributions for the variables. The idea is to describe the patterns in the
data without making (very) strong assumptions about the variables.
The Objective of multivariate analysis
(1) Data reduction or structural simplification: This helps data to get simplified as
possible without sacrificing valuable information. This will make interpretation easier.
(2) Sorting and grouping: When we have multiple variables, Groups of “similar” objects
or variables are created, based upon measured characteristics.
(3) Investigation of dependence among variables: The nature of the relationships

among variables is of interest. Are all the variables mutually independent or are one or
more variables dependent on the others?
(4) Prediction Relationships between variables: must be determined for the purpose of
predicting the values of one or more variables based on observations on the other
variables.
(5) Hypothesis construction and testing. Specific statistical hypotheses, formulated in

terms of the parameters of multivariate populations, are tested. This may be done to
validate assumptions or to reinforce prior convictions.
Advantages and Disadvantages of Multivariate Analysis
Advantages
• The main advantage of multivariate analysis is that since it considers more than
one factor of independent variables that influence the variability of dependent
variables, the conclusion drawn is more accurate.
• The conclusions are more realistic and nearer to the real-life situation.
Disadvantages
• The main disadvantage of MVA includes that it requires rather complex

computations to arrive at a satisfactory conclusion.
• Many observations for a large number of variables need to be collected and
tabulated; it is a rather time-consuming process.

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Hypotheses testing and Measures of Association.

What Is Hypothesis Testing?
Hypothesis testing is an act in statistics whereby an analyst tests an assumption regarding a

population parameter. The methodology employed by the analyst depends on the nature of
the data used and the reason for the analysis.
Hypothesis testing is used to assess the plausibility of a hypothesis by using sample data.
Such data may come from a larger population, or from a data-generating process. The word
"population" will be used for both of these cases in the following descriptions.
KEY TAKEAWAYS
• Hypothesis testing is used to assess the plausibility of a hypothesis by using sample

data.
• The test provides evidence concerning the plausibility of the hypothesis, given the
data.
• Statistical analysts test a hypothesis by measuring and examining a random sample
of the population being analyzed.
The main important characteristics of a good hypothesis are listed below:
1. The hypothesis should be empirical statements.

2. A good hypothesis must be plausible.
3. Should not include generalization.
4. Must be testable.
How Hypothesis Testing Works
In hypothesis testing, an analyst tests a statistical sample, with the goal of providing
evidence on the plausibility of the null hypothesis.
Statistical analysts test a hypothesis by measuring and examining a random sample of the
population being analyzed. All analysts use a random population sample to test two different
hypotheses: the null hypothesis and the alternative hypothesis.
The null hypothesis is usually a hypothesis of equality between population parameters; e.g.,
a null hypothesis may state that the population mean return is equal to zero. The alternative
hypothesis is effectively the opposite of a null hypothesis (e.g., the population mean return is
not equal to zero). Thus, they are mutually exclusive, and only one can be true. However,
one of the two hypotheses will always be true.
4 Steps of Hypothesis Testing

All hypotheses are tested using a four-step process:
1. The first step is for the analyst to state the two hypotheses so that only one can be
right.

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2. The next step is to formulate an analysis plan, which outlines how the data will be
evaluated.
3. The third step is to carry out the plan and physically analyze the sample data.
4. The fourth and final step is to analyze the results and either reject the null hypothesis,
or state that the null hypothesis is plausible, given the data.
Different Types of Hypothesis:
1. Simple Hypothesis:
▪ A Simple hypothesis is also known as composite hypothesis.

▪ In simple hypothesis all parameters of the distribution are specified.
▪ It predicts relationship between two variables i.e. the dependent and the
independent variable
2. Complex Hypothesis:
▪ A Complex hypothesis examines relationship between two or more independent

variables and two or more dependent variables.
3. Working or Research Hypothesis:
▪ A research hypothesis is a specific, clear prediction about the possible outcome

of a scientific research study based on specific factors of the population.
4. Null Hypothesis:
▪ A null hypothesis is a general statement which states no relationship between

two variables or two phenomena. It is usually denoted by H0.
5. Alternative Hypothesis:
▪ An alternative hypothesis is a statement which states some statistical

significance between two phenomena. It is usually denoted by H1 or HA.
6. Logical Hypothesis:
▪ A logical hypothesis is a planned explanation holding limited evidence.
7. Statistical Hypothesis:
▪ A statistical hypothesis, sometimes called confirmatory data analysis, is an

assumption about a population parameter.
Developing a hypothesis
1. Ask a question
Writing a hypothesis begins with a research question that you want to answer. The question
should be focused, specific, and researchable within the constraints of your project.

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Do students who attend more lectures get better exam results?
2. Do some preliminary research

Your initial answer to the question should be based on what is already known about the topic.
Look for theories and previous studies to help you form educated assumptions about what
your research will find.
At this stage, you might construct a conceptual framework to identify which variables you
will study and what you think the relationships are between them.
3. Formulate your hypothesis

Now you should have some idea of what you expect to find. Write your initial answer to the
question in a clear, concise sentence.
Attending more lectures leads to better exam results.
4. Refine your hypothesis

You need to make sure your hypothesis is specific and testable. There are various ways of
phrasing a hypothesis, but all the terms you use should have clear definitions, and the
hypothesis should contain:
• The relevant variables

• The specific group being studied
• The predicted outcome of the experiment or analysis
5. Phrase your hypothesis in three ways

To identify the variables, you can write a simple prediction in if…then form. The first part of
the sentence states the independent variable and the second part states the dependent variable.
If a first-year student starts attending more lectures, then their exam scores will improve.
In academic research, hypotheses are more commonly phrased in terms of correlations or

effects, where you directly state the predicted relationship between variables.
The number of lectures attended by first-year students has a positive effect on their exam
scores.
If you are comparing two groups, the hypothesis can state what difference you expect to find
between them.
First-year students who attended most lectures will have better exam scores than those who
attended few lectures.
6. Write a null hypothesis

If your research involves statistical hypothesis testing, you will also have to write a null
hypothesis. The null hypothesis is the default position that there is no association between the
variables. The null hypothesis is written as H0, while the alternative hypothesis is H1 or Ha.

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H0: The number of lectures attended by first-year students has no effect on their final exam
scores.
H1: The number of lectures attended by first-year students has a positive effect on their final
exam scores.
Major Differences Between Null Hypothesis and Alternative Hypothesis:

Null hypothesis Alternative hypothesis
An alternative hypothesis is the opposite of the

A null hypothesis represents the hypothesis that null hypothesis where we can find some
there is “no relationship” or “no association” or statistical importance or relationship
“no difference” between two variables. between two variables.
In case of null hypothesis, researcher tries to In an alternative hypothesis, the researcher

invalidate or reject the hypothesis. wants to show or prove some relationship
between variables.
It is an assumption that describes an alternative

It is an assumption that specifies a possible truth to truth where there is some effect or some
an event where there is absence of an effect. difference.
Null hypothesis is a statement that signifies no Alternative hypothesis is a statement

change, no effect and no any differences between that signifies some change, some effect and
variables. some differences between variables.
If null hypothesis is true, any discrepancy between If alternative hypothesis is true, the observed
observed data and the hypothesis is only due to discrepancy between the observed data and the
chance. null hypothesis is not due to chance.
An alternative hypothesis is denoted as H1 or

A null hypothesis is denoted as H0. HA.
Example of null hypothesis: Example of an alternative hypothesis:
There is no association between use of oral There is no association between use of oral
contraceptive and blood cancer contraceptive and blood cancer
H0: µ = 0 HA: µ ≠ 0

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3.3 Presenting Insights and findings using written reports and oral presentation.
Overview:
This chapter describes the importance of report preparation and presentation and outlines
the process of producing written and oral presentations. We provide guidelines for report
preparation, including report writing and preparing tables and graphs, and we discuss oral
presentation of the report. Research follow-up, including assisting the client and evaluating
the research process, is described. The special considerations for report preparation and
presentation in international marketing research are discussed, and relevant ethical issues
are identified. We begin with an example of the potential array of reports that can emerge
from a marketing research project that is primarily presenting quantitative findings. This
is followed with an example of a very creative means to present findings to a study that is
primarily presenting qualitative findings. Both examples illustrate the different styles and
means to present marketing research reports.
Importance of the report and presentation
For the following reasons, the report and its presentation are important parts of the marketing
research project:
1.They are the tangible products of the research effort. After the project is complete and
management has made the decision, there is little documentary evidence of the project
other than the written report. The report serves as a historical record of the project.
2.Management decisions are guided by the report and the presentation. If the first five steps
in the project are carefully conducted but inadequate attention is paid to the sixth step, the
value of the project to management will be greatly diminished.
3.The involvement of many marketing managers in the project is limited to the written report
and the oral presentation. These managers evaluate the quality of the entire project on the
quality of the report and presentation.
4.Management’s decision to undertake marketing research in the future or to use the particular
research supplier again will be influenced by the perceived usefulness of the report and the
presentation.

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Preparation and presentation process
Problem definition, approach,

research design and fieldwork
Data analysis
Interpretation, conclusion,
and recommendations
Report preparation
Oral presentation
Reading of the report

by the client
Research follow-up
The process begins by interpreting the results of data analysis in the light of the
marketing research problem, approach, research design and fieldwork. Instead of merely
summarising the quantitative and/or qualitative analyses, the researcher should present
the findings in such a way that they can be used directly as input into decision-making.
Wherever appropriate, conclusions should be drawn and recommendations made. The
researcher should aim to make their recommendations actionable. Before writing the
report, the researcher should discuss the major findings, conclusions and
recommendations with the key decision-makers. These discussions play a major role in
ensuring that the report meets the client’s needs and is ultimately accepted. These
discussions should confirm specific dates for the delivery of the written report and other
data.
The entire marketing research project should be summarised in a single written

report or in several reports addressed to different readers. Generally, an oral presentation
supplements the written documents. The client should be given an opportunity to read the
report. After that, the researcher should take necessary follow-up actions. The researcher
should assist the client in understanding the report, help in interpretations of the findings
that can affect their implementation, offer to undertake further research and reflect upon
the research process to evaluate its overall worth.

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Report format
Report formats are likely to vary with the researcher or the marketing research firm
conducting the project, the client for whom the project is being conducted, and the nature
of the project itself. Hence, the following is intended as a guideline from which the
researcher can develop a format for the research project at hand. Most research reports
include the following elements:
1 Submission letter
2 Title page
3.Table
of
contents
(a) Main sections
(b) List of tables
(c) List of graphs
(d) List of appendices
(e) List of exhibits
3 Executive summary
(a) Summary of prime objectives
(b) Major findings
(c) Conclusions and recommendations
4 Problem definition
(a) Background to the problem
(b) Statement of the marketing problem
(c) Statement of the research objectives – information needs
5 Approach to the problem and research design

(a) Type of research design
(b) Data collection from secondary sources
(c) Data collection from primary sources
6 Data analysis
(a) Research design
(b) Plan of data analysis and means of interpreting results
7 Results
8 Conclusions and recommendations
9 Limitations and caveats
10 Appendices
(a) Letter of authorisation
(b) Questionnaire development and pre-testing
(c) Questionnaires, forms, interview guides
(d) Sampling techniques, including error and confidence levels

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(e) Fieldwork
(f) Lists including contact individuals and organisations
This format closely follows the earlier steps of the marketing research process. The results
may be presented in several chapters of the report. For example, in a national survey, data
analysis may be conducted for the overall sample and then the data for each geographic
region may be analysed separately. If so, the results from each analysis may be presented in
a separate chapter.
Submission letter. A formal report generally contains a letter of submission that delivers the
report to the client and summarises the researcher’s overall experience with the project,
without mentioning the findings. The letter should also identify the need for further action on
the part of the client, such as implementation of the findings or further research that should
be undertaken.
Title page. The title page should include the title of the report, information (name, address
and telephone number) about the researcher or organisation conducting the research, the name
of the client for whom the report was prepared, and the date of release. The title should
encapsulate the nature of the project with a tone that is meaningful to the target managers, not
one of technical ‘research-speak’.
Table of contents. The table of contents should list the topics covered and the appropriate
page numbers. In most reports, only the major headings and subheadings are included. The
table of contents is followed by a list of tables, a list of graphs, a list of appendices and a list
of exhibits.
Executive summary. The executive summary is an extremely important part of the report,
because this is often the only portion of the report that executives read. The summary should
concisely describe the problem, approach and research design that were adopted. A summary
section should be devoted to the major results, conclusions and recommendations. The
executive summary should be written after the rest of the report.
Problem definition. The problem definition section of the report gives the background to
the problem. This part summarises elements of the marketing and research problem diagnosis.
Key elements of any discussions with decision makers, industry experts and initial secondary
data analyses are presented. Having set this context for the whole project, a clear statement of
the management decision problem(s) and the marketing research problem(s) should be
presented.
Approach to the problem and research design. The approach to the problem section
should discuss the broad approach that was adopted in addressing the problem. This section
should summarise the theoretical foundations that guided the research, any analytical
models formulated, research questions, hypotheses, and the factors that influenced the
research design. The research design should specify the details of how the research was
conducted, preferably with a graphical presentation of the stages undertaken, showing the
relationships between stages. This should detail the methods undertaken in the data
collection from secondary and primary sources. These topics should be presented in a non-
technical, easy-to-understand manner. The technical details should be included in an

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appendix. This section of the report should justify the specific methods selected.
Data analysis. The section on data analysis, be it quantitative or qualitative, should

describe the plan of data analysis and justify the data analysis strategy and techniques used.
The techniques used for analysis should be described in simple, non-technical terms, with
examples to guide the reader through the interpretations.
Results. The results section is normally the longest part of the report and may entail several
chapters. It may be presented in any of the following ways.
1 Forms of analysis. For example, in a health care marketing survey
of hospitals, the results were presented in four chapters. One
chapter presented the overall results, another examined the
differences between geographical regions, a third presented the
differences between for-profit and non-profit hospitals, and a
fourth presented the differences according to bed capacity. Often,
results are presented not only at the aggregate level but also at the
subgroup (market segment, geographical area, etc.) level.
2 Forms of data collection. For example, a study may contain
significant elements of secondary data collection and analyses, a
series of focus group interviews and a survey. The results in such
circumstances may be best presented by drawing conclusions
from one method before moving on to another method. The
conclusions derived from focus groups, for example, may need to
be established to show the link to a sample design and questions
used in a survey.
3 Objectives. There may be a series of research objectives whose
fulfilment may incorporate a variety of data collection methods
and levels of analysis. In these circumstances the results combine
methods and levels of analyses to show connec- tions and to
develop and illustrate emerging issues.
The results should be organised in a coherent and logical way.
Choosing whether to present by forms of analysis, forms of data
collection or objectives helps to build that coherence and logic. The
presentation of the results should be geared directly to the
components of the marketing research problem and the information
needs that were identified. The nature of the information needs and
characteristics of the recipients of the report ultimately determine the
best way to present results.
Conclusions and recommendations. Presenting a mere summary of the quantitative or

qualitative findings is not enough. The researcher should interpret the results in light of
the problem being addressed to arrive at major conclusions. Based on the results and
conclusions, the researcher may make recommendations to the decision- makers.
Sometimes, marketing researchers are not asked to make recommendations because they
research only one area and do not understand the bigger picture at the client firm. The
researcher may not have been fully involved in the diagnosis of the marketing and research
problems, in which case their interpretations may not fit into the context that the marketer

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understands.
In any research project there are many approaches that can be taken to analyse the
data. This can result in a potential over-abundance of data (quantitative and/or qualitative)
and distilling the ‘meaning’ from the data and presenting this in a clear report can result in
much of the original meaning or richness being lost.3 To maintain the meaning or richness,
the researcher should strive to understand the nature of the decision-making process that is
being supported. Only then can sound interpretations of the collected data be made.
Limitations and caveats. All marketing research projects have limitations caused by time,
budget and other organisational constraints. Furthermore, the research design adopted may be
limited in terms of the various types of errors, and some of these may be serious enough to
warrant discussion. This section should be written with great care and a balanced perspective.
On the one hand, the researcher must make sure that management does not rely too heavily
on the results or use them for unintended purposes, such as projecting them to unintended
populations. On the other hand, this section should not erode their confidence in the research
or unduly minimise its importance.
Appendices. At the end of the report, documents can be compiled that may be used by
different readers to help them to understand characteristics of the research project in more
detail. These should include the letter of authorisation to conduct the research; this
authorisation could include the agreed research proposal. Details that relate to individual
techniques should be included relating to questionnaires, interview guides, sampling and
fieldwork activities. The final part of the appendix should include lists of contacts, references
used and further sources of reference.
Guidelines for graphs
As a general rule, graphical aids should be employed whenever practical. Graphical display
of information can effectively complement the text and tables to enhance clarity of
communication and impact.8 As the saying goes, a picture is worth a thousand words. The
guidelines for preparing graphs are similar to those for tables. Therefore, this section
focuses on the different types of graphical aids.9 We illustrate several of these using the
GlobalCash data from Table 25.1.
Geographic and other maps. Geographic and other maps, such as product positioning
maps, can communicate relative location and other comparative information. Geographic
maps form the bases of presentations in geodemographic analyses as discussed in Chapter
5. The maps used in geodemographic analyses can portray customer locations and types,
potential consumers, location of competitors, road net- works to show consumer flows and
other facilities that may attract consumers to certain locations.
Round or pie charts. In a pie chart, the area of each section, as a percentage of the total
area of the circle, reflects the percentage associated with the value of a specific variable.
Pie charts are very useful in presenting simple relative frequencies in numbers or
percentages. A pie chart is not useful for displaying relationships over time or
relationships among several variables. As a general guideline, a pie chart should not
require more than seven sections.10 Figure 25.2 shows a pie chart for the sourcing

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strategies of European companies. Great care must be taken with 3D pie charts as the
relative sizes of the pie segments become distorted.
Line charts. A line chart connects a series of data points using continuous lines. This is an
attractive way of illustrating trends and changes over time. Several series can be compared on
the same chart, and forecasts, interpolations and extrapolations can be shown. If several series
are displayed simultaneously, each line should have a distinctive colour or form.
Oral presentation
The entire marketing research project should be presented to the management of the client
firm. This presentation will help management understand and accept the written report. Any
preliminary questions that the management may have can be addressed in the presentation.
Because many executives form their first and lasting impressions about the project based on
the oral presentation, its importance cannot be overemphasised.
The key to an effective presentation is preparation. A written script or detailed out- line should
be prepared following the format of the written report. The presentation must be geared to the
audience. For this purpose, the researcher should determine the backgrounds, interests and
involvement of those in the project, as well as the extent to which they are likely to be affected
by it. The presentation should be rehearsed several times before it is made to the management.
Visual aids such as tables and graphs should be displayed with a variety of media. Flip
charts of large pads of blank paper mounted on an easel enable the researcher to manipulate
numbers. They are particularly useful in communicating answers to technical questions.
Visual aids can also be drawn on the pages in advance, and the speaker flips through the
pages during the presentation. Although not as flexible, magnetic boards and felt boards
allow for rapid presentation of previously prepared material. Overhead projectors can present
simple charts as well as complex overlays produced by the successive additions of new images
to the screen. The use of computer packages such as Microsoft’s PowerPoint can also be of
immense help. They can be used for making computer-controlled presentations or for
presenting technical information such as analytical models. However, the presenter must not
lose sight of the message, as illustrated in the following two examples.
After the presentation, key executives in the client firm should be given time to read the
report in detail.
Research follow-up
The researcher’s task does not end with the oral presentation. Two other tasks remain. The
researcher should help the client understand and implement the findings and take follow-
up action. Second, while it is still fresh in the researcher’s mind, the entire marketing
research project should be evaluated.

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UNIT IV Intellectual Property Rights

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UNIT-IV RESEARCH METHODOLOGY AND IPR
UNIT IV INTELLECTUAL PROPERTY RIGHTS

Intellectual Property – The concept of IPR, Evolution and development of concept of IPR,
IPR development process, Trade secrets, utility Models, IPR & Bio diversity, Role of WIPO
and WTO in IPR establishments, Right of Property, Common rules of IPR practices, Types
and Features of IPR Agreement, Trademark, Functions of UNESCO in IPR maintenance.
4.1 Intellectual Property

There is third type of property what we call intellectual property. It is the “
propertycreated by application of human mind”.
OR
Intellectual property is a term referring to a number of distinct types of creation of
the mind for which property rights are recognized in the corresponding fields of law
OR
The product / process / idea which is outcome of the brain of a person and can be
usedon commercial scale for benefit of human kind is called intellectual property.
OR
Intellectual property refers to creations of the mind; inventions, literary and artistic
works, and symbols, names, images, and designs used on commercial Scale.
The main features of intellectual property are given below:
• It is measured in terms of new ideas, processes, products, inventions and innovations
developed by a person.
• It requires lot of intellectual inputs in terms of thinking, planning and fine tuning of
new ideas/products/processes etc.
• It requires considerable amount of funds and other resources to develop new
products/processes.
• The main problem with intellectual property is that it can be copied, reproduced and
used by others resulting in loss of inventor. Hence protection of intellectual
property is essential so that the inventor can derive maximum benefits from his
invention.
4.2 The concept of IPR,
The Concept of Intellectual Property
PREPARED BY. E.JANAKIRAMAN.MCA.MPHIL,. ASSITANT PROFESSOR/ DEPT OF MCA 1

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Intellectual property, very broadly, means the legal property which results from intellectual
activity in the industrial, scientific and artistic fields. Countries have laws to protect intellectual
property for two main reasons. One is to give statutory expression to the moral and economic
rights of creators in their creations and such rights of the public in access to those creations.
The second is to promote, as a deliberate act of government policy, creativity and the
dissemination and application of its results and to encourage fair trading which would
contribute to economic and social development.
Generally speaking, IP law aims at safeguarding creators and other producers of intellectual
goods and services by granting them certain time- limited rights to control the use made of
those productions. These rights do not apply to the physical object in which the creation may
be embodied but instead to the intellectual creation as such. IP is traditionally divided into two
branches: “industrial property and copyright”. The convention establishing the World
Intellectual Property Organization (WIPO), concluded in Stockholm on July 14, 1967 (Art.
2(viii) provides that
“intellectual property shall include rights relating to:
1) literary, artistic and scientific works:
2) performances of performing artists, phonograms and broadcasts;
3) inventions in all fields of human behaviour;
4) scientific discoveries;
5) industrial designs;
6) trademarks, service marks, and commercial names and designations;
7) protection against unfair competition and all other rights resulting from intellectual activity
in industrial scientific, literary or artistic fields”.
The areas mentioned under (1) belong to the copyright branch of intellectual property. The
areas mentioned in (2) are usually called “neighboring rights”, that is, rights neighboring on
copyright. The areas mentioned under 3, 5 and 6 constitute the industrial property branch of
IP. The areas mentioned may also be considered as belonging to that branch.
Scope of Intellectual Property Rights
Intellectual property rights include copyright, patent, trademark, geographic indication of
origin, industrial design, trade secrets, database protection laws, publicity rights laws, laws for
the protection of plant varieties, laws for the protection of semi-conductor chips (which store
information for later retrieval), etc.
There is a conventional mode of classification of intellectual property as industrial property
and copyrights. Industrial properties include inventions (patent), property interest on minor
invention (Utility model certificate) and commercial interests (Trade Marks, trade names,
geographical indications, and industrial design), plant breeder rights, biodiversity, etc.
Patents

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A patent is a type of intellectual property right which allows the holder of the right to
exclusively make use of and sale an invention when one develops an invention. Invention is a
new process, machine, manufacture, composition of matter. It is not an obvious derivation of
the prior art (It should involve an inventive step). A person who has got a patent right has an
exclusive right. The exclusive right is a true monopoly but its grant involves an administrative
process.
Copyright
It is an intellectual property which does not essentially grant an exclusive right over an idea
but the expressions of ideas which makes if different from patent law. Patent is related with
invention - technical solution to technical problems. Copyright is a field which has gone with
artistic, literary creativity- creativity in scientific works, audio-visual works, musical works,
software and others. There are neighboring rights. These are different from copyright but
related with it – performers in a theatre, dancers, actors, broadcasters, producers of sound
recorders, etc. It protects not ideas but expressions of ideas as opposed to patent.
Copyright protects original expression of ideas, the ways the works are done; the language
used, etc. It applies for all copyrightable works. Copyright lasts for a longer period of time.
The practice is life of author plus 50 years after his/her life. Administrative procedures are not
required, unlike patent laws, in most laws but in America depositing the work was necessary
and was certified thereon but now it is abolished.
Industrial Design Law
Some call this design right (European) and some call it patentable design, industrial design
(WIPO and other international organization). A design is a kind of intellectual property which
gives an exclusive right to a person who has created a novel appearance of a product. It deals
with appearance: how they look like. Appearance is important because consumers are
interested in the outer appearance of a product. It is exclusively concerned with appearance,
not quality.
The principles which have been utilized in developing industrial design law are from
experiences of patent and copyright laws. It shares copyright laws because the design is artistic.
It shares patent law because there are scientific considerations. Design law subsists in a work
upon registration and communication. It makes them close to patent law since they are also
founded in patent law. Duration is most of the time 20 years like the patent law trademark
Rights law.
Trademarks Rights Law
It is a regime of the law giving protection to graphic representation to words or logos or
depending on the jurisdiction question such as sound or smells which are distinctive in nature
and serve as source identification. There is also a recent phenomenon which is representing
goods in their smell and sound. It is to be found on the goods associated with them. It enables
the customer to identify the goods from others. They serve as a source identifier. Trademarks
perform communication function. Once there is a valid representation, it gives the mark owner
an exclusive right. It begins with registration and publication of the mark. But there are
exceptions which serve what trademarks registered serve which are not registered. It means

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they deserve protection even though they are not registered. They exist forever so long as the
good with which they are associated continue to be sold. But they require renewal.
Geographic Indication
It is indications on products of the geographic origin of the goods. It indicates the general
source. The indication relates to the quality or reputation or other characteristics of the good.
For example, “made in Ethiopia” is not influenced by the geographical Indication.
Geographical indications are sometimes called appellations of origin. For example, “Sheno
lega”, “Shampagne” (name of a region in France) are geographical indications.
Trade Secrets
It gives the owner of commercial information that provides a competitive edge the right to keep
others from using such information if the information was improperly disclosed to or acquired
by a competitor and the owner of the information took reasonable precautions to keep it secret.
It protects confidential secrets of some commercial value. The holder of the secret wants this
information to be protected; some protect the holder from an unauthorized disclosure of the
information. A tort law, unfair competition or contract law can protect such information which
is secret /confidential information/. The holder (owner) has to do his/her best to keep the
information secret. Trade secrets exist without registration as it is to make the information
public, for example, the formula of Coca Cola. Information that are protected in trade secrets
can be patentable if they are novel and non obvious. But it is, most of the time, not to make the
secret public. However, their full-fledged IP rights are contestable.
4.3 Evolution and development of concept of IPR,
Evolution and Scope of the IPR
The WIPO Programme in the year 1998-99 budget, were initiated to address the
growing concerns related to the Intellectual Property Rights, of the indigenous knowledge
holders. The Intellectual Property gave rise to duties, specifically for the owner of the IP that
are certain functions to be performed by them, in relation to their work or products. The various
laws that come under the ambit of Intellectual property umbrella did not emerge or evolve
together and they are as a fact, quite dissimilar in many aspects. Thus, the international treaties
and agreements promote the intellectual workers and labours and bring together all the related
laws of IP together.
The Intellectual Property Rights are distinguished from other rights because of the
nature of intangibility. It ensures the Right to Sue or take any legal action against the person,
who gains unauthorised access to his creation or innovation against the property. The scope of
the Intellectual Property Rights is a broad one. They help in balancing the nature of innovator’s
interest and the benefit of the public by, providing them an environment where, innovation,

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invention and creativity can flourish to the highest and can benefit all. The Intellectual
Property systems have a common form of internal appeal procedure against the violators of
IPR.
Apart, from the initiatives of Government for training judicial officers in matters such as IPR
matters, the laws are also, updated and amended to provide the efficient speedy trials to the
citizens. Like in India, The Cell for IPR Promotion and Management (CIPAM), which is a
government body works with WIPO and the National Judicial Academy (NJA), India, for
organising training sessions and sensitisation programmes on IPR’s for the High Court and
District Court judges. Thus, ensuring that the law system has a greater understanding on matters
like IPR and its assertion in the society . The National Intellectual Property Rights (IPR) Policy,
2016 was a vision project of Indian government, to guide the future developments of the
Intellectual Property and its Rights in the country. It seemed to place an institutional
mechanism for implementation and monitoring of developments in global as well as national
IPR’s.
4.4 IPR development process,

4.5 Trade secrets,
A trade secret is anything a formula, process, method, mechanism, tool, pattern
ordevice which the disclosing party desires to keep secret. Trade secrets usually include
such things as the manufacturing details for a product, variations or alternative uses.
The main points about trade secret are briefly presented as follows:
1. There is no specific period for trade secret.
2. It may continue life long or forgenerations together.

3. There is no need of registration for trade secret.
4. It does not provide opportunity to others for improvement of innovation.
5. It is not applicable to books, equipments, plant varieties, designs which are
openlyused.
What are the requirements of trade secret protection?

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For the protection of trade secret, conditions vary from country to country, some
general standards exist which are referred to in Art. 39 of the Agreement on Trade-Related
Aspects of Intellectual Property Rights (TRIPS Agreement):
✓ The information must be secret (i.e. it is not generally known among, or readily
accessible to, circles that normally deal with the kind of information in question).
✓ It must have commercial value because it is a secret.
✓ It must have been subject to reasonable steps by the rightful holder of the
information to keep it secret (e.g., through confidentiality agreements).
4.6 utility Models,

A utility model is an exclusive right granted for an invention, which allows the right
holder to prevent others from commercially using the protected invention, without his
authorization for a limited period of time. In its basic definition, which may vary from one
country (where such protection is available) to another, a utility model is similar to a patent.
In fact, utility models are sometimes referred to as "petty patents" or "innovation patents."
Only a small but significant number of countries and regions provide the option of
utility model protection. At present, India does not have legislation on Utility models.
The main differences between utility models and patents are the following:
The requirements for acquiring a utility model are less stringent than for patents.
While the requirement of "novelty" is always to be met, that of "inventive step" or "non-
obviousness" may be much lower or absent altogether. In practice, protection for utility
models is often sought for innovations of a rather incremental character which may not meet
the patentability criteria.
The term of protection for utility models is shorter than for patents and varies from
country to country (usually between 7 and 10 years without the possibility of extension or
renewal).
In most countries where utility model protection is available, patent offices do not
examine applications as to substance prior to registration. This means that the registration
process is often significantly simpler and faster, taking on an average six months.
Utility models are much cheaper to obtain and to maintain. In some countries, utility
model protection can only be obtained for certain fields of technology, and only for products
but not for processes.
Utility models are considered suitable particularly for SMEs that make "minor"
improvements to, and adaptations of, existing products. Utility models are primarily used for
mechanical innovations.

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The "Innovation patent," launched in Australia some time back was introduced as a
result of extensive research into the needs of small and medium-sized enteprises, with the aim
of providing a "low-cost entry point into the intellectual property system."
4.7 IPR & Bio diversity,
In simple terms, the diversity among various life forms within the Biosphere refers to
biodiversity. Biodiversity is the foundation of life on Earth. It is crucial for the functioning of
ecosystems which provide us with products and services without which we cannot live. By
changing biodiversity, we strongly affect human well-being and the well-being of every other
living creature.
Biodiversity is normally classified under 3 major categories:
ecosystem diversity, representing the principal bio geographic regions and habitats;
species diversity, representing variability at the level of families, genera and species; and
genetic diversity, representing the large amount of variability occurring within a species.
Diverse activities and actions have been taken by several stakeholders at local, state, national
and international level to conserve/protect the valuable resource such as biodiversity to draw
the benefits accrued in it for the society.
It is a well-established fact that developing countries are rich in the world’s flora and
fauna and 80 percent of the earth’s terrestrial biodiversity is confined to these countries,
which is the “raw material” for biotechnology, i.e., genes, folk varieties, land races to develop
new varieties by biotechnology. Until the advent of molecular biology and genetic
engineering, the success of plant breeding depended on access to genetic variability within a
species. Genetic engineering has, however, rendered the transfer of genes across sexual
barriers possible and has thus enhanced the economic value of biodiversity.
The developed countries are not rich in biogenetic resources but are better equipped in
research and development. They use the biogenetic resources accessed from the developing
countries. As a result, there is a beginning in the unprotected flow of genetic information
from the developing countries to the capital-rich west, and a protected flow in the reverse
direction mainly through patents and Plant Breeders’ Rights (PBR). It has both visible and
invisible impacts. Genetic erosion is one of the most important invisible impacts that is in the
long run manifested visibly with the loss of biodiversity.
The Convention on Biological Diversity (CBD) 1992:
Opened for signature at the Earth Summit in Rio de Janeiro in 1992, and entering into
force in December 1993, the Convention on Biological Diversity is an international treaty for
the conservation of biodiversity, the sustainable use of the components of biodiversity and the
equitable sharing of the benefits derived from the use of genetic resources. The interface
between biodiversity and intellectual property is shaped at the international level by several
treaties and process, including at the WIPO, and the TRIPS Council of the WTO. With 193
Parties, the Convention has near universal participation among countries. The Convention
seeks to address all threats to biodiversity and ecosystem services, including threats from
climate change, through scientific assessments, the development of tools, incentives and

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processes, the transfer of technologies and good practices and the full and active
involvement of relevant stakeholders including indigenous and local communities, youth,
NGOs, women and the business community. The Cartagena Protocol on Biosafety is a
subsidiary agreement to the Convention. It seeks to protect biological diversity from the
potential risks posed by living modified organisms resulting from modern biotechnology.
The treaty defines biodiversity as "the variability among living organisms from all
sources including, inter alia, terrestrial, marine and other aquatic ecosystems and the
ecological complexes of which they are part; this includes diversity within species, between
species and of ecosystems."
The Convention reaffirms the principle of state sovereignty, which grants states
sovereign rights to exploit their resources pursuant to their own environmental policies
together with the responsibility to ensure that activities within their own jurisdiction or
control do not cause damage to the environment of other states. The Biodiversity Convention
also provides a general legal framework regulating access to biological resources and the
sharing of benefits arising from their use. India is a party to the Convention on Biological
Diversity (1992).
The Convention on Biological Diversity establishes important principles regarding
the protection of biodiversity while recognizing the vast commercial value of the planet's
store of germplasm. However, the expansion of international trade agreements establishing a
global regime of intellectual property rights creates incentives that may destroy biodiversity,
while undercutting social and economic development opportunities as well as cultural
diversity. The member countries were pressurized to change their IPR laws to conform with
the TRIPS agreement. 12 PP-IPRL&P India also followed the suit by placing in place legal
frameworks for the management of biodiversity and Intellectual property laws. Following
India’s ratification of the Convention on Biological Diversity (CBD) at international level,
the Biological Diversity Act, 2002 was adopted. The Biological Diversity Act aims at
conservation of biological resources and associated knowledge as well as facilitating access
to them in a sustainable manner and through a just process.
4.8 Role of WIPO and WTO in IPR establishments,
World Intellectual Property Organization

WIPO introduction:
i. The World Intellectual Property Organization (WIPO) is a specialized agency of
the United Nations with 193 member states. The mission of WIPO is to develop
a balanced and accessible international intellectual property (IP) system, which
rewards creativity, stimulates innovation and contributes to economic
development while safeguarding the public interest.
ii. WIPO was established by the WIPO Convention in 1967 with a mandate from
its Member States to promote the protection of IP throughout the world through
cooperation among states and in collaboration with other international
organizations. Its headquarters are in Geneva & Switzerland. The Director
General is Francis Gurry.

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iii. India is a member of World Intellectual Property Organization a specialized agency of

UN in the area of Intellectual Property. The nodal activities related to WIPO were
transferred to this Department from Department of Higher Education in 2005.
iv. The member states of the World Intellectual Property Organization (WIPO) on
May 8, 2020, appointed by consensus Mr. Daren Tang as the Organization's next
Director General, with Mr. Tang's six-year term beginning on October 1, 2020.
v. Mr. Tang’s appointment by the General Assembly, WIPO’s highest governing
body, followed his nomination by the WIPO Coordination Committee in March,
2020. Mr. Tang will succeed Mr. Francis Gurry, who has served as WIPO's
Director General since October 1, 2008.
What does WIPO do?
a. WIPO cooperates with intellectual property (IP) offices, users and other
stakeholders to develop shared IP tools, services, standards, databases and
platforms.
b. This technical infrastructure is designed to help IP institutions collaborate more
effectively and deliver more efficient services to their users; as well as enabling
innovators and information-seekers worldwide to freely access the knowledge
contained in the IP system.
c. WIPO provide human capacity building across the full spectrum of intellectual
property (IP) rights: patents, trademarks, industrial designs, geographical
indications and copyright. Training takes place through in-depth programs
offered by the WIPO Academy or tailor-made technical workshops.
Legal Frameworks under WIPO
a. Patent Cooperation Treaty (PCT) under Paris Convention assists applicants in
seeking patent protection internationally for their inventions, helps patent offices
with their patent granting decisions, and facilitates public access to a wealth of
technical information relating to those inventions. By filing one international
patent application under the PCT, applicants can simultaneously seek protection
for an invention in a large number of countries.
b. Madrid Protocol: The Madrid System for the International Registration of Marks
is governed by the Madrid Agreement, concluded in 1891, and the Protocol
relating to that Agreement, concluded in 1989. The system makes it possible to
protect a mark in a large number of countries by obtaining an international
registration that has effect in each of the designated Contracting Parties
c. Vienna Agreement establishes an International Classification of the Figurative
Elements of Marks called the Vienna Classification for marks that consist of, or
contain, figurative elements.
d. Nice Agreement concerns the International Classification of Goods and Services
for the Purposes of the Registration of Marks.
e. Locarno Agreement establishes an International Classification for Industrial
Designs called the Locarno Classification.
f. WIPO Copyright Treaty (WCT) is a special agreement under the Berne
Convention which deals with the protection of works and the rights of their
authors in the digital environment. The Treaty also deals with two subject
matters to be protected by copyright: (i) computer programs, whatever the mode
or form of their expression; and (ii) compilations of data or other material
("databases").

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g. WIPO Performances and Phonograms Treaty (WPPT) deals with the rights of
two kinds of beneficiaries, particularly in the digital environment: (i) performers
(actors, singers, musicians, etc.); and (ii) producers of phonograms (persons or
legal entities that take the initiative and have the responsibility for the fixation of
sounds).
h. WIPO Intergovernmental Committee on Intellectual Property and Genetic
Resources, Traditional Knowledge and Folklore is, in accordance with its
mandate, undertaking text-based negotiations with the objective of reaching
agreement on a text(s) of an international legal instrument(s), which will ensure
the effective protection of traditional knowledge (TK), traditional cultural
expressions (TCEs) and genetic resources (GRs).
i. The Standing Committee on Copyright and Related Rights (SCCR) was set up in
the 1998-1999 biennium to examine matters of substantive law or harmonization
in the field of copyright and related rights.
j. Hague System for the International Registration of Industrial Designs provides a
practical business solution for registering up to 100 designs in 74 contracting
parties covering 91 countries, through the filing of one single international
application
k. Lisbon System for the International Registration of Appellations of Origin and
Geographical indications offers a means of obtaining protection for
an appellation of origin or a geographical indication in the contracting
parties through a single registration procedure and one set of fees.
WIPO and WTO

WIPO expanded its role and further demonstrated the importance of intellectual
property rights in the management of globalized trade in 1996 by entering into a cooperation
agreement with the World Trade Organization (WTO). It provides for co-operation
concerning the implementation of the TRIPS Agreement, such as notification of laws and
regulations and legal-technical assistance and technical co-operation in favour of developing
countries. In July 1998, a joint initiative to help developing countries meet their TRIPS
obligations till the year 2000 was launched.
Mention should be made that today WIPO, administers 24 treaties (three of those
jointly with other international organizations) and carries out a rich and varied program of
work, through its member States and secretariat, that seeks to:
• harmonize national intellectual property legislation and procedures,
• provide services for international applications for industrial property rights,
• exchange intellectual property information,
• provide legal and technical assistance to developing and other countries,
• facilitate the resolution of private intellectual property disputes, and
• marshal information technology as a tool for storing, accessing, and using valuable
intellectual property information.
4.9 Right of Property,

What are intellectual property rights (IPR)?
Intellectual property rights are the rights given to persons over the creations of their

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minds. They usually give the creator an exclusive right over the use of his/her
creation for a certain period of time.
OR
Intellectual property rights are like any other property right. They allow creators, or
owners, of patents, trademarks or copyrighted works to benefit from their own work or
investment in a creation.
Forms of Intellectual Property Rights
The Intellectual Property Rights are broadly divided into two groups, viz., Primary
Rights and Sui-generis Rights. These are briefly discussed below:
1. Primary Rights
Primary rights include, Copyrights, Patents, Trademarks, Trade Secret, Trade
names, Domain names, Industrial Designs, Geographical Indications etc.
2. Sui-generis Rights
Sui-generis refers to things of their own kind or things with unique characteristics.
Such rights include Database Rights, Mask work, Plant Breeders Rights, Traditional
Knowledge, Moral Rights and Supplementary Protection Certificate.
Who are Responsible for Administration of IPRs in the Country?

• Patents, designs, trademarks and geographical indications are administered by the
Controller General of Patents, Designs and Trademarks which is under the control
of the Department of Industrial Policy and Promotion, Ministry of Commerce and
Industry.
• Copyright is under the charge of the Ministry of Human Resource Development.
• The Act on Layout-Design of Integrated Circuits is administered by the Ministry of
Telecommunication and Information Technology.
• Protection of Plant Varieties and Farmers' Rights Authority, Ministry of Agriculture
administers the Act on Plant Variety.
What is History Behind Intellectual Property Rights?

The first low of patent was passed in 1474 in Venice, which gave monopoly rights
to artisans for their inventions.

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In 1623,the house of commons of U. K. passed the act of Proprietorship.

George Alfred De Penning is supposed to have made the first application for a patent
in India in the year 1856.
On February 28, 1856, the Government of India promulgated (Circulated) legislation
to grant what was then termed as "exclusive privileges (rights/freedom) for the
encouragement of inventions of new manufactures" i.e. the Patent Act.
On March 3, 1856, a civil engineer, George Alfred De Penning of 7, Grant's Lane,
Calcutta petitioned (appealed/requested) the Government of India for grant of
exclusive privileges for his invention- "An Efficient Punkah Pulling Machine".
On September 2, De Penning, submitted the Specifications for is invention
along
with drawings to illustrate it's working. These were accepted and the invention wasgranted
the first ever Intellectual Property protection in India.
4.10 Common rules of IPR practices
Common Rules The Convention lays down a few common rules which all the contracting
States must follow. The more important are the following:
Patents
1. Patents granted in different contracting States for the same invention are independent of
each other.
2. The granting of a patent in one contracting State does not oblige the other contracting
States to grant a patent.
3. A patent cannot be refused, annulled or terminated in any contracting State on the ground
that it has been refused or annulled or has terminated in any other contracting State.
4. The inventor has the right to be named as such in the patent.
5. The grant of a patent may not be refused, and a patent may not be invalidated, on the
ground that the sale of the patented product, or of a product obtained by means of the
patented process, is subject to restrictions or limitations resulting from the domestic law.
6. Each contracting State that takes legislative measures providing for the grant of
compulsory licenses to prevent the abuses which might result from the exclusive rights
conferred by a patent may do so only with certain limitations. Thus, a compulsory license
based on failure to work the patented invention may only be granted pursuant to a request
filed after three or four years of failure to work or insufficient working of the patented
invention and it must be refused if the patentee gives legitimate reasons to justify his inaction.
7. Forfeiture of a patent may not be provided for, except in cases where the grant of a
compulsory license would not have been sufficient to prevent the abuse. In the latter case,

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proceedings for forfeiture of a patent may be instituted, but only after the expiration of two
years from the grant of the first compulsory license.
Marks
(1) The Paris Convention does not regulate the conditions for the filing and registration of
marks which are therefore determined in each contracting State by the domestic law.
Consequently, no application for the registration of a mark filed by a national of a contracting
State may be refused, nor may a registration be invalidated, on the ground that filing,
registration or renewal has not been affected in the country of origin. Once the registration of
a mark is obtained in a contracting State, it is independent of its possible registration in any
other country, including the country of origin; consequently.
(2) The lapse or annulment of the registration of a mark in one contracting State does not
affect the validity of registration in other contracting States.
(3) Where a mark has been duly registered in the country of origin, it must, on request, be
accepted for filing and protected in its original form in the other contracting States.
(4) The registration may be refused in well-defined cases, such as when the mark would
infringe acquired rights of third parties, when it is devoid of distinctive character, when it is
contrary to morality or public order, or when it is of such a nature as to be liable to deceive
the public.
(5) If, in any contracting State, the use of a registered mark is compulsory, the registration
cannot be canceled until after a reasonable period, and only if the owner cannot justify his
inaction.
(6) Each contracting State must refuse registration and prohibit the use of marks which
constitute a reproduction, imitation or translation, liable to create confusion, of a mark
considered by the competent authority of that State to be well known in that State as being
already the mark of a person entitled to the benefits of the Convention and used for identical
or similar goods.
(7) Each contracting State must likewise refuse registration and prohibit the use of marks
which consist of or contain without authorization, armorial bearings, State emblems and
official signs and hallmarks of contracting states, provided they have been communicated
through the International Bureau of WIPO.
(8) The same provisions apply to armorial bearings, flags, other emblems, abbreviations and
names of certain inter-governmental organizations.
(9) Collective marks must be granted protection.
4.11 Types and Features of IPR Agreement,
Berne Convention for the Protection of Literary and Artistic Works
The Berne Union has an Assembly and an Executive Committee. Every country
member of the Union which has adhered to at least the administrative and final provisions of

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the Stockholm Act is a member of the Assembly. The members of the Executive
Committee are elected from among the members of the Union, except for Switzerland, which
is a member ex officio.
The Berne Convention, concluded in 1886, was revised at Paris in 1896 and at Berlin in
1908, completed at Berne in 1914, revised at Rome in 1928, at Brussels in 1948, at
Stockholm in 1967 and at Paris in 1971, and was amended in 1979.
The Convention rests on three basic principles and contains a series of provisions
determining the minimum protection to be granted, as well as special provisions available to
developing countries.
Basic Principles
The three basic principles are the following:
1. Works originating in one of the contracting States must be given the same protection in
each of the other contracting States as the latter grants to the works of its own nationals.
2. Such protection must not be conditional upon compliance with any formality.
3. Such protection is independent of the existence of protection in the country of origin of the
work.
If, however, a contracting State provides for a longer term than the minimum prescribed by
the Convention and the work ceases to be protected in the country of origin, protection may
be denied once protection in the country of origin ceases.
The minimum standards of protection relate to the works and rights to be protected, and the
duration of the protection:
1. As to works, the protection must include every production in the literary, scientific and
artistic domain, whatever may be the mode or form of its expression.
2. Subject to certain permitted reservations, limitations or exceptions, the following are
among the rights which must be recognized as exclusive rights of authorization:
• the right to translate,
• the right to make adaptations and arrangements of the work,
• the right to perform in public dramatic, dramatico-musical and musical works,
• the right to recite in public literary works,
• the right to communicate to the public the performance of such works,
• the right to broadcast (with the possibility of a contracting State to provide for a
mere right to equitable remuneration instead of a right of authorization),
• the right to make reproductions in any manner or form,

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•the right to use the work as a basis for an audiovisual work, and the right to
reproduce, distribute, perform in public or communicate to the public that
audiovisual work.
The Convention also provides for “moral rights,” that is, the right to claim authorship
of the work and the right to object to any mutilation or deformation or other modification of,
or other derogatory action in relation to, the work which would be prejudicial to the author’s
honor or reputation.
Trade Related Aspects of Intellectual Property Rights (TRIPS)
Agreement With the establishment of the world trade Organization (WTO), the
importance and role of the intellectual property protection has been Crystallized in the Trade-
Related Intellectual Property Systems (TRIPS) Agreement. It was negotiated at the end of the
Uruguay Round of the General Agreement on Tariffs and Trade (GATT) treaty in 1994.
The general goals of the TRIPS Agreement are contained in the Preamble to the
Agreement, which reproduces the basic Uruguay Round negotiating objectives established in
the TRIPS area by the 1986 Punta del Este Declaration and the 1988-89 Mid-Term Review.
These objectives include the reduction of 20 PP-IPRL&P distortions and
impediments to international trade, promotion of effective and adequate protection of
intellectual property rights, and ensuring that measures and procedures to enforce intellectual
property rights do not themselves become barriers to legitimate trade.
The TRIPS Agreement encompasses, in principle, all forms of intellectual property
and aims at harmonizing and strengthening standards of protection and providing for
effective enforcement at both national and international levels. It addresses applicability of
general GATT principles as well as the provisions in international agreements on IP (Part I).
It establishes standards for availability, scope, use (Part II), enforcement (Part III), acquisition
and maintenance (Part IV) of Intellectual Property Rights. Furthermore, it addresses related
dispute prevention and settlement mechanisms (Part V). Formal provisions are addressed in
Part VI and VII of the Agreement, which cover transitional, and institutional arrangements,
respectively. The obligations under TRIPS apply equally to all member states. However
developing countries were allowed extra time to implement the applicable changes to their
national laws, in two tiers of transition according to their level of development. The transition
period for developing countries expired in 2005. For least developed countries, the transition
period has been extended to 2016, and could be extended beyond that.
The TRIPS Agreement, which came into effect on 1 January 1995, is to date the most
comprehensive multilateral agreement on intellectual property. The areas of intellectual
property that it covers are:
(i) Copyright and related rights (i.e. the rights of performers, producers of sound
recordings and broadcasting organisations);
(ii) (ii) Trade marks including service marks;
(iii) (iii) Geographical indications including appellations of origin;
(iv) (iv) Industrial designs;
(v) (v) Patents including protection of new varieties of plants;

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(vi) The lay-out designs (topographies) of integrated circuits;

(vii) (vii) The undisclosed information including trade secrets and test data.
Features of the Agreement

The main three features of the TRIPS Agreement are as follows-
Standards: The TRIPS Agreement sets out the minimum standards of protection to be
provided by each Member.
Enforcement: The second main set of provisions deals with domestic procedures and
remedies for 21 the enforcement of intellectual property rights.
The Agreement lays down certain general principles applicable to all IPR
enforcement procedures.
Dispute settlement: The Agreement makes disputes between WTO Members about
the respect of the TRIPS obligations subject to the WTO's dispute settlement procedures.
In addition the Agreement provides for certain basic principles, such as national and
most-favoured-nation treatment (non-discrimination), and some general rules to ensure that
procedural difficulties in acquiring or maintaining IPRs do not nullify the substantive benefits
that should flow from the Agreement.
The TRIPS Agreement is a minimum standards agreement, which allows Members to
provide more extensive protection of intellectual property if they so wish. Members are left
free to determine the appropriate method of implementing the provisions of the Agreement
within their own legal system and practice.
Protection of Intellectual Property under TRIPS
The TRIPS Agreement provides for protection of various kinds of intellectual
property rights to ensure that adequate standards of protection exist in all member countries.
The starting point is the obligations of the main international agreement of the World
Intellectual Property Organization (WIPO) that already existed before the WTO was created;
namely, the Paris Convention for the Protection of Industrial Property (patents, industrial
designs, etc.) and the Berne Convention for the Protection of Literary and Artistic Works
(copyright). However, some areas were not covered by these conventions while in some
cases, the standards of protection prescribed were thought inadequate. So the TRIPS
agreement adds a significant number of new or higher standards for the protection of
intellectual property rights. Part II of the Agreement addresses, in its various sections, the
different kinds of IPR and establishes standards for each category
4.12 Trademark,

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What Is a Trademark?
The term trademark refers to a recognizable insignia, phrase, word, or symbol that denotes a
specific product and legally differentiates it from all other products of its kind. A trademark
exclusively identifies a product as belonging to a specific company and recognizes the
company's ownership of the brand. Trademarks are generally considered a form
of intellectual property and may or may not be registered.
KEY
• A trademark is an easily recognizable symbol, phrase, or word that denotes a specific

product.
• It legally differentiates a product or service from all others of its kind and recognizes
the source company's ownership of the brand.
• Trademarks may or may not be registered and are denoted by the ® and ™ symbols
respectively.
• Although trademarks do not expire, the owner must make regular use of it in order to
receive the protections associated with them.
Understanding Trademarks
Trademarks not only help distinguish products within the legal and business
systems—but just as significantly—with consumers. They are used to identify and protect
words and design elements that identify the source, owner, or developer of a product or
service. They can be corporate logos, slogans, bands, or the brand name of a product.
Similar to a trademark, a service mark identifies and distinguishes the source of a service
rather than a product, and the term trademark is often used to refer to both trademarks and
service marks.
Using a trademark prevents others from using a company or individual's products or

services without their permission. They also prohibit any marks that have a likelihood of
confusion with an existing one. This means that a business cannot use a symbol
or brand name if it looks or sounds similar, or has a similar meaning to one that’s already on
the books—especially if the products or services are related. For instance, a soft drink
company can't legally use a symbol that looks like that of Coca-Cola and it can't use a name
that sounds like Coke.
A trademark does not need to be registered for the owner to prevent others from using it or a
confusingly similar mark.
Trademarks in the United States are registered through the United States Patent and
Trademark Office (USPTO) and are identified with the ® symbol. But trademarks don't have
to be registered in order to give the company or individual protection rights. Unregistered
trademarks can be recognized with the ™ symbol. By using this symbol, the trademark user
indicates they are using common law to protect their interests.
The laws governing trademarks never expire. This means the holder has the right to
the trademark for the life of the product or service. But there are certain exceptions. The user
is required to make continuous, lawful use of the trademark in order to take advantage of

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trademark laws. So a company or individual must regularly manufacture, produce, market,

and sell a product with a particular trademark in order for the trademark law to be
enforceable. This can be done every five years by filing a section 8 declaration through the
USPTO. Failure to file this can result in the loss of registration.
Special Considerations
Trademarks can be bought and sold. For instance, Nike (NKE) purchased the
instantly recognizable Swoosh logo in 1971 from a graphic arts student for a one-time price
of $35. Trademarks also can be licensed to other companies for an agreed-upon time or
under certain conditions, which can result in crossover brands. Take the relationship LEGO
has with certain movie franchises, for example. The private company licenses many famous
sub-brands such as Star Wars and DC Comics to produce LEGO versions of popular
products.
As mentioned above, trademarks are also used as an effective way to market brand
names. In fact, the power of branding in business is critical and can fill volumes, and the use
of brands in marketing is legendary. Some brands, like Kleenex, are so prominent and have
such successful brand identities that they have almost replaced the noun that was the original
word for the item or service, like asking for a Kleenex instead of a tissue. Kimberly Clark
(KMB) owns the Kleenex trademark and launched the brand in 1924 as a disposable tissue
for removing cosmetics. In 1930, the company launched the brand again—this time as a
substitute for handkerchiefs. Since then, Kleenex has been the number-one selling facial
tissue in the world.
4.13Functions of UNESCO in IPR maintenance.

Copyright a traditional tool for encouraging creativity nowadays, has even greater
potential to encourage creativity in the beginning of the 21st century. Committed to promoting
copyright protection since its early days (the Universal Copyright Convention was adopted
under UNESCO’s aegis in 1952), UNESCO has over time grown concerned with ensuring
general respect for copyright in all fields of creation and cultural industries. It conducts, in the
framework of the Global Alliance for Cultural Diversity, awareness-raising and capacity-
building projects, in addition to information, training and research in the field of copyright law.
It is particularly involved in developing new initiatives to fight against piracy. The digital
revolution has not left copyright protection unaffected. UNESCO endeavours to make a
contribution to the international debate on this issue, taking into account the development
perspective and paying particular attention to the need of maintaining the fair balance between
the interests of authors and the interest of the general public of access to knowledge and
information.
-THE END -

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RM-IPR Unit-5 - Unit 5 full notes

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UNIT 5 – PATENTS
Patents - objectives and benefits of patent, Concept, Features of Patent, Inventive Step, Specification,
Types of Patent application, Process e-filling, Examination of Patent, Grant of Patent, Revocation,
Equitable Assignments, Licences, Licensing of related patents, Patent agents, Registration of patent
agents.
PATENTS – INTRODUCTION
The history of Patent law in India starts from 1911 when the Indian Patents and Designs Act, 1911 was
enacted. The present Patents Act, 1970 came into force in the year 1972, amending and consolidating the
existing law relating to Patents in India. The Patents Act, 1970 was again amended by the Patents
(Amendment) Act, 2005, along with Patents Rules which stand recently amended with Patents
(Amendment) Rules, 2017, wherein product patent was extended to all fields of technology including food,
drugs, chemicals and microorganisms. After the amendment, the provisions relating to Exclusive Marketing
Rights (EMRs) have been repealed, and a provision for enabling grant of compulsory license has been
introduced. The provisions relating to pre-grant and post-grant opposition have been also introduced.
An invention relating to a product or a process, involving inventive step and capable of industrial application
can be patented in India. However, it must not fall into the category of inventions that are non-patentable as
provided under Section 3 and 4 of the (Indian) Patents Act, 1970. In India, a patent application can be filed,
either alone or jointly, by true and first inventor or his assignee. In the United States, patent laws were
introduced in 1760. Most European countries developed their Patent Laws between 1880 to 1889. In India
Patent Act was introduced in the year 1856 which remained in force for over 50 years, which was
subsequently modified and amended and was called "The Indian Patents and Designs Act, 1911". After
Independence a comprehensive bill on patent rights was enacted in the year 1970 and was called "The
Patents Act, 1970".
Later, India became signatory to many international arrangements with an objective of strengthening its
patent law and coming in league with the modern world. One of the significant steps towards achieving this
objective was becoming the member of the Trade Related Intellectual Property Rights (TRIPS) system.
Significantly, India also became signatory of the Paris Convention and the Patent Cooperation Treaty on 7th
December 1998 and thereafter signed the Budapest Treaty on 17th December 2001.
OBJECTIVES:
Patent law is the branch of intellectual property law that deals with new inventions. Traditional patents protect
tangible scientific inventions, such as circuit boards, car engines, heating coils, or zippers. However, over time
patents have been used to protect a broader variety of inventions such as coding algorithms, business practices, or
genetically modified organisms.
Considering the significance of Patents and its positive image for the successful enterprises, there is a plethora of
international treaties and national laws to regulate the process and operation of Patents worldwide. Major
objectives are
 To Encourage Inventions
 To Breed Inventions
 To update industrial development by working of patented inventions on commercial scale
 To Avoid Reinventing wheel

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BENEFITS:
 A patent gives you the right to stop others from copying, manufacturing, selling or importing your
invention without your permission.
 You get protection for a pre-determined period, allowing you to keep competitors at bay.
 Maximum protection is obtained for a fixed time period (20 years in India) thus helping to restrain
other competitors.
 It acts as a tool for International Trade.
CONCEPT:
Patent is a monopoly right given by the government to an inventor for a period of twenty years. Once
granted, a patent gives the inventor the right to exclude others from making, using, selling, importing or
offering for a sale of the inventor’s invention for the duration specified in the terms of patent. After twenty
years the patent falls under public domain there after anyone can use the invention without permission from
patentee. Invention can be any new article, composition of matter, machine, process or any new value
addition to the above said.
Patents are territorial rights, which means that an invention is only protected in the countries or regions
where patent protection has been obtained. In other words, if you have not been granted a patent with effect
in a given country, your invention will not be protected in that country enabling anybody else to make , use,
import or sell your invention in that country.Patent right can be shared whenever there are more than one
patentees. Patent rights can be
a) Licensed or sold for a commercial consideration.
b) A right to initiate legal proceedings against infringement.

c) The patentee can commercially exploit its potential without fear of copying or imitation without the
patentee’s permission during the term of patent.
Invention refers to the technical solution to a technical problem. It may be an innovative idea or may be in
the form of working model or prototype.
Innovation refers to the translation of the invention into a marketable product or process.
PATENTABILITY CRITERIA:
A new product or process which involves an inventive step and capable of being made or used in an industry
and should meet following criteria.
 Total novelty: The invention should be new with no public disclosures in any part of the globe or
through any other platform.
 Non-obvious invention: No skilled person in the relevant area of technology should be able to
decode your invention easily. Your invention should have a distinctive value-adding feature
compared to existing inventions in the same field
 Business or industrial application: The newly invented product or process should have a wide
range of industrial utilities with positive economic implications.

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The following inventions will not be construed as patentable:
 Inconsequential inventions defying conventional natural laws

 Inventions that intend to cause disruptions to public order, challenge moral grounds and cause harm
to living beings
 Further, the discovery of scientific principles, living & non-living things existing in nature, abstract
theories, and variants of products or processes with no value-adding economic benefits
 All artistic creations including music, theatre, cinema, web series, and television works
 The mere arrangement, rearrangement, mixing, or duplication of substances
 Nuclear energy inventions
 Additionally, the creation of hybrid varieties of plants and animals
 An agriculture or horticulture method
 Generic or new rules for playing a game or pulling off a mental act
 Different ways of presenting information or data
 Configuration of integrated circuits.
FLOWCHART OF PATENT GRANTING SYSTEM

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FLOW CHART OF TRADEMARK APPLICATION FILING UPTO ACCEPTANCE

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INVENTIVE STEP
For an Invention to be Granted or Registered as a Patent, an Inventive Step/Non-Obviousness is one of the
criteria that has to be fulfilled by the Invention for qualifying as a Patentable subject matter. Almost every
Patent Office examines the applied Patent Application based on the Inventive step or Non-Obviousness.
Some Patent offices use the term Inventive Step while others use Non-Obviousness. However, the yardstick
for determining inventive step/non-obviousness slightly differs country wise.
The philosophy behind the Inventive step is that an Invention should not be a mere collection and
repackaging of existing information. In an Invention, the Inventive step involves technical advancement as
compared to the existing knowledge, it should not be based on an abstract idea. For example: if an Invention
for which a patent is sought is solving a problem by providing a solution which may be similar to a solution
conceived by a person skilled in the art who is working in the same field by applying his/her acquired
technical knowledge or by going through the existing literature, in that case the Invention will not be
considered as an Inventive in nature, since the solution to the problem is obvious to the person skilled in the
art. However, if the invented solution is better than the existing solutions in terms of efficacy or accuracy
etc. then such a solution may be deemed to have an inventive step. Please find below the yardstick for
determining non-obviousness:
1) According to Indian Patent Law, "inventive step" means a feature of an invention that involves
technical advance as compared to the existing knowledge or having economic significance or both
and that makes the invention not obvious to a person skilled in the art.
2) According to European Patent Law, an invention shall be considered as involving an inventive step
if, having regard to the state of the art, it is not obvious to a person skilled in the art. If the state of
the art also includes documents within the meaning of Article 54, paragraph 3, these documents shall
not be considered in deciding whether there has been an inventive step.
3) According to US Patent Law, a patent for a claimed invention may not be obtained, notwithstanding
that the claimed invention is not identically disclosed as set forth in section 102, if the differences
between the claimed invention and the prior art are such that the claimed invention as a whole would
have been obvious before the effective filing date of the claimed invention to a person having
ordinary skill in the art to which the claimed invention pertains. Patentability shall not be negated by
the manner in which the invention was made.
ROLE OF PATENT OFFICE FOR FINDING INVENTIVE STEP:

All the major Patent Offices examine the applied Patent application on the basis of Inventive step as one of
the criteria for granting of a Patent. Examination of filed Patent application is a tedious task and the Patent
office applies different methods for the examination of Inventive step. For example, Indian Patent Office
may identify the presence of technical advance as compared to the existing knowledge or having economic
significance or both, European Patent office may apply Could-Would approach, USPTO may apply the
principles developed through landmark judgments such as Teaching Suggestion Motivation (TSM) test,
depending upon the matter disclosed in the Patent Application. Patent rights create substantial benefits for
the inventor; these should not be handed to everyone who uses his/her knowledge and training to draw only
basic conclusions from existing knowledge. Patent Rights are a reward for the execution of exceptional ideas
and are meant to encourage out-of-the-box thinking.From the above discussion, it can be concluded that the
Inventive step is an indispensable criterion for judging an Invention for granting of a Patent. It is imperative
that an Invention should have technical advancement as compared to the existing knowledge and it should
not be a mere workshop improvement. Therefore, Inventive step should be ascertained in order to avoid the
rejection of the patent application during office action.

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PATENT SPECIFICATIONS
The Content of complete specification includes abstract, field of the invention, background of the invention,
prior art of the invention, summary of the invention, detailed description of the drawing, and claims etc. Fee
₹1000 in case of individuals and ₹4000 in case of legal entities.There are three types of patents:
Utility patents: may be granted to anyone who invents or discovers any new and useful process, machine,
article of manufacture, or composition of matter, or any new and useful improvement.
Design patents: may be granted to anyone who invents a new, original, and ornamental design for an article
of manufacture.
Plant patents: may be granted to anyone who invents or discovers and asexually reproduces any distinct
and new variety of plant.
TYPES OF PATENT APPLICATION
1. Ordinary or Non-Provisional Application

2. Convention Application
3. PCT International Application
4. PCT National Phase Application
5. Patent of Addition
6. Divisional Application
1. Ordinary or Non-Provisional Application: Ordinary or Non-Provisional application is filed if the

applicant doesn't have any priority to claim or in a case where the application is not filed in pursuance of any
preceding convention application. Non0 provisional application, when filed, must be supported by a
complete specification depicting the invention in detail.
2. Convention Application: A convention application is filed for claiming a priority date based on the same
or substantially similar application filed in any of the convention countries. The applicant is required to file
an application in the Indian Patent Office within a year from the date of the initial filing of a similar
application in the convention country.
3. PCT International Application: A PCT Application is an international application to streamline patent

application process in many countries at one go. It is governed by the Patent Corporation Treaty and can be
validated in up to 142 countries.
4. PCT National Phase Application: A national phase application is filed in each of the country wherein
the protection is sought. The national phase application must be filed within 30 or 31 months from the
priority date or the international filing date, whichever is earlier.
5. Patent of Addition: The applicant can file a patent of addition if there is a modification of the invention
which has already been applied for or patented. A patent of addition can only be granted after the grant of
the parent patent; hence, no separate renewal fee is to be remitted during the term of the main patent.
6. Divisional Application: Divisional application is filed if the applicant wishes to divide an application to
furnish two or more applications if a particular application claims for more than one invention. The priority
date for divisional application is similar to that of the parent application.

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PROCESS OF E-FILLING

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Patent Filing Procedure in India

Drafting a Patent Application
Now that you have confirmed the patentability of your invention, the next step is to start your patent
application process.So what is the first form you need to fill? The first form to be filled in is Form 1 – the
most basic application for a grant of patent. Additionally, ensure to attach all the necessary information and
affix your signature.
Now, the next step is to complete Form 2. Depending on the status of your ‘invention’ (partially or fully
completed) you may either apply for provisional or complete patent specification through this form.
However, please note that in case you apply for provisional specification, you have just 12 months in your
hand to finish your invention and provide the complete specification. In fact, the inability to adhere to this
timeline leads to the cancellation of your patent application.
A patent draft also needs to be submitted along with the application form. It should contain information on
the following:
 A title for your invention with a summary of the same
 References to similar patent applications
 Declaration of any government grants received for R&D purposes
 Further, names of all entities who contributed to the invention with their contact details
 A complete description of your invention
 Patent drawings
 Patent scope
 An abstract of public disclosure of the invention
 Sequence lists, if applicable
 An oath/declaration duly signed by you.
Next, you have to fill in Form 3 if you have applied for a patent in some other country as well. Thereafter, in
case, you are applying for patent protection for your startup or are claiming small entity status, you need to
fill in Form 28. In addition to all the above forms, you also need to complete the inventorship, declaration
through Form 5.
Payment of Application fees: The patent application charges payable are listed in detail in the First
Schedule. Be cognizant of additional charges applicable, if any.
 Publication of Application: The Indian Patent Office publishes all patent applications in an official
patent journal. If you want to expedite the publishing process, you need to submit Form 9.
 Scrutiny of Patent Application: To initiate the patent application examination by a patent officer,
you need to submit Form 18. Post Form 18 submission, the officer will scrutinize your invention and
issue a FER (first examination report).
 Grant of Patent: A patent will be granted when you successfully resolve all queries and objections
by the examiner.

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FLOWCHART FOR ACCEPTANCE OF PATENT

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EXAMINATION OF PATENT
Patent Examination Procedure In India
Missing the deadline for filing request for examination can prove fatal for the patent application. Since it is
absolutely clear that missing the deadline, would eventually kill the patent application. If the request of
examination is made within the prescribed time limit, the Indian Patent office takes up the application for
examination.
The normal Requests for Patent Examination can be filed within a period of 48 months from the priority date
(date of first filing of the invention, can be provisional patent or complete patent / non-provisional patent) or
date of filing of the patent application whichever is earlier. If the patent examination request is not filed within
the specified time limit the patent application shall be treated as withdrawn by the Indian Patent Office. It is
mandatory under Indian Patent Act 1970, to file a request for patent examination as per the prescribed timeline.
As per the Patent Act 1970, only after submission of such request a formal patent examination process shall
commence.
An express request for examination before expiry of 31 months can be made with respect of the applications
filed under Patent Cooperation Treaty (PCT) known as National Phase applications by payment of the official
fee. There is another provision of expedited examination, in which the patent applications which requested for
expedited examination will be put in a queue separate from the patent applications for ordinary examination.
Ordinarily, within one month from the date of a request for examination, the Controller is required to refer the
application to an examiner. Further, the examiner is then required to prepare the Examination Report within one
month, but not exceeding three months from the date of reference for such examination by the Controller. On
the other hand, upon a request for an expedited examination, the examiner will be required to give the
Examination Report within one month, but not exceeding two months from the date of reference for
examination by the Controller.
The provision of expedited examination is available for startups and applicants who have included India, in
their PCT application as an International Searching Authority (ISA) or International Preliminary Examining
Authority (IPEA). Therefore, selecting India as ISA can be beneficial to expedite the grant process.
An early publication request can be made along with prescribed fees if one does want to wait, till the expiry
of 18 months from the date of filing for publishing the patent application.

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Generally the patent application is published within a month after request for early publication.
Why do I have to file Request for Examination in India?
The Process of examination starts with filing a request for examination. Unlike publication, this is not an
automatic process. Only after receiving the Request for Examination (RFE) the controller transfers the patent
application to the patent examiner. The request for examination has to be made within 48 months from the date
of priority or filing whichever is earlier.
The patent examiner examines the patent application, and prepares the examination report on the basis of
various patentability criterias like:
 Patentable subject matter;

 Novelty;
 Inventive step;
 Industrial application; and
 Specification Enablement
Other responsibilities of the patent examiner for examination of a patent application include:
 To conduct comprehensive investigation of an application and prepare a report under section 12;
 To conduct an inter-office search covering all four patent offices;
 To raise objections rather than comment on missing forms.
 The Examiner's report will: Be a permanent part of a file's note sheet and non-editable at the Controller's
end; Include a draft summary/gist of objections-this gist editable at Controller's end; Include any
amendments to the complete specification;
Who can file the Request for Examination in India and How?
In India a request for patent examination (RFE) may be filed by:
 the patent applicant of the patent application or

 by any other interested person
Request of Examination is filed by filling Form 18. The interested person (third party) has to submit appropriate
evidence of his interest in the particular patent application.

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Form-18 has to be filed, specifying the details of the patent applicant or other interested person, application
number, title, date of filing and publication date along with the prescribed fees.
It is very significant to follow the patent office timelines. Otherwise it is advisable to file the request for
examination, while filing patent application.
For a national phase application /PCT international application entering India it is advised to file an express
request for patent examination before the expiry of 31 months.
What is First Examination Report under the Patent Act?
Once the patent application is examined, the Patent office issues an examination report to the patent applicant
which is generally known as First Examination Report (FER). The examiner submits this to the controller. It
usually contains prior arts similar to claimed invention. Prior art here means existing documents before the date
of filing, similar to claimed invention. It need not be commercially available. It is just evidence which proves
that the claimed invention is already known
The Applicant should reply the objections (if any) and place the application in order for grant within 12
months from the date of issue of the FER (First Examination Report). In this case too, if the reply to the
examination report is not made within prescribed time limit, which is 12 months, the application is deemed to
be abandoned.
In case, the patent application is found to be in order for grant, the patent is granted, if there is no pre-grant
opposition filed or pending by a third party.
The prescribed fee for e-filing is given below:
Particulars Individual Small Other than Small

Entity Entity
Normal application for patent 4000 10000 20000
Request of examination of National Phase applications for patent 5600 14000 28000
Request of expedited examination of International Application for 8000 25000 60000

patent
Request for conversion from ordinary examination to expedited 4000 15000 40000
examination.

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GRANT OF PATENT
Where to apply?
Application for the patent has to be filed in the respective patent office as mentioned below.
The territorial jurisdiction is decided based on whether any of the following occurrences falls
within the territory:
a) Place of residence, domicile or business of the applicant (first mentioned

applicant in the case of joint applicants)
b) Place from where the invention actually originated.
c) Address for service in India given by the applicant when he has no place
of business or domicile in India
A foreign applicant should give an address for service in India and the jurisdiction will be
decided upon that. An applicant (Indian or foreigner) also can give his Patent Agent’s address
as address for serving documents, if he/she so wishes.
How to apply ?
Steps Involved in Obtaining a Patent
 To file an application for patent accompanied with either a provisional

specification or a complete specification
 To file complete specifications , if provisional application was submitted
earlier
 Examination of the application by patent office
 Acceptance of applications and publication in the gazette of accepted
applications
 Responding and satisfactorily overcoming the opposition/objections , if
any, to the grant of patent
 Sealing of patent
Application for patent (Form 1) in duplicate should be accompanied by the documents as

indicated below. The fee (Rs.1000/- for natural citizen of India or Rs.4000 /- for other than a
citizen) can be paid within one month. Other details of the fee payable for different purposes

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are given in the Appendix -3. The details about various applicable forms for filing patents are
given in the Appendix – 4.
a) Application for Grant of Patent (Form 1)

b) Provisional or Complete Specification (Form 2) and drawings (if any) in
duplicate
c) Statement and undertaking regarding foreign filing details in respect of the
same invention (Form 3)
d) Declaration as to Inventorship (Form 5) (In the case of a Convention
Application and PCT National Phase Application and filing Complete after
Provisional)
e) Priority document (if it is a Convention Application)
f) Power of Attorney (Form 26) (if the application is made through a patent
agent)
g) Proof of Right if the application is made by the assignee (Proof of right to
apply can be produced either in the body of the application (Endorsement
in Form1) or by way of a separate assignment deed.
Why ‘Provisional’ Specification ?
When the applicant finds that his invention has reached a presentable form, then he may
prepare a disclosure of the invention in the form of a written description and submit it to the
patent office. This disclosure is called a Provisional Specification. Application for
Provisional Specification has to include the natureof the invention. This gives a priority to
the applicant over any other person who is likely to file an application for patent in respect
of the same invention being developed concurrently in some other part of the world.
Immediately on receiving the provisional specification the patent office accords a filing date
for the application and gives a period up to twelve months for filing the Complete
Specification during which the applicant can fully develop his invention.
 Complete Specification
Complete Specification is a techno-legal document that fully and particularly describes the
invention and the best method of performing it. It should start with a preamble “The

lOMoARcPSD|13656579
following specification particularly describes the nature of this invention and the manner in
which it is to perform.” It should contain the following in not more than 30 pages beyond
which each page is chargeable as given in the first schedule.
 A Title
The title should give a fair indication of the art or industry to which the invention relates. It
should be brief and as precise and definite as possible. The following are not allowable in the
title: — a) The inventor’s name b) The word ‘Patent’ c) Words in other languages d) The
abbreviation “etc.” e) Fancy words, e.g., “Wash Well Soap”, “Universal Rest Easy Patent
Chair”.
 Field of the invention.
The description should preferably begin with a short general statement of the invention so as
to show its scope, and to indicate briefly the subject matter to which the invention relates,
e.g. “This invention relates to..................................................................................................................... ”
 State of the Art in the Field
This part should indicate the status of the technology in the field of invention with reference
to experiments going on in the field, patents and pending patentapplications in the specific art
with emphasis on the ‘prior art’ relevant to the invention. When the invention relates to an
improvement on an existing apparatus or process a short statement of closest prior art may
also be given.
 Object of the invention (Problem & Solution)
The purpose is to clearly bring out the necessity of the invention. It shall clearly specify the
technical problems associated with the existing technology and the proposed solution,
highlighting the obvious difference between the claimed invention and the prior art. The
solution sought by the invention should be clearly brought out with statements like “It has
already been proposed . . . . . . . . . . . . . . .. . . . . . . . . . ..” followed by the objects which the
invention has in view e.g. “The principal object of this invention is . . . . . . . . . . . . . . . . . .
. . . . . . . .”, “Another object of this invention is ”, “A further object of this invention is ”
etc.
 Statement of invention

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The description should include a statement of invention before giving the details of the
invention and the method of performing it. The statement should clearly set forth the
distinguishing novel features of the invention for which protection is desired. This part is
intended to declare the different aspects of the invention verbatim with the claims and
complements to the omnibus claim in situations of infringement proceedings.- It usually
starts like “Accordingly the invention provides an apparatus consisting of ---------------------
------ which is characterized in that ----------------------“. Other aspects and processes if any
also can be stated e.g. “There is also provided a method for performing “ etc.
 Detailed description of the invention with reference to the drawings.
The details of the invention described should be sufficient for an average personskilled in
the art to perform the invention by developing the necessary technicalknow how by
himself. It can include examples/drawings or both for clearlydescribing and ascertaining
the nature of the invention. Sufficient number ofexamples can be appended to the
description especially in the case of chemicalinventions. The following terms are
somewhat vague, and their use should beavoided from the description as far as possible:
— “Special”, “design”, “suitable”, “etc”. “Whereby”, “if desired”, “and/or”, “customary
methods”, “known methods”.Terms in other languages, if any, used in the description
should be accompaniedby their English equivalents. The use of vague slang words and
colloquialisms is Objectionable and should be avoided.
 Scope and/or Ambit of the Invention
This part of the specification should bring out the areas of application of the invention and
the preferable use of the invention. The applicant can substantiate the industrial applicability
of the invention in this part and call for the protection against duplication of the invention in
the related fields by specifying the scope and ambit. The advantages of the invention also can
be described in this part of the specification.
 Claims
The description in the Complete Specification need to clearly and succinctly state the
“Claims” proceeded by the prescribed preamble, “I claim” or “We claim”, as the case may
be. It shall preferably start from the next page after the full description of the invention with
the claims serially numbered. The purpose of the statement of Claims is to highlight with

lOMoARcPSD|13656579
conciseness, precision and accuracy asto how much of what is described in the specification
has been sought to be protected, implying thereby that what is not claimed is open to public
use. The claim or claims of a complete specification shall relate to a single invention, or to a
group of inventions linked so as to form a single inventive concept.
Statement of the form given immediately below is not to be regarded as
claims, in as much as they do not define the invention: —
a) I claim to be the inventor of this appliance.

b) I claim a patent and that no one else shall use my invention without leave.
c) I claim that the machine described above is quite new and has
never beenseen or used before.
Hierarchy of Officers in Patents Office
Controller General of Patents, Designs, Trademarks & GI
Assistant Controller of Patents & Designs

Examiners
of Patents
Deputy Controller of Patents & Designs and
Designs
Joint Controller of Patents & Designs
Senior Joint Controller of Patents & Designs
Working of Patents and compulsory Licensing
 Working of Invention
Patents are granted for the purpose of exploitation, which will enhance industrial
development and therefore should be worked in its fullest extent within theterritory of India.
S.83 of Patents Act provides that “Patents are granted toencourage inventions and to secure
that the inventions are worked in India on acommercial scale and to the fullest extent
reasonably practicable without unduedelay and they are not granted merely to enable

lOMoARcPSD|13656579
patentees to enjoy a monopolyfor the importation of the patented article.”The patentee and
every licensee should furnish the details of working of the invention at every six months and
whenever required by the Controller (S. 146)
 Revocation of patent for non-working (S. 85):

An application to the Controller for an order revoking the patent under section 85(1) may be
made after the expiry of 2 years from the date of order granting the first compulsory license.
The application shall be in Form 19 with the prescribed fee. Except in the case of an
application made by the Central Govt., the application shall set out the nature of the
applicant's interest and the terms and conditions of the license the applicant is willing to
accept.
REVOCATION
I. A Patent may be revoked by High Court on any of the grounds stated
hereafter,at any time during the life of the patent.
i) On the petition by any person interested or

ii) On the petition by the Central Government by the Appellate Board
iii) On a counter claim by the defendant in a suit of infringement.
In a suit for infringement under Sec. 104 the defendant’s counter-claim for
revocation of a patent, the High Court may revoke a patent without any
separate petition for revocation.
II. Grounds for Revocation
The following are the grounds of opposition
a) Invention claimed is the subject of prior grant

b) Patentee not entitled to the patent
c) Patent was wrongfully obtained by a person other than the person entitled:
d) Subject of a claim is not an invention
e) Invention is "lacking in novelty with regard to prior knowledge or prior use
f) Invention is obvious or does not involve inventive step having
regard toprior knowledge or prior use
g) Invention is not useful.
h) Invention is not sufficiently described.

lOMoARcPSD|13656579
i) Claim not clearly defined and not fairly based.

j) Patent was obtained by false suggestion or representation.
k) Subject of claims not a patentable invention.
l) Claimed invention was secretly used before the priority date.
m) Failure to disclose information regarding Foreign Application.
n) Non-compliance of secrecy direction.
o) Leave to Amendment of specification obtained by fraud.
p) Specification Wrongly Mentioning or Not Disclosing Geographical Origin.
q) Inventions is Anticipated by traditional knowledge
EQUITABLE ASSIGNMENTS
Any agreement including a letter in which the patentee agrees to give a certain defined share of the patent
to another person is an equitable assignment of the patent. However an assignee in such a case cannot have his
name entered in the register as the propertier of a patent. An assignment which does not fulfil the statutory
criteria for a legal assignment. An equitable assignment may be made in one of two ways:
 The assignor can inform the assignee that he transfers a right or rights to him.
 The assignor can instruct the other party or parties to the agreement to discharge their obligation to the
assignee instead of the assignor.
Only the benefit of an agreement may be assigned. There is no requirement for written notice to be given or
received. The only significant difference between a legal assignment and an equitable assignment is that an
equitable assignee often cannot bring an action in its own name against the third party contractor, but must fall
back on the rules governing equitable assignments and join the assignor as party to the action.
LICENSES
Compulsory Licenses (S. 84):

The provisions for compulsory licenses are made to prevent the abuse of patent as a
monopoly and to make way for commercial exploitation of the invention by an interested
person. Any interested person can make an application for grant of compulsory license for a
patent after three years from the date of grant of that patent on any of the following grounds –
a) The reasonable requirements of the public with respect to the patented invention
have not been satisfied.
b) The patented invention is not available to the public at a reasonably affordable
price.
c) The patented invention is not worked in the territory of India. The request for

lOMoARcPSD|13656579
grant of a compulsory license can also be made by a licensee of the patent.

Application for compulsory license should be made in Form 17 with the
prescribed fee of Rs.1500 for natural person and Rs.6000/- for other than natural
person with a statement setting out the nature of the applicant’s interest and the
facts upon which the application is based.
 Government Use of the Inventions
 Anytime after filing or grant of a patent, Government or any person authorized by

it can use the patented invention for the purpose of Government.
 If an invention is used before the priority date of the relevant claim of complete
specification by the Government or any person authorized by it for the purpose of
Government, then no royalty or remuneration need to be paid to the patentee.
 If an invention is to be used at any time after the grant of Complete Specification

by Government or any person authorized by it for thepurpose of Government, then
that use should be made only on terms agreed upon between the Government or
any person duly authorized and the patentee or in default of agreement be decided by
High Court under section 103.
 Government can authorize any person in respect of an invention either before or

after the grant whether or not the patentee authorizes that person.
 Where Government authorizes any person for using an invention for Govt.
purposes then unless it is contrary to the Public interest the Central Government
shall inform the patentee, from time to time, the extent of use of the invention for
the purpose of Government. In case of use by the undertaking, Government may
call for such information from the undertaking.
 The right to use the invention for the purpose of Government includes the right
to sell the goods and the purchaser has the power to deal with the goods as if the
Government or the person authorized were thepatentee of the invention.
 In case of an exclusive licensee as per section 101 (3) or an assignor, Central

Government should also inform the exclusive licensee or assignor, as the case
may be, regarding the extent of use of inventionfor the purpose of Government.

lOMoARcPSD|13656579
 In respect of an invention used by the Government for the purpose of Government,

any agreement, license of assignment etc. between the patentee or applicant and
any person other than the Government shall have no effect if the agreement
restricts the use for the purpose of Government or instructs any payment in
respect of any use for thepurpose of Government.
 In relation to any use of the invention made for the purpose of Government by the
patentee to the order of Central Government any sum payable by virtue of section
100 (3) shall be divided between the patentee and the assignor in such proportion as
may be agreed upon or in default be decided by high Court under section 103.
 In case there is an exclusive licensee authorized under his license to use the
Invention for the purpose of Government the patentee shall share any payment
and such licensee in such proportion as agreed upon or, in default, is decided by
High Court under section 103.
 If necessary Central Government can acquire an invention from the applicant or

patentee for a public purpose, by publishing a notification to that effect in the
Official Gazette
 Notice of acquisition shall be given to the applicant or patentee, as the case may
be, and other persons appearing in the register as having interest in that patent.
 Compensation should be given by the Central Government to the concerned person

as agreed upon between them or in default be determined by High Court under
Section 103. Any dispute arising out of use of an invention by the Central
Government for the purpose of Government may be referred to the High Court by
either party to the dispute in such manner as may be prescribed by rules of High
Court under Section 103. Government may ask for revocation of patent or
raise an issue regarding the validity of the patent. In case the Government thinks
disclosure of any document regarding the invention will be prejudicial to the
public interest, then the Government can disclose confidentially to the advocate
of other party in any proceedingat any time at the High Court.
LICENSING OF RELATED PATENTS
(1) Notwithstanding anything contained in the other provisions of this chapter, at any time after the sealing of a
patent, any person who has the right to work any other patented invention either as patentee or as licensee
thereof, exclusive or otherwise, may apply to the Controller for the grant of a license of the first-mentioned

lOMoARcPSD|13656579
patent on the ground that he is prevented or hindered without such license from working the other invention
efficiently or to the best advantage possible.
(2) No order under sub-section (1) shall be made unless the Controller is satisfied-
(i) that the applicant is able and willing to grant, or procure the grant to the patentee and his licensees if
they so desire, of a license in respect of the other invention on reasonable terms; and
(ii) that the other invention has made a substantial contribution to the establishment or development of
commercial or industrial activities in India.
(3) When the Controller is satisfied that the conditions mentioned in sub-section (1) have been established by
the applicant, he may make an order on such terms as he thinks fit granting a license under the first-mentioned
patent and a similar order under the other patent if so requested by the proprietor of the first-mentioned patent
or his licensee.
(4) The provisions of sections 92 and 110 shall apply to licenses granted under this section as they apply to
licenses granted under section 84.
PATENT AGENTS
A patent agent, also known as a patent practitioner, is a professional licensed by the United States Patent and
Trademark Office (USPTO) to advise on and assist inventors with patent applications. Patent agents may
also provide patentability opinions and help with the preparation and filing of documentation related to patent
applications.
Patent agents assist inventors with completing and submitting all patent-application paperwork, searching for
prior art, writing the inventor's legally enforceable claims of ownership to the invention, revising rejected
patent applications, and deciding when it's best to abandon an application. In the U.S., there were over 48,000
people on the list of registered patent attorneys and agents in 2021, with over 36,000 of them also licensed to
practice law. Patent attorneys are patent agents who also practice law. The Patent Agent is required to be
registered for practicing as per Patent Rules, 2003. The Patent Agent is required to submit an application for
Registration as a Patent Agent in Form 22 before the Indian Patent Office. After the acceptance of the
application by the Indian Patent Office, the details of the registered Patent Agent should be added into the
Register of Patent Agent, which is maintained by the Controller. The Register of Patent Agent should include
all the details of the registered Patent Agent, which consists of the name, address, and other important
particulars related to the Patent Agent.

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REGISTERING OF PATENT AGENTS

What are the requirements of Register of Patent Agents?
The Controller is required to maintain a Register of Patent Agents in accordance with Section 125 of the Patent
Act, 1970, read with Rule 108 of the Patent Rules, 2003. The particulars which are to be contained in the
Register of Patent Agents are as follows:
 The name of the person registered as Patent Agent;

 The Nationality of the person registered as Patent Agent;
 The Address of the principal place of business and the addresses of branch offices of the person
registered as Patent Agent;
 The qualification and the date of Registration of every registered Patent Agent;
 The Details of the Renewal of Registration of Patent Agent and any other particulars which the
Controller considers fit and required to be included in the Register of Patent Agents. The fee should be
paid by the Patent Agent at the end of every financial year to continue with the Registration of Patent
Agent. The date to pay fee for continuation of the Registration of Patent Agent is generally considered
from the date of Registration as a Patent Agent. The Registration of Patent Agent should be renewed
every year after the first Registration. The fees for continuation of Registration for the next 1 year can
also be paid at the time of the first Registration of Patent Agent. On the official website, a notification
should be issued every year to provide the details of the mode for the payment of the fees and any other
details as required. The helpline number in case of any query with regard to payment of fees for the
continuation of Registration should also be provided on the official website.
 The Specimen of signatures and photographs of the persons registered as Patent Agents;
Furthermore, a copy of the Register of Patent Agents should be maintained in every Branch Office. The details
of the Patent Agents can also be maintained by the Controller in computer diskettes, floppies, or any other
electronic form. The details maintained in computer diskettes, floppies, or in electronic form are subject to
safeguards as may be prescribed in this regard. The details maintained should be accessed only by the person
duly authorized by the Controller, and no entry or modification of any entry or rectification of any entry in the
Register of Patent Agent should be made by any person who is not authorized by the Controller.
What is the Role of Patent Agent after Registration as a Patent Agent?
As per Section 127 and read with Section 129 of the Patent Act, 1970, every Patent Agent whose name is
entered in the Register of Patent Agents is eligible for the following rights:
 The person can practice before the Controller for:

lOMoARcPSD|13656579
1. Obtaining or applying for Patents in India or elsewhere;

2. Preparation of specifications or any other documents required by the Patent Act, 1970, or required by
Patent Law of any other country;
3. Giving guidance other than of technical or scientific nature regarding the validity of Patents or Patent
Infringement;
 The person is required to prepare all the documents related to Patent, manage all business and discharge
any other function as prescribed under the provisions of the Patent Act, 1970, in regard to, any
proceeding before the Controller.
There are primarily two restrictions imposed on a Patent Agent under Section 129 of the Patent Act, 1970 on a
patent agent. The restrictions on the Patent Agent are as follows:
 The person should not without registering himself/herself as a Patent Agent, that is unless the person
himself/herself and all of his/her partners are so registered as Patent Agent, should not either alone or in
any partnership with any other Patent Agent or practicing person, hold or describe himself/herself to be
a Patent Agent or permit himself/herself to be held out or described so as a Patent Agent.
 No Company or any other body corporate should practice, describe itself or hold itself out as a registered
Patent Agent or permit itself to be described or held out as a Patent Agent.
Furthermore, as per Rule 123 of the Patent Rules, 2003, if any person or a company contravenes the provisions
prescribed under Section 129 of the Patent Act, 1970, the person or the company should be punishable with fine
which can be extended to 1 lakh Rupees in case of the first offense and 5 lakh Rupees in case of the second
offense.
What are the grounds for Disqualifications for Registration of Patent Agent?
The Patent Rules under Rule 114 provides for the grounds of disqualification for Registration of Patent Agent in
India. The disqualifications are as follows:
 The person is declared of unsound mind by a competent court;

 The person is an undischarged insolvent;
 The person is convicted by any court within India or outside India should undergo an imprisonment for a
term, unless the person is pardoned for the committed offense or unless on an application made by the
person to the Central Government has removed the disability by passing an order in the behalf;
 Being a discharged insolvent, the person has not obtained a certificate to the effect that the insolvency
was caused by misfortune and there was no misconduct from his part;

lOMoARcPSD|13656579
 The person being a legal practitioner has been found guilty of some professional misconduct;
 The person being a Chartered Accountant (CA) has been found guilty of some misconduct or
negligence;

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Research methodology unit 1 230215 151157

Research methodology and ipr (Anna University)

Studocu is not sponsored or endorsed by any college or university

RM4151 - RESEARCH METHODOLOGY AND IPR UNIT - 1

RESEARCH METHODOLOGY AND IPR

Enunciating the problem

Collecting the facts or

data Analyzing the facts

Solutions(s) towards the problem Generalizations for some theoretical

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4. Desire to be of service to society

1. Formulating the research problem:

2. Extensive literature survey:

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RM4151 - RESEARCH METHODOLOGY AND IPR UNIT - 1

survey connected with the problem.

3. Development of working hypotheses:

Developing a working hypotheses:

5. Determining sample design:

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RM4151 - RESEARCH METHODOLOGY AND IPR UNIT - 1

6. Collecting the data:

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RM4151 - RESEARCH METHODOLOGY AND IPR UNIT - 1

7. Execution of the project:

10. Generalisations and interpretation:

11. Preparation of the report or the thesis:

The layout of the report should be as follows:

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RM4151 - RESEARCH METHODOLOGY AND IPR UNIT - 1

(b) Summary of findings

Research design definition

1. Accurate purpose statement

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Types and methodologies of Exploratory research

Primary research methods

Surveys/polls: Surveys/polls are used to gather information from a predefined group of

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RM4151 - RESEARCH METHODOLOGY AND IPR UNIT - 1

Observations: Observation research can be qualitative observation or quantitative

Secondary research methods

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RM4151 - RESEARCH METHODOLOGY AND IPR UNIT - 1

1.3 Qualitative research

Qualitative research is the opposite of quantitative research, which involves collecting

Qualitative research is commonly used in the humanities and social sciences, in

Qualitative research approaches

Approach What does it involve?

Ethnography Researchers immerse themselves in groups or organizations to

Action research Researchers and participants collaboratively link theory to practice to

Phenomenological Researchers investigate a phenomenon or event by describing and

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RM4151 - RESEARCH METHODOLOGY AND IPR UNIT - 1

Approach What does it involve?

Qualitative research methods

Qualitative data analysis

Advantages of qualitative research

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Data collection occurs in real-world contexts or in naturalistic ways.

Detailed descriptions of people’s experiences, feelings and perceptions can be used in