In the recent amendment to India’s Patent Rules, educational institutions were added alongside small entities and startups as eligible for preferential patent fees. The critical instrument for claiming this concession is Form 28. Many applicants still overlook or mis-file this form, losing substantial savings and procedural advantages. This article explains everything you must know about Form 28 - its legal basis, how to fill it, when to file, benefits, risks, and best practices.
Legal Basis & Rationale
Statutory & Rule Authority
Form 28 is prescribed under Rule 7 read with Rule 2(fa) (small entity), 2(fb) (startup), and now 2(ca) (educational institution) of the Patents Rules, 2003.
Under the Second Schedule / fee rules, every patent-office fee is differentiated into categories: “natural person / startup / small entity / educational institution” vs “others.” To avail the lower scale, the applicant must submit Form 28.
The 2020 and later amendments explicitly introduced educational institutions into the rebate regime, so that they enjoy fee parity with small entities and startups.
Thus, Form 28 is not optional when an applicant qualifies under any of these categories - it is the formal declaration that unlocks all reduced-fee treatment.
Why the concession exists
To encourage innovation from smaller institutions, startups, and educational entities, the government grants 80% fee concession (i.e. lower scale) for nearly all patent office fees.
Because patent prosecution can be expensive, this support helps democratize access to IP protection beyond large corporations.
It also provides clarity to the Patent Office about which category your application should be evaluated under (so that incorrect charging does not occur).
Who Can Use Form 28 - Eligibility
Form 28 can be used by:
Small Entity (under Rule 2(fa))
Indian entity: registered under the MSME Act, or otherwise qualifying under MSME criteria (investment in plant & machinery, turnover caps).
Foreign entity: may submit documents showing that it meets the relevant “small entity” criteria in its home jurisdiction, plus supporting financial statements or declaration.
Startup (under Rule 2(fb))
Indian startup: recognized by DPIIT (Govt of India) or otherwise satisfying the turnover / age / business criteria.
Foreign applicant: may submit equivalent documents, including certification of incorporation, turnover declarations, and business purpose statement.
Educational Institution (under Rule 2(ca))
Indian educational institution: a university established or incorporated by or under a Central, State, or Provincial Act, or any institution recognized by a designated authority of the government.
Foreign educational institution: can submit appropriate documents to prove its status abroad.
The Form itself includes all three categories, and you tick (or claim) whichever is applicable.
If your application or patent is later transferred to an entity that is not a natural person, small entity, startup, or educational institution, the difference in fees must be paid by the new applicant.
Contents & Format of Form 28
You can download the standard Form 28 from the IPO website.
Here is a breakdown of its parts:
Section | What to Fill / Include | Notes |
1. Name, address, nationality | “I/We … applicant / patentee in respect of the patent application no. … or patent no. … hereby declare …” | You declare which status you claim - small entity / startup / educational institution. |
2. Documents to be submitted (proof) | (i) for small entity: e.g. MSME registration certificate (for Indian) or financial statements (for foreign) (ii) for startup: supporting document of DPIIT recognition or business declaration (iii) for educational institution: appropriate recognition/institutional document | You must attach documentary evidence supporting your claim. |
3. Signature clause | Signed by applicant(s) / patentee(s) / authorized patent agent; date, place | A natural person’s name (if signing), and signature. |
4. Name of signatory | “Name of the natural person who has signed” | For clarity on who executed the declaration. |
You may need to affix stamp duty if required in your state. The Form itself does not carry a formal fee.
One point: Form 28 is not tied to a specific stage - it may be filed whenever you make a filing (application, examination, renewal, opposition etc.) for which the reduced fee is claimed.
Timing & When to Submit
At the time of filing any document for which the reduced fee is claimed: If you are claiming small entity/startup/educational institution status for a particular filing, you must accompany that filing with Form 28 and supporting proof.
If you delay or omit Form 28, the Patent Office may treat the filing as from a “large entity” and charge the full fee.
When transfer of ownership occurs (from a protected entity to a non-qualifying entity), you must pay the fee difference timely.
Benefits of Submitting Form 28
Reduced official fees (80% concession): All applicable patent office fees (filing, examination, renewals, oppositions etc.) will be charged at the lower “small entity / startup / educational institution” scale.
Expedited examination (for startups or educational institutions): Startups and educational institutions can request expedited examination by filing Form 18A along with Form 28.
Clarity and audit trail: Your status is formally recorded, reducing future disputes on fee scaling.
Policy support: It incentivises smaller actors and academic institutions to file patents by lowering cost barriers.
Risks, Pitfalls & Caution Points
Incorrect or false claim: If you claim a reduced class but later are found not to qualify (or transferred to non-qualifier), the Patent Office can demand the difference.
Incomplete proof: Submission of vague or insufficient evidence may lead to rejection of the reduced scale and reassessment at full fee.
Transfer consequences: As noted, when your patent or application changes hands, the new applicant must pay back the difference in fee.
Timeliness: If you submit a filing but forget Form 28, the reduced rate may be denied for that filing.
