A first encounter with Form 6 often arises mid-prosecution, when an acquisition closes, an investor asks that IP sit in a new entity, or a joint applicant exits. The immediate worry is whether the application can seamlessly proceed in the correct name without losing dates or triggering oppositions. In Indian practice, Form 6 is the statutory gateway for changing the applicant before grant. It works only within the contours of Section 20 of the Patents Act and Rules 34 to 36, and it is distinct from post-grant title recordal. Understanding this separation avoids avoidable defects.
What is Form 6 and when is it used?
Form 6 is the “Claim or Request regarding any change in applicant for patent.” It is the prescribed vehicle to substitute or restructure the applicant on a pending Indian application before grant. The form itself cites Sections 20(1), 20(4) and 20(5) of the Act and Rules 34(1), 35(1) and 36(1) of the Rules.
Three statutory scenarios are covered by Section 20:
Assignment or operation of law, Section 20(1): if, before grant, a claimant shows entitlement by a written assignment, agreement, or by operation of law, the Controller may direct that the application proceed in the claimant’s name, or jointly with existing applicants as the case requires. The claim must be made in the prescribed manner.
Death of a joint applicant, Section 20(4): where a joint applicant dies before grant, the surviving applicant(s) can request that the application proceed in their name alone, with consent from the deceased’s legal representative.
Disagreement among joint applicants, Section 20(5): if joint applicants disagree on how to proceed, any joint applicant may seek the Controller’s directions.
The Rules that make Form 6 work
Each Section 20 scenario has a matching Rule and documentary discipline:
Rule 34 for Section 20(1): the claim must be made in Form 6, and the original assignment or agreement, or an official or notarised copy must be produced for the Controller’s inspection. The Controller may call for additional proof of title or written consents.
Rule 35 for Section 20(4): the request is made in Form 6 and must be accompanied by proof of death and probate or letters of administration, or other documents proving that the consenting person is the legal representative.
Rule 36 for Section 20(5): the application for directions is made in Form 6 in duplicate, with a full statement of facts and the exact directions sought. The Controller must send a copy to every other joint applicant.
Form 6 versus Form 16, and why timing matters
A recurring confusion is between pre-grant substitution and post-grant recordal of title. Form 6 is for pending applications under Section 20. Once a patent is granted, title transfers are recorded under Section 69, and the request is made using Form 16 with supporting deeds. Do not try to use Form 6 for a granted patent.
When can you file Form 6? Section 20 allows a claim any time before grant. In practice, filing early helps align the applicant’s identity across Form 1, power of attorney, and prosecution correspondence. Late substitution is still possible, but it can slow hearings or invite requisitions while the Controller verifies title.
How to complete Form 6 properly, step by step
1) Pick the right Section 20 route
Decide whether the case is assignment/operation of law (20(1)), death of joint applicant (20(4)), or disagreement (20(5)). The form text and the Rules map to these boxes.2) Attach the correct documents
For 20(1): assignment or agreement in writing, preferably the original or an official or notarised copy, plus any consents by existing joint applicants. Keep proof that, if a patent were granted, the claimant would be entitled to the whole or an undivided share.
For 20(4): proof of death and probate/letters of administration or equivalent proof that the consenting person is the legal representative.
For 20(5): a reasoned statement of facts and the directions sought, filed in duplicate.
3) Fill the Form 6 fields cleanly
The template prompts for the application number and date, names and addresses of the new applicant(s), reasons for the request, a list of enclosed documents, and the address for service in India. Sign as applicant or authorised agent. The form itself notes it is not applicable for mere change of name, which is handled separately, typically as a correction or by using amendment mechanisms if only a clerical change is involved.4) Fees and filing mode
Use the fee entry in the First Schedule for Form 6. E-filing is standard, and a 10 percent surcharge generally applies for physical filings under the Rules. Check the IPO’s “Forms and Fees” page for the current version and fee line item before you file.Practical chokepoints applicants overlook
Using Form 6 for a granted patent. Post-grant transfers are Section 69 + Form 16. Filing Form 6 after grant wastes time and fees.
Weak title proofs under Rule 34. Controllers can insist on originals or notarised copies and any further proof or consents. Assemble the chain cleanly, especially where there are multi-jurisdiction assignments or corporate restructurings.
Death of a joint applicant. Rule 35 is documentary heavy. Pair the death certificate with probate or letters of administration, or equivalent proof of legal representation, plus explicit consent.
Name corrections versus applicant substitution. A post-incorporation legal name change or a clerical misprint may be handled as a correction or amendment rather than a change in the applicant. Indian practice notes often route minor name corrections through Form 13 where appropriate, so resist overusing substitution if a lighter fix exists.
Mismatched records. Keep Form 6 consistent with Form 1 particulars, Form 26 power of attorney, and any WIPO or foreign family bibliographic data to avoid Section 8 and entitlement questions later.
What if the Controller sets a short timeline or asks for more proof?
Form 6 itself does not prescribe a rigid filing window beyond “before grant”, but Controllers often set time-bound requisitions for missing proofs or consents. After the 2024 Rule amendments, Rule 138 allows the Controller to extend or condone time for acts under the Rules on a Form 4 request, up to the permitted outer window. If additional documents are called for under Rules 34–36, consider pairing your response with Form 4 if more time is genuinely needed. Treat relief as discretionary and reason-based.
How Form 6 interacts with the rest of your file
Form 1 and Applicant Category: ensure the new applicant’s category for fees is accurate, since future fees ride on it.
Form 5 (Inventorship): Form 6 does not change inventorship. If inventorship needs correction, use the Section 28 pathway and relevant forms, not Form 6.
Post-grant recordal: once the patent grants, new assignments belong under Section 69 with Form 16 and Rule 92 recordal at the Register.
Jurisprudence and entitlement context
Section 20 changes are administrative but entitlement questions can be fact-intensive. Indian courts have treated ownership and entitlement with care. In disputes such as Darius Rutton Kavasmaneck v. Gharda Chemicals Ltd. in the Bombay High Court, the court had to examine whether rights should vest in an employer entity, illustrating why documentary entitlement and clean chains of title matter alongside procedural substitution. While Gharda was not a Section 20 ruling, it is a reminder that Form 6 regularises who prosecutes, it does not immunise you from later entitlement scrutiny. Keep your assignment trail airtight.
Frequently asked within the process
Is Form 6 the right tool if only the company’s legal name has changed after a merger but the legal entity is the same?
Often no. If it is a mere name change of the same legal person, explore a correction/amendment route rather than applicant substitution. Where an assignment to a different legal person occurred, use Form 6 with title proofs.Can we file Form 6 after examination has begun?
Yes, as long as the patent has not yet been granted. File early to avoid mismatched names across hearing notices and to minimise requisitions for synchronising powers of attorney or fee categories.What documents must accompany Form 6 for an assignment?
At minimum, the original or notarised assignment or agreement, plus any consents of joint applicants. The Controller may call for more proof of title.If a joint applicant dies, can the survivors proceed alone?
Yes, with Form 6, plus proof of death and probate/letters of administration or equivalent, and consent from the legal representative of the deceased.A quick do-it-right checklist for Form 6
Identify the correct Section 20 route and cite it on your cover.
Attach the right documentary proofs, aligned to Rules 34-36.
Keep Form 1, Form 26, and address for service consistent with the new applicant.
File Form 6 before grant, and use Form 16 after grant for title recordal.
If the Office sets short timelines for additional proofs, consider a Form 4 request for extra time with reasons.
Final takeaways
Form 6 is a precise pre-grant tool for aligning the right applicant to the Indian application. Anchor your request to the correct limb of Section 20, meet the documentary burdens under Rules 34–36, and avoid using Form 6 where a simple correction or a post-grant title recordal is actually required. Applicants who separate substitution from name corrections and from post-grant assignments, and who file complete, notarised title papers upfront, see faster directions and fewer prosecution hiccups.
