Patent application detail for case 1 entitled powder formulation for valganciclovir.
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These books synthesize perspectives of renowned scientists from the world’s most prestigious institutions - from Fukushima Renewable Energy Institute in Japan to Stanford University in the United States, including Columbia University (US), University of Sidney (AU), University of Miami (USA), Cardiff University (UK), and many others.
\\n\\nThis collaboration embodied the true essence of Open Access by simplifying the approach to OA publishing for Academic editors and authors who contributed their research and allowed the new research to be made available free and open to anyone anywhere in the world.
\\n\\nTo celebrate the 50 books published, we have gathered them at one location - just one click away, so that you can easily browse the subjects of your interest, download the content directly, share it or read online.
\\n\\n\\n\\n\\n"}]',published:!0,mainMedia:null},components:[{type:"htmlEditorComponent",content:'
IntechOpen and Knowledge Unlatched formed a partnership to support researchers working in engineering sciences by enabling an easier approach to publishing Open Access content. Using the Knowledge Unlatched crowdfunding model to raise the publishing costs through libraries around the world, Open Access Publishing Fee (OAPF) was not required from the authors.
\n\nInitially, the partnership supported engineering research, but it soon grew to include physical and life sciences, attracting more researchers to the advantages of Open Access publishing.
\n\n\n\nThese books synthesize perspectives of renowned scientists from the world’s most prestigious institutions - from Fukushima Renewable Energy Institute in Japan to Stanford University in the United States, including Columbia University (US), University of Sidney (AU), University of Miami (USA), Cardiff University (UK), and many others.
\n\nThis collaboration embodied the true essence of Open Access by simplifying the approach to OA publishing for Academic editors and authors who contributed their research and allowed the new research to be made available free and open to anyone anywhere in the world.
\n\nTo celebrate the 50 books published, we have gathered them at one location - just one click away, so that you can easily browse the subjects of your interest, download the content directly, share it or read online.
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Perturbation theory provides effective tools for obtaining approximate analytical solutions to a wide variety of such nonlinear problems, which may include differential or difference equations. In this book, we aim to present the recent developments and applications of the perturbation theory for treating problems in applied mathematics, physics and engineering. The eight chapters cover a variety of topics related to perturbation methods. The book is intended to draw attention of researchers and scientist in academia and industry.",isbn:"978-1-78984-256-2",printIsbn:"978-1-78984-255-5",pdfIsbn:"978-1-83881-668-1",doi:"10.5772/intechopen.72260",price:119,priceEur:129,priceUsd:155,slug:"perturbation-methods-with-applications-in-science-and-engineering",numberOfPages:168,isOpenForSubmission:!1,isInWos:null,isInBkci:!1,hash:"4eb95b646172fe61a2068c4a98ac13e4",bookSignature:"İlkay Bakırtaş",publishedDate:"October 17th 2018",coverURL:"https://cdn.intechopen.com/books/images_new/6716.jpg",numberOfDownloads:7455,numberOfWosCitations:3,numberOfCrossrefCitations:4,numberOfCrossrefCitationsByBook:0,numberOfDimensionsCitations:5,numberOfDimensionsCitationsByBook:0,hasAltmetrics:0,numberOfTotalCitations:12,isAvailableForWebshopOrdering:!0,dateEndFirstStepPublish:"December 12th 2017",dateEndSecondStepPublish:"January 11th 2018",dateEndThirdStepPublish:"March 3rd 2018",dateEndFourthStepPublish:"May 22nd 2018",dateEndFifthStepPublish:"July 21st 2018",currentStepOfPublishingProcess:5,indexedIn:"1,2,3,4,5,6,7",editedByType:"Edited by",kuFlag:!1,featuredMarkup:null,editors:[{id:"186388",title:"Prof.",name:"İlkay",middleName:null,surname:"Bakırtaş",slug:"ilkay-bakirtas",fullName:"İlkay Bakırtaş",profilePictureURL:"https://mts.intechopen.com/storage/users/186388/images/system/186388.jpeg",biography:"Dr. İlkay Bakırtaş is a Professor of Applied Mathematics, Department of Mathematics, Istanbul Technical University (ITU), Turkey. She received her Ph.D. in Mechanics from the same university in 2003. She completed her postdoctoral studies at the University of Colorado at Boulder, USA. She has published eighteen research papers in peer-reviewed journals, four book chapters, and twenty-one conference proceedings in the fields of perturbation methods, nonlinear wave propagation in arteries, optical solitons and wave collapse in optics, and water waves problems. She is the editor of the books Perturbation Methods with Applications in Science and Engineering and Nonlinear Optics - From Solitons to Similaritons. Dr. Bakırtaş is a member of the Scientific Committee of the Turkish National Committee of Theoretical and Applied Mechanics (TUMTMK). She was awarded the 2004 Dr. Serhat Ozyar Young Scientist of the Year Award and the 2003 Best Ph.D. Dissertation Award from TUMTMK",institutionString:"Istanbul Technical University",position:null,outsideEditionCount:0,totalCites:0,totalAuthoredChapters:"2",totalChapterViews:"0",totalEditedBooks:"2",institution:{name:"Istanbul Technical University",institutionURL:null,country:{name:"Turkey"}}}],equalEditorOne:null,equalEditorTwo:null,equalEditorThree:null,coeditorOne:null,coeditorTwo:null,coeditorThree:null,coeditorFour:null,coeditorFive:null,topics:[{id:"970",title:"Mathematical Physics",slug:"mathematical-physics"}],chapters:[{id:"61154",title:"Density Functional Perturbation Theory to Predict Piezoelectric Properties",doi:"10.5772/intechopen.76827",slug:"density-functional-perturbation-theory-to-predict-piezoelectric-properties",totalDownloads:1545,totalCrossrefCites:1,totalDimensionsCites:1,hasAltmetrics:0,abstract:"Among the various computational methods in materials science, only first-principles calculation based on the density functional theory has predictability for unknown material. Especially, density functional perturbation theory (DFPT) can effectively calculate the second derivative of the total energy with respect to the atomic displacement. By using DFPT method, we can predict piezoelectric constants, dielectric constants, elastic constants, and phonon dispersion relationship of any given crystal structure. Recently, we established the computational technique to decompose piezoelectric constants into each atomic contribution, which enable us to gain deeper insights to understand the piezoelectricity of material. Therefore, in this chapter, we will introduce the computational framework to predict piezoelectric properties of polar material by means of DFPT and details of decomposition technique of piezoelectric constants. Then, we will show some case studies to predict and discover new piezoelectric material.",signatures:"Kaoru Nakamura, Sadao Higuchi and Toshiharu Ohnuma",downloadPdfUrl:"/chapter/pdf-download/61154",previewPdfUrl:"/chapter/pdf-preview/61154",authors:[{id:"234208",title:"M.Sc.",name:"Kaoru",surname:"Nakamura",slug:"kaoru-nakamura",fullName:"Kaoru Nakamura"},{id:"248758",title:"Dr.",name:"Sadao",surname:"Higuchi",slug:"sadao-higuchi",fullName:"Sadao Higuchi"},{id:"248760",title:"Dr.",name:"Toshiharu",surname:"Ohnuma",slug:"toshiharu-ohnuma",fullName:"Toshiharu Ohnuma"}],corrections:null},{id:"59753",title:"Sliding-Mode Perturbation Observer-Based Sliding-Mode Control for VSC-HVDC Systems",doi:"10.5772/intechopen.74717",slug:"sliding-mode-perturbation-observer-based-sliding-mode-control-for-vsc-hvdc-systems",totalDownloads:1037,totalCrossrefCites:2,totalDimensionsCites:2,hasAltmetrics:0,abstract:"This chapter develops a sliding-mode perturbation observer-based sliding-mode control (POSMC) scheme for voltage source converter-based high voltage direct current (VSC-HVDC) systems. The combinatorial effect of nonlinearities, parameter uncertainties, unmodeled dynamics, and time-varying external disturbances is aggregated into a perturbation, which is estimated online by a sliding-mode state and perturbation observer (SMSPO). POSMC does not require an accurate VSC-HVDC system model and only the reactive power and DC voltage at the rectifier side while reactive and active powers at the inverter side need to be measured. Additionally, a considerable robustness can be provided through the real-time compensation of the perturbation, in which the upper bound of perturbation is replaced by the real-time estimation of the perturbation, such that the over-conservativeness of conventional sliding-mode control (SMC) can be effectively reduced. Four case studies are carried out on the VSC-HVDC system, such as active and reactive power tracking, AC bus fault, system parameter uncertainties, and weak AC gird connection. Simulation results verify its advantages over vector control and feedback linearization sliding-mode control. Then, a dSPACE-based hardware-in-the-loop (HIL) test is undertaken to validate the implementation feasibility of the proposed approach.",signatures:"Bo Yang, Tao Yu, Hongchun Shu and Pulin Cao",downloadPdfUrl:"/chapter/pdf-download/59753",previewPdfUrl:"/chapter/pdf-preview/59753",authors:[{id:"234525",title:"Dr.",name:"Bo",surname:"Yang",slug:"bo-yang",fullName:"Bo Yang"},{id:"235838",title:"Prof.",name:"Tao",surname:"Yu",slug:"tao-yu",fullName:"Tao Yu"},{id:"236072",title:"Prof.",name:"Hongchun",surname:"Shu",slug:"hongchun-shu",fullName:"Hongchun Shu"},{id:"236074",title:"Dr.",name:"Pulin",surname:"Cao",slug:"pulin-cao",fullName:"Pulin Cao"}],corrections:null},{id:"62814",title:"A Formal Perturbation Theory of Carleman Operators",doi:"10.5772/intechopen.79022",slug:"a-formal-perturbation-theory-of-carleman-operators",totalDownloads:661,totalCrossrefCites:0,totalDimensionsCites:0,hasAltmetrics:0,abstract:"In this chapter, we introduce a multiplication operation that allows us to give to the Carleman integral operator of second class the form of a multiplication operator. Also we establish the formal theory of perturbation of such operators.",signatures:"Sidi Mohamed Bahri",downloadPdfUrl:"/chapter/pdf-download/62814",previewPdfUrl:"/chapter/pdf-preview/62814",authors:[{id:"234722",title:"Prof.",name:"Bahri",surname:"Sidi Mohammed",slug:"bahri-sidi-mohammed",fullName:"Bahri Sidi Mohammed"}],corrections:null},{id:"63232",title:"On Optimal and Simultaneous Stochastic Perturbations with Application to Estimation of High-Dimensional Matrix and Data Assimilation in High-Dimensional Systems",doi:"10.5772/intechopen.77273",slug:"on-optimal-and-simultaneous-stochastic-perturbations-with-application-to-estimation-of-high-dimensio",totalDownloads:789,totalCrossrefCites:0,totalDimensionsCites:0,hasAltmetrics:0,abstract:"This chapter is devoted to different types of optimal perturbations (OP), deterministic, stochastic, OP in an invariant subspace, and simultaneous stochastic perturbations (SSP). The definitions of OPs are given. It will be shown how the OPs are important for the study on the predictability of behavior of system dynamics, generating ensemble forecasts as well as in the design of a stable filter. A variety of algorithm-based SSP methodology for estimation and decomposition of very high-dimensional (Hd) matrices are presented. Numerical experiments will be presented to illustrate the efficiency and benefice of the perturbation technique.",signatures:"Hong Son Hoang and Remy Baraille",downloadPdfUrl:"/chapter/pdf-download/63232",previewPdfUrl:"/chapter/pdf-preview/63232",authors:[{id:"188919",title:"Dr.",name:"Hong Son",surname:"Hoang",slug:"hong-son-hoang",fullName:"Hong Son Hoang"},{id:"236471",title:"Dr.",name:"Rémy",surname:"Baraille",slug:"remy-baraille",fullName:"Rémy Baraille"}],corrections:null},{id:"62696",title:"Periodic Perturbations: Parametric Systems",doi:"10.5772/intechopen.79513",slug:"periodic-perturbations-parametric-systems",totalDownloads:830,totalCrossrefCites:0,totalDimensionsCites:0,hasAltmetrics:0,abstract:"We are not going to present the classical results on linear parametric systems, since they are widely discussed in literature. Instead, we shall consider nonlinear parametric systems and discuss the conditions of new motion existence in the resonance zones: the regular ones (on an invariant torus) and the irregular ones (on a quasi-attractor). On the basis of the self-oscillatory shortened system which determines the topology of resonance zones, we study the transition from a resonance to a non-resonance case under a change of the detuning. We then apply our results to some concrete examples. It is interesting to study the behavior of a parametric system when the ring-like resonance zone is contracted into a point, i.e., to describe the bifurcations which occur in the course of transition from the plain nonlinear resonance to the parametric one. We are based on article, and we follow a material from the book.",signatures:"Albert Morozov",downloadPdfUrl:"/chapter/pdf-download/62696",previewPdfUrl:"/chapter/pdf-preview/62696",authors:[{id:"235840",title:"Prof.",name:"Albert",surname:"Morozov",slug:"albert-morozov",fullName:"Albert Morozov"}],corrections:null},{id:"61958",title:"Mechanical Perturbations at the Working Electrode to Materials Synthesis by Electrodeposition",doi:"10.5772/intechopen.78544",slug:"mechanical-perturbations-at-the-working-electrode-to-materials-synthesis-by-electrodeposition",totalDownloads:912,totalCrossrefCites:0,totalDimensionsCites:0,hasAltmetrics:0,abstract:"Applying mechanical perturbations at the working electrode during the electrodeposition process is a novel strategy for materials synthesis that has been used for Cu(In,Ga)Se2 (CIGS) thin film synthesis. A mechanical perturbations strategy was applied during one-step electrodeposition, and the results are compared with the traditional one-step electrodeposition where no mechanical perturbations were applied. In both cases, a potentiostatic mode was employed, where DC potential is applied to the working electrode with respect to the reference electrode; the potential is regulated by the current at an auxiliary electrode. The CIGS films obtained from both strategies were analyzed as electrodeposited and after being annealed in a selenium atmosphere. The annealed film morphology obtained with the potentiostatic mode plus periodical mechanical perturbations was denser and more compact than the film without mechanical perturbations. Using contour lines, the morphology evolution and mass transport distribution on the working electrode during the electrodeposition process are explained.",signatures:"Baudel Lara Lara, Arturo Fernández Madrigal, Lizbeth Morales Salas\nand Alejandro Altamirano Gutiérrez",downloadPdfUrl:"/chapter/pdf-download/61958",previewPdfUrl:"/chapter/pdf-preview/61958",authors:[{id:"239026",title:"Ph.D.",name:"Baudel",surname:"Lara",slug:"baudel-lara",fullName:"Baudel Lara"},{id:"240490",title:"Dr.",name:"Arturo",surname:"Fernández",slug:"arturo-fernandez",fullName:"Arturo Fernández"},{id:"252578",title:"Dr.",name:"Lizbeth",surname:"Morales",slug:"lizbeth-morales",fullName:"Lizbeth Morales"},{id:"253232",title:"Dr.",name:"Alejandro",surname:"Altamirano",slug:"alejandro-altamirano",fullName:"Alejandro Altamirano"}],corrections:null},{id:"61605",title:"Application of the Method of Matched Asymptotic Expansions to Solve a Nonlinear Pseudo-Parabolic Equation: The Saturation Convection-Dispersion Equation",doi:"10.5772/intechopen.76828",slug:"application-of-the-method-of-matched-asymptotic-expansions-to-solve-a-nonlinear-pseudo-parabolic-equ",totalDownloads:900,totalCrossrefCites:1,totalDimensionsCites:2,hasAltmetrics:0,abstract:"In this work, we apply the method of matched asymptotic expansions to solve the one-dimensional saturation convection-dispersion equation, a nonlinear pseudo-parabolic partial differential equation. This equation is one of the governing equations for two-phase flow in a porous media when including capillary pressure effects, for the specific initial and boundary conditions arising when injecting water in an infinite radial piecewise homogeneous horizontal medium containing oil and water. The method of matched asymptotic expansions combines inner and outer expansions to construct the global solution. In here, the outer expansion corresponds to the solution of the nonlinear first-order hyperbolic equation obtained when the dispersion effects driven by capillary pressure became negligible. This equation has a monotonic flux function with an inflection point, and its weak solution can be found by applying the method of characteristics. The inner expansion corresponds to the shock layer, which is modeled as a traveling wave obtained by a stretching transformation of the partial differential equation. In the transformed domain, the traveling wave solution is solved using regular perturbation theory. By combining the solution for saturation with the so-called Thompson-Reynolds steady-state theory for obtaining the pressure, one can obtain an approximate analytical solution for the wellbore pressure, which can be used as the forward solution which analyzes pressure data by pressure-transient analysis.",signatures:"Cíntia Gonçalves Machado and Albert C. Reynolds",downloadPdfUrl:"/chapter/pdf-download/61605",previewPdfUrl:"/chapter/pdf-preview/61605",authors:[{id:"241097",title:"Prof.",name:"Albert",surname:"Reynolds",slug:"albert-reynolds",fullName:"Albert Reynolds"},{id:"241289",title:"MSc.",name:"Cintia",surname:"Machado",slug:"cintia-machado",fullName:"Cintia Machado"}],corrections:null},{id:"62890",title:"Perturbation Method for Solar/Infrared Radiative Transfer in a Scattering Medium with Vertical Inhomogeneity in Internal Optical Properties",doi:"10.5772/intechopen.77147",slug:"perturbation-method-for-solar-infrared-radiative-transfer-in-a-scattering-medium-with-vertical-inhom",totalDownloads:781,totalCrossrefCites:0,totalDimensionsCites:0,hasAltmetrics:0,abstract:"A new scheme based on perturbation method is presented to solve the problem of solar/infrared radiative transfer (SRT/IRT) in a scattering medium, in which the inherent optical properties (IOPs) are vertically inhomogeneous. The Eddington approximation for SRT and the two-stream approximation for IRT are used as the zeroth-order solution, and multiple-scattering effect of inhomogeneous IOPs is included in the first-order solution. Observations show that the stratocumulus clouds are vertically inhomogeneous, and the accuracy of SRT/IRT for stratocumulus clouds by different solutions is evaluated. In the spectral band of 0.25–0.69 μm, the relative error in absorption with inhomogeneous SRT solution is 1.4% at most, but with the homogeneous SRT solution, it can be up to 7.4%. In the spectral band of 5–8 μm, the maximum relative error of downward emissivity can reach −11% for the homogeneous IRT solution but only −2% for the inhomogeneous IRT solution.",signatures:"Yi-Ning Shi, Feng Zhang, Jia-Ren Yan, Qiu-Run Yu and Jiangnan Li",downloadPdfUrl:"/chapter/pdf-download/62890",previewPdfUrl:"/chapter/pdf-preview/62890",authors:[{id:"241197",title:"Prof.",name:"Feng",surname:"Zhang",slug:"feng-zhang",fullName:"Feng Zhang"},{id:"248843",title:"Dr.",name:"Yining",surname:"Shi",slug:"yining-shi",fullName:"Yining Shi"},{id:"248845",title:"Mr.",name:"Jia-Ren",surname:"Yan",slug:"jia-ren-yan",fullName:"Jia-Ren Yan"},{id:"248846",title:"M.Sc.",name:"Qiu-Run",surname:"Yu",slug:"qiu-run-yu",fullName:"Qiu-Run Yu"},{id:"248847",title:"Prof.",name:"Jiangnan",surname:"Li",slug:"jiangnan-li",fullName:"Jiangnan Li"}],corrections:null}],productType:{id:"1",title:"Edited Volume",chapterContentType:"chapter",authoredCaption:"Edited 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\r\n\tMicrofluidics and Nanofluidics referred to a technology where fluid flows are from the macroscale down to the nanoscale traditionally used as key components of control and sensing systems. Nowadays, the research and application areas of Microfluidics and Nanofluidics have been greatly expanded to advanced materials, biochemistry, new energy, single-cell/single-molecule studies, human health, and so forth. Microfluidics and Nanofluidics deal with transport phenomena, i.e., mass, momentum, and heat transfer, in the micrometer or nanometer range, and conventional fluid dynamics cannot be directly used in this area. The possible challenge in fluid properties must be considered. Thus, in the last two decades, the fundamental theories, as well as their application, have been rapidly in Microfluidics and Nanofluidics. Therefore, this book aims to host original research or review works addressing the fundamentals and applications of any functional flow in Microfluidics and Nanofluidics. The potential topics include all aspects of microfluidics, nanofluidics, and lab-on-a-chip science and technology, it might be (but are not limited to) fundamental principles of micro-and nanoscale phenomena like flow, mass transport and reactions, theoretical models, and numerical simulation with experimental and/or analytical proof, micromixer device, and particle manipulation. Experimental and numerical studies are welcome.
\r\n\t
The three patentability criteria for any inventions are novelty, non-obviousness and industrial applicability. Few inventions fulfilled all three patentable criteria but still not patentable based on morality, public order or human rights considerations of each country. The Indian patent rights provide mutual benefits to the patent holder and user of patented medicine by considering socio economical welfare of the society [1, 2, 3, 4, 5].
As per the Indian Patent Act, Section 2 describes patentability criteria, whereas Sections 3 and 4 describe non-patentable inventions [6, 7].
India has stringent patenting system, policies and enforcement system to protect IPR laws. Due to the TRIPs Agreement and amendments in the Indian Patent Act, technological innovations are encouraged and protected in India [8, 9]. As per Indian Patent Act, Section 15 deals with the power of the controller to refuse applications for grant of patent [10, 11].
As per WIPO statistical database September 2018, 45,379 patent applications were filed in India. Out of which 12,387 applications were granted and 29,789 applications were withdrawn or abandoned by the applicants. About 3203 patents were rejected on the ground of non-fulfillment of patentability criteria by the invention i.e. novelty, non – obviousness and industrial applicability or non-patentability criteria mentioned under Sections 3 and 4 of Indian Patent Act [12]. Indian Patent office rejected 1723 pharmaceutical patent applications between January 2009 and January 2017. Among them, 945, 466 and 1113 patents were rejected based on Sections 2(1)(j), 2(1)(ja) and Section 3, respectively. Ground for patents rejection may be one or more for one case [13]. As per Annual report of IPR 2017–2018 in India, number of patent applications examined, number of grant of patents and disposal of applications increased by 108.2, 32.5 and 57.6%, respectively as compared to 2016–2017 [14].
Sections 2 and 3 were the major reasons for the rejection of patents filled in India hence some case studies related to rejected patents are discussed in this chapter.
Section 2 describes the patentability criteria of inventions.
Section 2(j) Inventions means a new product or process which involves an inventing step and having industrial applicability;
Section 2(ja) Inventive step means invention should show technical advancement in comparison with the existing knowledge or having economic significance or both and invention must not be obvious to a person skilled in the art;
Section 2(1)(ac) “capable of industrial application”, in relation to an invention, means that the invention is capable of being made or used in an industry [15, 16].
Patent application detail of case 1 is given in Table 1. The solid-state of valganciclovir hydrochloride exhibits acceptable physical, chemical, and light stability when stored under ambient conditions. The applicant prepared a liquid dosage form of valganciclovir hydrochloride for the pediatric patient as well as for patients who require flexibility. However, short-term stability data indicated that a liquid dosage form would be unstable for the anticipated shelf life of the product.
Patent application detail for case 1 entitled powder formulation for valganciclovir.
The applicants, therefore, focused on powder dosage forms, for later constitution with water, to provide reasonable shelf life for valganciclovir hydrochloride and the resulting (constituted) liquid dosage form. The formulation procedure was changed from a dry mix granulation to a wet mix granulation. Because valganciclovir hydrochloride is readily soluble under acidic conditions, a solid pharmaceutical dosage form must contain an organic acid present in an amount sufficient to solubilize and stabilize the valganciclovir hydrochloride in a predetermined amount of water for the proposed shelf life of the resulting (constituted) liquid dosage form. Hygroscopic organic acids were found to degrade the solid valganciclovir hydrochloride pharmaceutical dosage forms. Therefore, the applicant’s claimed for a solid pharmaceutical dosage form which needs to be reconstituted in water before giving by the oral route. The product contained a therapeutically effective amount of drug (valganciclovir hydrochloride) and non-hygroscopic organic acid present in an amount sufficient to stabilize the drug in a predetermined amount of water. They claimed non-hygroscopic organic acid from the group consisting of fumaric acid, succinic acid, and adipic acid and amount of that acid was selected such to lower the pH of the constituted solution of valganciclovir hydrochloride to 3.8 or below.
The patent examiner argued that stability of valganciclovir below pH 3.8, using organic acid i.e. citric acid, is already reported in the prior art. Thus, there is no technical advancement achieved from the present invention. As the patent did not involve any inventive step, it was refused as per Section 15 on the ground of Section 2(1)(ja) of the Patent Act [17]. Examination report of the case can be studied in detail from Dynamic Patent Utilities: The Controller’s Decision mentioned on website of Indian patent.
Section 3 of Indian Patent Act describes non-patentable inventions.
Section 3(a). An invention which is frivolous or which claims anything obviously contrary to well established natural laws [16];
Example: Machine that gives more than 100% performance, A perpetual motion machine of the first generation which claimed to produce work without energy input which is contrary to law of thermodynamics (law of conservation of energy - energy can be neither created nor destroyed. It simply changes from one form to another).
This invention claimed to produce a powder delivery wheel, which is a perpetual motion machine working by gravitational force. This machine was claimed to be never stopped except human means. The claimed machine was a stationary engine of the unlimited size which was capable of continuous power output from gravity force and the gravity force can be universally available in any planet. The patent was abandoned under Section 21(1)on the ground of
Patent application detail for case 2 entitled “Gravy wheel – a perpetual motion machine.”
Section 3(b). An invention the primary or intended use or commercial exploitation of which could be contrary to public order or morality or which causes serious prejudice to human, animal or plant life or health or to the environment [16];
Example: The Oncomouse, genetically modified to develop cancer for the purposes of medical research is not patentable because cancer can be transmitted to the public [20, 21].
Companies developing animal models are arguing for patenting of animal models as 1. Microorganisms are now patentable, 2. Animal models are very close to human disease and hence contribute significantly to the process of drug discovery, and 3. The patents provide a means of compensation for investment of millions of dollars in research which in turn stimulates further research and eventually better treatments. However, based on ground of morality and reproducibility the patent applications on animal models are not granted [22, 23, 24].
Patent application detail of case 3 is listed in Table 3.
Patent application detail for case 3 for electro-mechanical sexual stimulation device.
This patent deals with sexual stimulating vibrator and its intended use or commercial exploitation which is contrary to public order or morality hence the patent was rejected based on ground Section
Claims 1 and 17 have been drafted as separate independent claims although they belong to the same category of claims. Said claims, therefore, lack clarity and conciseness under Section
Claims lack Novelty and/or Inventive step of
Patent drafting errors in abstract and drawing were also mentioned in the report.
Applicant or applicant’s agent neither appeared for the hearing on the scheduled date nor filed any written submission in response to the hearing notice [17].
Section 3(c). The mere discovery of a scientific principle or the formulation of an abstract theory or discovery of any living thing or non-living substance occurring in nature [16];
Example: Newton’s Laws, Discovery of micro-organism, Raman effect and Theory of Relativity [25].
Patent application detail of case 4 is given in Table 4.
Patent application details for case 4—gene family (LBLF313) associated with pancreatic cancer.
The invention relates generally to the changes in gene expression in human pancreatic adenocarcinoma. The invention relates specifically to a human gene family which is differentially expressed in cancerous pancreatic tissues compared to corresponding non-cancerous pancreatic tissues.
The hearing was offered on 10th April, 2014 intimating the following outstanding objections:
The applicant used 777 base pairs and in prior art it was 764 base pairs. The claimed sequence ID having extra 13 base pairs but the applicant does not show any advantages due to these extra 13 nucleotide base pairs. Further, it is very much possible that the 764 base pairs may retain the natural property.
Objection 2 of FER is not met as amended claim 6(Production of Polyclonal Anti-LBFL313 Antibody) is directed to a host cell, which is not allowable u/s 3 (j) of the Act.
Objection 3 of FER is not met as the amended claims 1–4 & 7–8 are not patentable as the subject matter of claim 1–4 are directed to isolated nucleic acid/PP sequence from human genomic DNA, which is considered to be an isolated nonliving substance occurring in nature, is not allowable to be patented under the provision of Section 3(c) of the Act in the absence of any clear cut recombination in these molecules. The same observation applies to the subject-matter of claim 7–8, which encodes polypeptides from the isolated nucleic acid of claims 1 i.e. sequence ID No-2.It already stated that said nucleotide sequence is isolated from nature, the polypeptide, which encodes by them, would be available in the source from which the said nucleic acid is isolated. Consequently, the subject-matter of claims 7–8 also falls within the scope of Section 3 (c) of the Act. 3.
Amended claims 7 and 8 does not sufficiently define the invention, Claims should contain all the essential feature of the polypeptide which refers by its amino acid sequence ID, not by its nucleotide sequence ID. As stated above the said claim should be defined by its essential technical features, if any, otherwise it is not acceptable in the present form.
While filing amended claims the applicant should at the same time bring the description into conformity with the amended claims. Care should be taken during revision, not to add subject matter, which extends beyond the content of the application as originally filed.
In reply to the hearing notice, the Applicant’s agent submitted a faxed letter dated 9th April, 2014 with the following statement: “We have been informed by our client that they are not interested in pursuing this application further and accordingly we will not be attending the hearing scheduled for April 10, 2014”. Considering the Applicant’s interest of not to pursue the instant application, it is hereby decided that the requirements communicated in the hearing notice are still outstanding and hence, the application was refused for grant of a patent [17].
Section 3(d). Section 3(d) of the Patents Act 1970 was as follows: The simple discovery of any new attributes or new utility for a known substance or of the mere utilization of a known method, machine or apparatus except if such known method results in a new product or employs at least one new reactant;
Section 3(d) of the Patents Act 1970 was amended in 2005 as follows: the simple discovery of a new form of a known substance which fails to result in the improvement of the known efficacy of that substance or the simple discovery of any new attribute or new utility for a known substance or of the mere application of a known method, machine or apparatus unless such known method results in a new product or employs at least one new reactant. Explanation—For the purposes of this clause, salts, esters, ethers, polymorphs, metabolites, pure form, particle size, isomers, mixtures of isomers, complexes, combinations and other derivatives of known substance shall be anticipated to be the same substance, unless they vary significantly in properties with consideration to efficacy [26, 27].
As per Trade-Related Aspects of Intellectual Property Rights (TRIPS) agreement, India has started providing product patent After 1 January 1995 [28, 29]. Novartis filed patent applications of pharmaceutically acceptable salts of a drug - “imatinib” and the patents were granted in the USA. After this Novartis filled patents application which claimed for “beta crystalline” form of imatinib mesylate and a patent was granted in the USA and other countries. The Indian Patent Office rejected the patent based on the ground of failure to promise novelty and non-obviousness. They said it is a modified version of an existing drug hence on the ground of Section 3(d) the patent cannot be granted. Novartis argued that beta crystalline form is a polymorph of imatinib mesylate and it showed better flow property, improvement in thermodynamic stability, reduced hygroscopicity and augmented bioavailability. At last, the Supreme Court declared that although the beta crystalline form of imatinib mesylate enhanced the bioavailability of the drug, it did not prove enhancement of efficacy hence it was found to be non-patentable under
In 2015, the patent of BoehringerIngelheim Pharma GmbH & Co for drug “Spiriva®” was granted even after pre-grant opposition by one domestic firm. Cipla proceeded for post grant approval and the patent was revoked [34].
Section 3(d) has created a significant impact in determining the patentability of pharmaceutical derivatives in India [35]. Indian Patent Office opposes the concept of “evergreening” which is a practice of inventors of patented products for extending their monopoly period by various strategies (for example over associated delivery systems, or new pharmaceutical mixtures, etc.) [36, 37].
Section 3(e). A product obtained by a mere admixture resulting only in the aggregation of the properties of the components thereof or a process for producing such substance [16];
Patent application detail of case 6 is given in Table 5.
Patent application details for case entitled Sterile Pharmaceutical Composition.
The applicant’s claim 1 includes a sterile pharmaceutical composition including a water-insoluble anticancer agent and a pharmaceutically acceptable carrier, albumin. The ratio (w/w) of albumin to the anticancer agent was 1:1 to 9:1. The applicant claimed that the size of particles was less than 200 nm. Claims 2 to 12 were dependent claims which depend on claim 1.
The opposition was filed by M/s Natco Pharma Ltd., Hyderabad. Based on submitted documents and hearing from both the parties, the patent application was refused under Section 15 based on ground section u/s 2(1)(j), u/s 3(e) and u/s 10 of the Patents Act, 1970 on 24/07/2009.
The applicant filed an appeal in ‘Intellectual Property Appellate Board’ (IPAB) against the said decision. The Hon’ble IPAB again reconsiders the case on dated 20/01/2014.
Second representation was considered by Assistant Controller as revised fresh representation and not the continuous hearing as the applicants have amended the claims 1 day before the hearing and opponent came to know it on the day of hearing (09/04/2009).
After hearings, the patent was refused on the ground of u/s
Patent application detail of case 7 is reported in Table 6. The application was rejected by Indian Patent Office of Sigma-Tau Industrie Farmaceutiche Riunite S.P.A of Italy as it does not mate the requirements of Section 2(1)(j), Section 3(d), Section 3(e) and Section 3(n) of the Patents Act, 1970. The claims were aimed at a solid powder comprising a mixture of (a) a carboxy vinyl polymer as a gelling agent; (b) a buffer; (c) a saccharide, (d) one or more drugs used for the treatment of diseases of the eye. However, the Controller was dissatisfied by applicant’s reply to the FER and sustained objection therein and gave the applicant’s a chance to be heard.
Patent application details for case 7 – gel useful for the delivery of ophthalmic drugs.
The Controller sustained the objections that the amendments to claim 1 did not hold as per Section 59 (1) read with Section 57(2) of the Patent Act; revised claims were not novel, obvious and did not comprise an inventive step w.r.t. cited prior art documents; the revised claims were unacceptable under Section 3(d), Section 3(e) and Section 3(n) of the Patents Act, 1970 and last of all a few of the claims were ambiguous.
After conducting trial, the Controller accepted the agent’s submissions that the amended claim 1 contained by the scope of the firstly filed PCT claims and hence was in consonance with the provisions of Section 59(1) and 57(2) of the Indian Patents Act. Further, claims remonstrated under Section 3(n) were also deleted.
With reference to Section 2(1)(j), the Controller in his verdict stated that the composition of the ophthalmic preparation (solid powder) of the claimed invention was not novel since all the ingredients were unveiled in the prior art, hence, the product did not meet the criteria as a “new” product. Further, the inventive step is missing in the drug delivery system claimed as no therapeutic efficacy was exhibited. Creating a drug delivery system (powder or gel) of different well known components and verifying release rate of drug (amount of drug released after 30 min to 6 h) are regular experimentation carried out by medicinal chemist or trained artisan. The rejection was on the basis of Section 2(1)(j). Merely showing enhancement in bioavailability and retention time of the drug system was not adequate to evade the requirements of Section 3(d) and data indicative of the therapeutic efficacy was needed for the product. In absence of such data, the drug delivery system as claimed was precluded under
Section 3(f). The mere arrangement or re-arrangement or duplication of known devices each functioning independently of one another in a known way [39];
Section 3(g). Omitted by the Patents (Amendment) Act, 2002.
Section 3(g) was as follows: ‘a method or process of testing applicable during the process of manufacture for rendering the machine, apparatus, or other equipment more efficient or for the improvement or restoration of the existing machine, apparatus or other equipment or for the improvement or control of manufacture’. Omission of this section widens the scope of patentability [40].
Section 3(h). A method of agriculture or horticulture(Note: But Agricultural Equipment are patentable) [16].
Patent application detail of the case is given in Table 7. The applicant claimed that carnivorous plant can be used as a medium for the production of the protein of interest. The applicant claimed a process in which plant was genetically modified by transformation and protein was expressed in the digestive secretion of the genetically modified plant. Hence, this patent application was refused under Section 15 based on ground of
Patent application detail for case 8 entitled “Process for the production of recombinant proteins using carnivorous plants.”
Section 3(i). Any process for the medicinal, surgical, curative, prophylactic, diagnostic, therapeutic or other treatment of human beings or any process for a similar treatment of animals to render them free of disease or to increase their economic value or that of their products [16];
Table 8 enlists patent application detail of case 9.
Patent application details for case 9 – method for hybrid gastro-jejunostomy.
The invention is related to methods for joining one piece to the tissue to another piece of tissue. In one embodiment, the method can include inserting an applier device having an actuation portion into a first body lumen through a natural body orifice, forming a first opening in a first piece of tissue within the first lumen and a second opening in a second piece of tissue defining a portion of a second lumen adjacent to the first piece of tissue, and inserting the applier device through the first and second openings such that the actuation portion is between the first and second piece of tissue. The method can further include deploying a fastener into the first and second pieces of tissue through the actuation portion of the applier device, thereby joining the first and second pieces of tissue to form an anastomosis between the first and second lumens.
The patent controller said that as claims 1–10 recite “A method for joining tissue”, which is a surgical method. The subject matter is excluded from patentability according to
Section 3(j). Plants and animals in whole or any part thereof other than micro-organisms but including seeds, varieties, and species and essentially biological processes for production or propagation of plants and animals [16];
Example: Clones and new varieties of plants, a process for the production of plants or animals, if it consists entirely of natural phenomena such as crossing or selection i.e., essentially biological process are not patentable. However, processes or methods of preparing genetically modified organisms are patentable [42, 43].
Case 8 has covered the case study of rejection of patent as per Section 3(j).
Section 3(k). A mathematical or business method or a computer program per se or algorithms [16];
Example: Computer program by itself or as a record on a carrier (Note: Combination of hardware and software is patentable).
In India, the Patent Amendment Act 2005 sought to introduce software patents. The amendment proposed in the Patent Amendment Act 2005 for Clause 3(k) was, “a computer program per se other than its technical application to industry or a combination with hardware; a mathematical method or a business method or algorithms.” However, this amendment was rejected by the Indian Parliament, which chose to retain Clause 3(k) as it is [44, 45, 46].
Patent application detail of case 10 is provided in Table 9.
Patent application details for case 10 on A Chaos Theoretical Exponent Value Calculation System.
The Appellant’s invention is about the system which can analyze a time series signal using a method based on Chaos Theory and calculation of a chaos theoretical exponent value (CTEV). The conventional CTEV system was not calculating the temporarily changing dynamics as a significant value. In the present invention, the inventor proposed a system which can process at a high speed and on a real-time basis to calculate a CTEV even from a time series signal which includes noises. The average CTEV can also be calculated in a shorter time of two decimal orders or more.
As per First Examination Report (FER) of the Patent Office, the invention was not found to be patentable on the ground of clause (k) of Section 3 and Section 2(1)(j) of the Indian Patent Act, 1970. A response to the first examination report (FER) was filed by the applicant on 9th April 2008. The Deputy Controller rejected a patent under Section 15 by declaring that the invention still falls under
The Manual of Patent Office Practice and Procedure provides a reason as to why mathematical or business methods are not considered patentable.
“Mathematical methods” includes mental skill as they are not patentable. Mathematical methods are used for writing algorithms and computer programs for different applications are also not patentable although the applicants may argue that the said invention is of technical advancement, not the mathematical model [17, 47, 48].”
Section 3(l). A literary, dramatic, musical or artistic work or any other esthetic creation whatsoever including cinematographic works and television productions [16] (Note: These subject matters fall under the copyright and related right protection);
Example: Prepare a drama from a book.
The patents protect ideas, not just expressions of them.
Section 3(m). A mere scheme or rule or method of performing mental act or method of playing a game;
Example: Method for solving a crossword puzzle, Method of learning a language
Section 3(n). A presentation of information;
Example: Spoken words, symbols, diagrams [49].
Section 3(o). The topography of integrated circuits [50];
Three-dimensional configuration of the electronic circuits used in microchips and semiconductor chips is not patentable because protection of Layout Designs of Integrated Circuits is governed separately under the Semiconductor Integrated Circuit Lay-out Designs Act, 2000 [51].
Section 3(p). An invention which in effect, is traditional knowledge or which is an aggregation or duplication of known properties of a traditionally known component or components.
Use of turmeric, neem, tulsi, etc. is not patentable as it is traditionally known. Although, if someone develops a medicine from tradition plant, for example. Ointment having an active ingredient that is an extract from leaf of the plant, is patentable [52].
One device to collect agricultural produce was patented by DhanpatSheth. He made this device so flexible that it can fit to persons of varying height and size. Initially this patent was granted but afterward it was revoked as Nil Kamal Plastic Crates Ltd. sui him in Himachal Pradesh High Court. The patent was revoked on the ground of lack of novelty (Section 2(1)(ja)), mere duplication of traditionally known component known as “Kilta”
No patent shall be granted in respect of an invention relating to atomic energy falling within sub-section (1) of Section 20 of the Atomic Energy Act, 1962 (33 of 1962) [54, 55, 56, 57].
The patent is granted to the inventor to encourage innovations by providing exclusive rights to the owner for the limited period of time and to reveal his invention for propagation of knowledge and welfare of the society. Intellectual property protection is of larger importance to the researcher and research industries as the research and development process is expensive and time-consuming. In the present chapter, the authors have used a case study approach to explain patentability criteria and non-patentable inventions as per the Indian Patent Act. By disseminating the knowledge on patentability and non-patentability criteria, the author will guide the researchers for answering the question of whether the research which they are doing is patentable or not? It will save time, money and manpower for the patent drafting, application, and examination process as well as promote researchers for doing patentable research.
The authors declare no conflict of interest.
To begin with, let us recall the definition of elasticity of deformation of the material. So, the property of elasticity consists in that the body practically simultaneously takes the initial configuration after removing the deformation causes. In other words, if deformations are elastic, then they simultaneously vanish after removing the action of forces, caused the deformations.
This property, as also other properties, though, is displayed seldom in the pure form, that is, it is accompanied in real solid materials by several other properties. But in most cases, elasticity is the main and pre-vailing property.
It is worthy to note at beginning of this chapter that the analysis of auxetic materials as the deforming elastically materials is dominating over other types of deformation (thermoelastic, viscoelastic, elastoplastic, magnetoelastic, etc). Therefore, the theme “Elasticity of Auxetic Materials” is related to the main part of studies of auxetics.
At present, the auxetic materials are thought of as some subclass of nontraditional (nonconventional) ma-terials which are known as metamaterials. The metamaterials include the mechanical metamaterials, which in turn include the auxetic materials. At present, a sufficiently big group of scientists work in the area of auxetic materials. It includes mainly specialists from material science, to the lesser extent from statistical physics, and even to the lesser extent from experimental mechanics. The state-of-the-art in science on auxe tic materials is shown in the monographs [1, 2, 3] and the review articles [4, 5, 6, 7, 8, 9, 10, 11, 12, 13, 14, 15, 16, 17, 18, 19, 20, 21, 22, 23].
The auxetic materials were discovered and identified as a novel class of materials about forty years ago. Usually, two publications of Gibson L.J., Ashby M.F. et al [19, 20] are shown as the pioneer ones.
The term “auxetic material” was introduced by Evans in 1991 [21] for a new range of materials, which he defined them “the materials with negative Poisson ratio (NPR)”. This needs some scientific comments relative to the term and definition.
Test on uniaxial tension for conventional and non-conventional materials.
The point is that the property of the decrease is described in the linear theory of elasticity by the use of the Poisson ratio as the elastic constant. A change of the decrease of cross-section on the increase of one means a change of positive values of the Poisson ratio on the negative ones.
The presented short information on auxetics shows that their definition is based on the secondary fact – the negativity of the Poisson ratio, which corresponds to the model of the linearly elastic body. The primary fact consists in observation in the standard for mechanics of materials (which does not depend on the model of deformation) experiment of longitudinal tension of a prism when the transverse deformation of the prism is positive (a material as if swells) in contrast to the classical materials, where it is negative.
The adherence of researchers of auxetic materials to the foams can be seen in the often used (described verbally or by the picture) demonstration of auxeticity of the foam as increasing the volume of sample from the foam under tension. It is shown in Figure 2 [[10] (left), [20] (right)].
Usually used test-demonstration of auxeticity.
These pictures are really very demonstrative because they show two basic features.
Starting with the first works on auxetics, the discussed real materials were the different kinds of foams. It is considered that the first observed auxetic materials were the foams which are characterized by the small value of density and the porous internal structure (see Lakes [24] and Wojciechowski [25]). In the next studies, the new auxetics were revealed, the density of which was also small and which have a porous structure. But it was shown later that small density is not the defining property of auxetics, because the significant part of foams has not the property of auxeticity. The defining characteristics of auxetics are new three mechanical phenomena which will be described below.
The common concept was adopted almost at the initial part of studies that the auxeticity of materials is caused by the internal structure of these materials. This corresponds to the general concept of mechanics (which is clearly shown in mechanics of composite materials) that the specificities of deformation of materi-als can be explained by the existence of some specific internal structure. Only the answer should be found which concrete specificity is characteristic for the auxetic materials. Therefore, an essential part of studies of auxetics consists in the finding of diverse variants of internal structure that are further studied by methods of molecular physics and computational simulations. The most popular is a so-called hexagonal system (it is shown in Figure 3 [12]; left – before stretching, right – after stretching). Just this structure shows the swelling of the sample and is given by different authors to illustrate the auxeticity.
The most known interpretation of the internal structure of auxetic material.
It should be noted that the mechanics of materials works with the continuum models. This means that any discrete models of the internal structure must be transformed into the continuum one (here the different ways of averaging are usually applied). In mechanics, the internal structure of materials can appear on two different stages of modeling the materials. First, on the stage of changing the discrete structure of a material by the continuous one (that is when the notion of the continuum is introduced according to the principle of continualization). Second, on the stage of modeling the piece-wise inhomogeneous continuum by the homo-geneous continuum (that is when the principle of homogenization is applied). The first stage is usually asso-ciated with methods of molecular physics, whereas the second stage is a standard one in mechanics of composite materials. This is peculiar to all the materials that are studied in mechanics and refers also to the theory of elasticity within the framework of which the elastic deformation of aux-etic materials is studied.
For the presence in the material property of auxeticity, its internal structure has to change under defor mation by the special way exhibiting the unusual (nontraditional) mechanical effects. Note that mechanics of materials studied traditionally first the elastic deformation and this concern both traditional (non-auxe-tic), and nontraditional (auxetic) materials.
As far as the number of known nonauxetic materials exceeds the number of auxetic ones on many or-ders, then the term “unusual effect” is looking appropriate. In contrast to the traditional effects that count tens, the effects of auxeticity are observed as now in the identical mechanical problems in three types of such problems that are realized experimentally and described theoretically. An identity consists in that the samples from material must be compared when the internal structure of a material in cases “auxetic non-auxetic” is differing by the only geometrical shape of pores. This case is shown in Figure 4 for the sample from the polyurethane foam (left – traditional structure, right – auxetic structure) [2].
Sample from the polyurethane foam (left – traditional structure, right – auxetic structure).
Now, some facts from this theory should be shown concerning the phenomenon of auxeticity. But first three specific appearances of auxeticity must be described and commented on.
Only one of these specificities is well known – the swelling under the tension of the standard sample (standard mechanical test). This test is described above and shown in Figure 1.
But the fact is known that the auxeticity is generated by the special kind of internal structure of material and appears in three basic mechanical tests on deformation of material
Test 2 on indentation (statical Hertz problem, problem on hardness by Rockwell-Brinell-Wikkers) and impact (dynamical Hertz problem) shows the effect of hardness of auxetics in the contact zone. Within the framework of the theory of elasticity, this problem is solving numerically with the given exactness. A scheme of test that exhibits the essential difference in the degree of indentation of the spherical indentor into the traditional (left) and auxetic (right) materials is shown in Figure 5 [12].
Test for hardness material (left – traditional structure, right – auxetic structure).
Test 3 on synclastic and anticlastic deformation of flexible elastic plate is stated within the assumption that the plate is quadratic in plan and is loaded by the balanced system of three forces – one force is applied at the center of a plate and directed upward, whereas two other identical forces are applied at the centers of two opposite ends of the plate and directed downward. Within the framework of the theory of flexible elastic plates, this problem is solving numerically with the given exactness. The simple experiment that exhibits the essential difference in deformation of the plate from the traditional and auxetic materials is shown in Figure 6 [4] (left traditional material, right – auxetic material).
Test on synclastic (left) and anticlastic (right) deformation.
Note that these basic phenomena of deformation of auxetics can be described only in the terms of the theory of elasticity.
Because the elastic deformation is described in mechanics only by the theory of elasticity, then some facts from this theory should be recalled before the discussion of the specificities of elastic deformation of auxetics. At that, the division of the theory of elasticity on the linear and nonlinear theories should be taken into account. It is important to remember that the linear theory is based on the one (Hookean) model, whereas the nonlinear uses many different models.
Universal deformations (uniform deformations, universal states) occupy a special place in the theory of elasticity just owing to their universality [26]. This universality consists in that the theoretically and experi-mentally determining elastic constants of material in samples, in which the universal deformation is created purposely, are valid also for all other deformed states both samples and any different products made of this material. It is considered therefore that the particular importance of universal deformation (their fundamen tality) consists in the possibility to use them in the determination of properties of materials from tests [26, 27, 28, 29, 30, 31]. To realize the universal deformation, two conditions have to be fulfilled: 1. Uniformity of deformation must not depend on the choice of material. 2. Deformation of material has to occur by using only the surface loads.
In the theory of infinitesimal deformations, the next kinds of universal deformations are studied more of-ten and in detail: simple shear, simple (uniaxial) tension-compression, uniform volume (omniaxial) tension-compression. In the linear theory of elasticity, the experiment with a sample, in which the simple shear is realized, allows determining the elastic shear modulus
While being passed from the linear model, which is valid for only the very small deformations to the mo-dels of non-small (moderate or large) ones, that is, from the linear mechanics of materials to nonlinear me-chanics of materials, the universal states permit to describe theoretically and experimentally many nonlinear phenomena. The history of mechanics testifies to the experimental observation in the XIX century of the non linear effects that arose under the simple shear and were named later by the names of Poynting and Kelvin [27, 28, 29, 30, 31]. After about a hundred years in the XX century, these effects were described theoretically within the framework of the nonlinear Mooney-Rivlin model [31, 32, 33, 34, 35].
The mechanics of composite materials is one more area of application of universal deformations. The mo-del of averaged (effective, reduced) moduli is in this case the simplest and most used model. In the theory of effective moduli, the composite materials of the complex internal structure with internal links are treated usually as homogeneous elastic media. A possibility to create in such media the states with universal deformations was used in the evaluation of effective moduli by different authors and different methods. It was found that it is sufficient for isotropic (granular) composites to study the energy stored in the elementary volumes of composites under only two kinds of universal deformations: simple shear and omniaxial compression. In the case of transversely isotropic (fibrous or layered) composites, the different directions need analysis of universal deformations for each direction separately.
Perhaps, the eldest and exhausting procedures are shown in the classical Love’s book [36]. Let us save the Love’s notations and write according to [36] the internal energy of deformation of the linearly elastic isotropic body
where
The Hooke law has the form
Here
The classical procedure of introducing the Young modulus and Poisson ratio is as follows: the cylinder or prism of any shape is considered, then the axis of the cylinder is chosen in direction
An expression for dilatation follows from equalities (3)
The substitution of the last expression for dilatation into the first equality (2) gives relations
The expression (4) represents the elementary law
The substitution of expression for dilatation into the second and third equalities (2) gives relations
which express the classical Poisson law on the transverse compression under the longitudinal extension and permit to introduce of the Poisson ratio
Let us repeat now the procedure associated with introducing the universal (uniform) deformation – the uniform compression. Thus, the body of arbitrary shape is considered, to all points of which the constant pressure
The relations (8) can be transformed to
In this way, the modulus of compression
The classical Love’s reasoning, which is repeated in most books on the linear theory of elasticity, is based on the representation of moduli
The formulas (10) are commented in ([36], p. 104) as follows: “If
Because the comments of negativity of Poisson ratio is found in the books on the theory of elasticity very seldom, therefore a few sentences from Lurie’s book ([29], p. 117) are worthy to be cited: “A tension of the rod with negative
Note that the Poisson ratio is denoted in the theory of elasticity by
It should be also noted that not all authors of books on the linear isotropic theory of elasticity discuss the restrictions on changing the Poisson ratio (for example, Germain, Nowacki, Hahn do not made this in their well-known books [37, 38, 39]). The constitutive relations and classical restrictions on elastic constants are discussed in the most comprehensive and modern treatment of the theory of elasticity [28] (Subsection 3.3 “Constitutive relations”).
But in some books, the discussion is presented and all authors start with one and the same postulate: in the procedure of restrictions in changing the Poisson ratio, the primary requirement is a positiveness of internal energy
Thus, in most cases, the expression (1) is analyzed. It is assumed that the sufficient and being in line with experimental observations condition is the condition of positiveness of Lame moduli
Further, the formulas (10) are considered, in which without controversy the Young modulus is assumed positive
Let us recall that all the elastic moduli in the classical linear isotropic theory of elasticity are always posi-tive. The obvious contradiction between the assumption of negativity of the Poisson ratio and the primary statement on the positivity of Lame moduli (11) in condition when the Poisson ratio is defined by formula (7) is commented in the classical theory of elasticity anybody. To all appearances, this situation is occurred owing to the incredibility of negative values if only one of the elastic moduli
Note finally that two experimental approaches to determine the value of Poisson ratio for concrete material are used at present time ([27], subsections 2.18, 3.27, 3.28). The first approach is the older one. It is based on the experimental determination of Young, shear, and compression moduli and subsequent calculation of Poisson ratio by formulas (10)
Let us recall that the primary phenomenon in the determination of the Poisson ratio is the contraction of a sample (transverse deformation of a sample) under its elongation (its longitudinal deformation).
Let us save the initial postulate that the primary requirement is the positivity of internal energy
Because the Lame modulus
Now, the next refinement can be formulated.
Let us return to the primary definition of the Poisson ratio (7), which is found from the solution of the problem of unilateral tension. In this case, the internal energy has the form
Then
(because the coefficient ahead of
The condition (15) is less strong: the coefficient ahead of
Let us turn to formula (9), which expresses the compression modulus
Comparison with restrictions (13) and (15) on the absolute values of negative Lame modulus
The situation with refinements becomes clearer if the moduli
A few statements can be formulated at the end of this subchapter.
While being studied the auxetics from the position of the nonlinear theory of elasticity, some essential differences between the linear and nonlinear descriptions should be taken into account. Therefore, the basic notions of the nonlinear approach seem to be worthy to show here very shortly [31, 34, 35, 42, 43].
A body is termed some area
The configuration of the body at a moment
As a result, the deformation of the body is given by nine components of displacement gradients
In several models of nonlinear deformation of materials, the elongation coefficients (principal extensions) defined as a change of length of the conditional linear elements (the infinitesimal segments that are directed arbitrarily) are used
A simpler formula
It seems to be necessary to show the very often used notation of the displacement gradient
and notation of the left Cauchy-Green strain tensor
The simple shear is described in subsubsection 3.3, where the basic formula
In the linear theory, the shear angle is assumed to be small and then
The principal extensions are written through the shear angle by formulas
This kind of deformation is also described above. It is characterized in the nonlinear approach by only one nonzero component
A sample has the shape of a cube, to sides of which the uniform surface load (hydrostatic compression) is applied. Then the uniform stress state is formed in the cube. The normal stresses are equal to each other
The Cauchy-Green strain tensor is simplified
The principal extensions are equal to each other
These models are related to the models of hyperelastic materials. This class of materials is characterized by the way of introduction of constitutive equations. First, the function of kinematic parameters (elastic potential, internal energy) is defined, from which later the constitutive equations are derived mathematically and sub-stantiated physically. Model 1 is chosen as the simplest one. Model 2 is well-working for the not-small (large or finite) deformations. Model 3 belongs to the most used in the nonlinear mechanics of materials.
The elastic potential of this model is defined as follows [31, 34, 35, 42, 43]
Here the elastic constants of the model are linked with the classical elastic constants by relation
The constitutive equations have the form
It is considered that this model describes well the deformation of rubber under the principal extensions up to 20% from the initial state. Since these extensions are linked with the principal values of the strain ten-sor by relation
The elastic potential of the Mooney -Rivlin model is defined as follows [31, 32, 33, 34, 35, 42, 43]
where the elastic constants are linked with the classical constants by relations
The stresses are determined by formulas
Here the indexes
The Mooney-Rivlin model is the classical one. This can be seen from the next historical information.
The elastic potential in the Murnaghan model has the form [31, 34, 35, 42, 43, 44, 45]
The Cauchy-Green strain tensor
The Murnaghan model can be considered as the classical one in the nonlinear theory of hyperelastic ma-terials. It takes into account all the quadratic and cubic summands from the expansion of the internal energy and describes the deformation of a big class of engineering and other materials. If to unite the data on the constants of Murnaghan model, shown in books [21, 42, 44], then the sufficiently full information can be ob-tained on many tens of materials.
This kind of deformation of the auxetics needs some preliminary discussion. First, mechanics distinguishes the simple and pure shears. The state of such deformations is standard in the test for the determination of the shear modulus. Second, it is a common position in mechanics that this modulus is always positive. This means that new effects relative to auxetic materials will most likely not be found. Third, owing to the written above comments, the one only positive result can be reached: the degree of the description of the classical nonlinear effects the Poynting and Kelvin effects – can be considered for the chosen three nonlinear models.
The following materials are used in the numerical evaluations below (elastic constants are shown): 1. Rubber -
In this case
As a result, the components of stress tensor have the form
The formulas (30) show that the Poynting effect (when the values of shear angle increase from the sufficiently small values to the moderate ones, then the shear stress depends nonlinearly on the shear angle) is described by the Neo-Hookean model, because Eq. (30) demonstrates just this nonlinear dependence for the moderate values of shear angle.
Figure 7 shows the dependence of the shear stress on the shear angle
Dependence of the shear stress on the shear angle
The expressions for gradient
Thus, the Mooney-Rivlin model (that is, more complicated as compared with the Neo-Hookean model) describes the more complicated stress state, which is characterized by six components of the stress tensor. This model describes well-known nonlinear effects. The Poynting effect follows from the representation of the shear stresses by formula (31). The Kelvin effect follows from formulas (33) and (34).
Also, formula (32) describes one more nonlinear effect: an initiation of shear stresses
Dependence of shear stress
The Cauchy-Green strain tensor is characterized by three components
To calculate the stresses, it is necessary to write the potential (29) concerning the formulas (35) and (36)
The Lagrange stress tensor is determined by the formula
The shear stress contains the linear and nonlinear summands and describes the simple shear. The normal stress describes the change of volume under deformation and testifies the break of the state of simple shear in the nonlinear description of deformation. To build the plots of dependence (40) choose two nonstandard for the Murnaghan model materials – foam and polystyrene – which can experience not only the small by values strains but also the moderate ones. Figures 9 and 10 show the dependence of the shear stress
Dependence of the shear stress on the shear angle (foam).
Dependence of the shear stress on the shear angle (polystyrene).
The dependences
This kind of deformation is fundamental for the auxetics because just in tests on the uniaxial tension-compression the phenomenon of auxeticity was first observed.
The formulas for the principal extensions
Note that the stresses are depending in model 1 on two principal extensions – longitudinal and transverse.
If to assume that all three normal stresses on the lateral surface of the sample are absent (the surface is free of stresses), then
It follows from (43) that the Poynting-type effect (when the principal extensions increase from the sufficiently small values to the moderate ones, then the normal stress in the direction of tension depends nonlinearly on these extensions) is described by the Neo-Hookean model.
Figure 11 shows the dependence of the longitudinal stress on principal extensions and is built for the rubber with allowance for that the value
Dependence of the longitudinal stress on the principal extensions.
Figure 12 corresponds to formulas (41) and (42). and shows a dependence of the longitudinal principal extension on the transverse principal extension. Note that the silicon rubber is characterized by the big difference between values of shear and bulk moduli that can reach hundred times. Therefore, the new material is chosen further for the numerical analysis – the foam, which values of elastic constants is characterized by about equal by the order. Figure 12 shows also that with an increase of extension
Dependence of the longitudinal principal extension on the transverse principal extension.
It looks, in this case, to be illogical to neglect the first summand in (41) and (42). Note here that the ratio
The uniaxial tension in direction of the abscissa axis is characterized by parameters:
Assume that all three normal stresses over the sample lateral surface are absent. Then Eq. (45) is simplified to the form
The last formula testifies: the Mooney-Rivlin model describes the Poynting-type effect.
Two elastic constants are presented in (47) in contrast to the Neo-Hookean model, where the shear modulus was absent. It should be noted that in both models – Neo -Hookean and Moo-ney-Rivlin –the tension in the longitudinal direction stress
Dependence of the longitudinal stress on principal extensions.
The Eq. (46) can be transformed into the form
The corresponding to the model 1 plot from Figure 11 is practically identical with the plot from Figure 13 corresponding to model 2.
The uniaxial tension in this model is characterized by three nonzero components of the strain tensor
Let us remind that in the linear theory of elasticity, corresponding to the Hookean model, the constitutive equations are significantly simpler
Apply further to the nonlinear Eqs. (49)–(51) the procedure of analysis of the state of uniaxial tension that is used in the linear theory of elasticity as applied to Eqs. (52). Subtraction of Eq. (51) from Eq. (50) gives the formula
from which the equality of components of transverse strains
The addition of formulas (36)–(38) results in the following formula
Substitution of formula (53) into the relation (49) gives new relation
The relation (54) shows that model 3, like models 1 and 2, describes the Poynting-type effect.
Figures 14 and 15 show the dependence
Dependence
Dependence
Write now the constitutive Eq. (49) with allowance for equality
The solution of this equation has the form
Thus, Eq. (55) shows that the ratio
Figures 16 and 17 show a dependence of the ratio
Dependence of the ratio
Dependence of the ratio
Thus, an analysis of universal deformation of uniaxial tension for model 3 revealed the new property: the material with conventional properties under small strains is transformed under moderate strains into the nonconventional (auxetic) material. The uncommonness of this observation consists in that usually the material is considered either the conventional or the nonconventional during all the processes of deformation.
Let us compare the plots from Figures 16 and 17 with the experimental data from ([49], Figure 4) shown here as Figure 18 (dependence of the ratio
Experimental dependence of the ratio
Figures 19 and 20 show the dependence of longitudinal and transverse strains. Three stages can be marked out: 1. A decrease of transverse strain becomes slower under transition to the moderate strains. 2. The strain
Dependence of longitudinal and transverse strains (foam).
Dependence of longitudinal and transverse strains (polystyrene).
The shown feature confirms once again the new mechanical effect – a transition of the material under its deformation to the level of moderate values of the longitudinal stretching from the class of conventional ma-terials into the class of the auxetic materials. In other words, the standard sample in conditions of universal deformation of uniaxial tension is deformed for small strains as if it is made of the conventional material (its cross-section is decreased) and with increasing the values of longitudinal stretching to the moderate values the sample cross-section starts to increase, what is the characteristic just for auxetic materials.
The plots from Figures 19 and 20 can be compared with the plot, obtained experimentally in [48]. This article reports that the new metamaterials were created from soft silicon rubber. The samples we-re deformed in conditions of uniaxial compression up to moderate values of longitudinal strain 0,35. The shown in the Figure 21 plot corresponds to Figure 2a in [48] and shows a dependence of longitudinal and transverse strains. Comparison of plots from Figure 11 (uniaxial stretching) and Figure 12 (uniaxial compression) demonstrates the common property of forming the hump in the area of negative values of transverse strain, which is transformed with the increasing values of longitudinal strain roughly into the straight line in the area of positive values of transverse strain.
Experimental dependence of longitudinal and transverse strains.
Thus, the nonlinear Murnaghan model describes within conditions of uniaxial tension some nonlinear phenomena of deformation, which can be linked with the properties of deformation of auxetic materials. Note that the shown feature is clearly visible only within the framework of the Murnaghan model, but the Neo-Hookean and Mooney -Rivlin models also describe the hump formation, as can be seen in Figure 6.
In this case
The formula (56) describes the Poynting-type effect relative to the bulk modulus (the dependence
Figure 22 shows a dependence of the stress on the principal extension and is built for the silicon rubber. The plot testifies that model 1 describes the nonlinear change of the sample volume while being subjected to the universal deformation of uniform compression-tension.
Dependence of stress on principal extension.
In this case
The components of displacement gradients and Cauchy-Green strain tensor are as follows
The corresponding algebraic invariants of the Cauchy-Green tensor are written in the form
The formulas for invariants (58) allow writing the potential in the simpler form
The stresses are evaluated by the formulas (the normal stresses only are nonzero)
Thus, the stresses contain linear and nonlinear summands.
The interdependence between the first invariant of the stress tensor
The plots in Figures 23 and 24 show a dependence
Dependence
Dependence
A presence of “the hump” testifies that the nonlinear Murnaghan model describes the transition of the material of the sample-cube from the class of conventional materials into the class of auxetic materials. The fact is that the sample is compressed for the small values of uniform tension and in the following increase of the tension the strain the sample swells. But this phenomenon is characteristic of only auxetic materials.
Thus, three nonlinear models which are used in the analysis describe the nonlinear Poynting-type effects in conditions of three used above universal deformations and the moderate strains. This agrees quantitatively with experimental observations of nonlinear dependences
The main new effects are revealed: the nonlinear Murnaghan model describes in the case of uniaxial and omniaxial tension the transition of the material from the class of conventional materials into the class of the auxetic materials. This occurs when the material is deformed to the level of moderate values of the longitudinal stretching. In other words, the shown experiments and proposed theoretical analysis testify that the stan-dard sample in conditions of the mentioned universal deformation of uniaxial tension is deformed for small strains as if it is made of the conventional material (its cross-section is decreased) and with increasing the values of longitudinal stretching to the moderate values the sample cross-section starts to increase, what is the characteristic just for auxetic materials.
The elasticity is the property of auxetic materials, which is especially characteristic and most studied for these materials. Historically, the auxetics were treated from the point of view of the linear theory of elasticity what was not quite adequate in some cases.
As the part of classical mechanics of elastic materials, the mechanics of auxetic materials needs at present more and more experimental studies (the level of such studies as compared with the classical ones can be seen from the famous Bell’s book [27]).
The nonlinear theory of elasticity is seemingly quite prospective for a description of elastic deformation of the auxetic materials but it is essentially more complicated in the mathematical apparatus and concrete investigations.
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