Applicant Interview Form PDF Details

In navigating the complex landscape of patent applications, the PTOL-413A, commonly known as the Applicant Initiated Interview Request Form, plays a crucial role in facilitating clear communication between applicants and examiners. This form, approved for use through July 31, 2012, by the U.S. Patent and Trademark Office (USPTO), serves as a structured platform for applicants to request and prepare for interviews regarding their applications. It requires detailed information including the application number, examiner, and art unit involved, alongside proposed participants and dates for either telephonic, personal, or video conference interviews. Applicants can specify exhibits to be shown or demonstrated, pinpoint issues to be discussed, and outline arguments to be presented, enabling a focused dialogue aimed at resolving any questions or concerns. The form further underscores the importance of following up the interview with a written record, ensuring that the insights gained are captured formally. This procedure not only adheres to regulations set by 37 CFR 1.133 but also aligns with confidentiality guidelines under 35 U.S.C. 122 and 37 CFR 1.11 and 1.14, assuring applicants that their information is handled with care. Designed to streamline the patent examination process, the form is a catalyst for more efficient, effective engagements between applicants and the USPTO, paving the way toward patent issuance, while respecting the time and contributions of all involved parties.

QuestionAnswer
Form NameApplicant Interview Form
Form Length2 pages
Fillable?No
Fillable fields0
Avg. time to fill out30 sec
Other namesObj, PTOL-413A, OMB, CFR

Form Preview Example

PTOL-413A (07-09)

Approved for use through 07/31/2012. OMB 0651-0031

U.S. Patent and Trademark Office: U.S. DEPARTMENT OF COMMERCE

Applicant Initiated Interview Request Form

Application No.:

Examiner:

 

Art Unit:

Tentative Participants:

(1)

(3)

Proposed Date of Interview:

Type of Interview Requested:

(1)

 

Telephonic

(2)

 

Personal

Exhibit To Be Shown or Demonstrated:

If yes, provide brief description:

First Named Applicant:

Status of Application:

(2)

(4)

Proposed Time:

 

AM/PM

(3) Video Conference

YES NO

Issues To Be Discussed

Issues

Claims/

Prior

Discussed

Agreed

Not Agreed

(Rej., Obj., etc)

Fig. #s

Art

 

 

 

(1)

(2)

(3)

(4)

Continuation Sheet Attached

Brief Description of Argument to be Presented:

An interview was conductED on the above-identified application on.

NOTE: This form should be completed by applicant and submitted to the examiner in advance of the interview (see MPEP § 713.01).

This application will not be delayed from issue because of applicant’s failure to submit a written record of this interview. Therefore, applicant is advised to file a statement of the substance of this interview (37 CFR 1.133(b)) as soon as possible.

Applicant/Applicant’s Representative Signature

Typed/Printed Name of Applicant or Representative

Registration Number, if applicable

Examiner/SPE Signature

This collection of information is required by 37 CFR 1.133. The information is required to obtain or retain a benefit by the public which is to file (and by the USPTO to process) an application. Confidentiality is governed by 35 U.S.C. 122 and 37 CFR 1.11 and 1.14. This collection is estimated to take 21 minutes to complete, including gathering, preparing, and submitting the completed application form to the USPTO. Time will vary depending upon the individual case. Any comments on the amount of time you require to complete this form and/or suggestions for reducing this burden, should be sent to the Chief Information Officer, U.S. Patent and Trademark Office, U.S. Department of Commerce, P.O. Box 1450, Alexandria, VA 22313-1450. DO NOT SEND FEES OR COMPLETED FORMS TO THIS ADDRESS. SEND TO: Commissioner for Patents, P.O. Box 1450, Alexandria, VA 22313-1450.

If you need assistance in completing the form, call 1-800-PTO-9199 and select option 2.

Privacy Act Statement

The Privacy Act of 1974 (P.L. 93-579) requires that you be given certain information in connection with your submission of the attached form related to a patent application or patent. Accordingly, pursuant to the requirements of the Act, please be advised that: (1) the general authority for the collection of this information is 35 U.S.C. 2(b)(2); (2) furnishing of the information solicited is voluntary; and (3) the principal purpose for which the information is used by the U.S. Patent and Trademark Office is to process and/or examine your submission related to a patent application or patent. If you do not furnish the requested information, the U.S. Patent and Trademark Office may not be able to process and/or examine your submission, which may result in termination of proceedings or abandonment of the application or expiration of the patent.

The information provided by you in this form will be subject to the following routine uses:

1.The information on this form will be treated confidentially to the extent allowed under the Freedom of Information Act (5 U.S.C. 552) and the Privacy Act (5 U.S.C 552a). Records from this system of records may be disclosed to the Department of Justice to determine whether disclosure of these records is required by the Freedom of Information Act.

2.A record from this system of records may be disclosed, as a routine use, in the course of presenting evidence to a court, magistrate, or administrative tribunal, including disclosures to opposing counsel in the course of settlement negotiations.

3.A record in this system of records may be disclosed, as a routine use, to a Member of Congress submitting a request involving an individual, to whom the record pertains, when the individual has requested assistance from the Member with respect to the subject matter of the record.

4.A record in this system of records may be disclosed, as a routine use, to a contractor of the Agency having need for the information in order to perform a contract. Recipients of information shall be required to comply with the requirements of the Privacy Act of 1974, as amended, pursuant to 5 U.S.C. 552a(m).

5.A record related to an International Application filed under the Patent Cooperation Treaty in this system of records may be disclosed, as a routine use, to the International Bureau of the World Intellectual Property Organization, pursuant to the Patent Cooperation Treaty.

6.A record in this system of records may be disclosed, as a routine use, to another federal agency for purposes of National Security review (35 U.S.C. 181) and for review pursuant to the Atomic Energy Act (42 U.S.C. 218(c)).

7.A record from this system of records may be disclosed, as a routine use, to the Administrator, General Services, or his/her designee, during an inspection of records conducted by GSA as part of that agency’s responsibility to recommend improvements in records management practices and programs, under authority of 44 U.S.C. 2904 and 2906. Such disclosure shall be made in accordance with the GSA regulations governing inspection of records for this purpose, and any other relevant (I.E., GSA or Commerce) directive. Such disclosure shall not be used to make determinations about individuals.

8.A record from this system of records may be disclosed, as a routine use, to the public after either publication of the application pursuant to 35 U.S.C. 122(b) or issuance of a patent pursuant to 35 U.S.C. 151. Further, a record may be disclosed, subject to the limitations of 37 CFR 1.14, as a routine use, to the public if the record was filed in an application which became abandoned or in which the proceedings were terminated and which application is referenced by either a published application, an application open to public inspection or an issued patent.

9.A record from this system of records may be disclosed, as a routine use, to a Federal, State, or local law enforcement agency, if the USPTO becomes aware of a violation or potential violation of law or regulation.

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1. The uspto examiner interview request necessitates certain information to be typed in. Be sure that the subsequent blank fields are complete:

Tips on how to fill in OMB part 1

2. The third stage is to submit the following blank fields: Continuation Sheet Attached, Brief Description of Argument to, An interview was conducted on the, ApplicantApplicants Representative, and ExaminerSPE Signature.

Filling in section 2 in OMB

Be very careful when filling out An interview was conducted on the and Continuation Sheet Attached, because this is the section where many people make some mistakes.

3. Within this part, check out TypedPrinted Name of Applicant or, Registration Number if applicable, This collection of information is, and If you need assistance in. All these will need to be filled out with utmost focus on detail.

TypedPrinted Name of Applicant or, If you need assistance in, and Registration Number if applicable inside OMB

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