PTOL-413A: USPTO Applicant Initiated Interview Request Form

Enter the Application No., First Named Applicant, Examiner, Art Unit and Status of Application.

List the Tentative Participants: (1), (2), (3) and (4).

Enter the Proposed Date of Interview and the Proposed Time, then mark AM or PM.

Mark the box for the Type of Interview Requested: (1) Telephonic, (2) Personal or (3) Video Conference.

Mark YES or NO for Exhibit To Be Shown or Demonstrated. If yes, provide brief description.

Under Issues To Be Discussed, enter the Issues (Rej., Obj., etc), the Claims/Fig. #s and the Prior Art for each of (1), (2), (3) and (4). The form also has Discussed, Agreed and Not Agreed boxes.

Mark Continuation Sheet Attached if you attach a continuation sheet, and Proposed Amendment or Arguments Attached if you attach a proposed amendment or arguments.

Write the Brief Description of Arguments to be Presented.

Sign in the Applicant/Applicant's Representative Signature box.

The form also has an Examiner/SPE Signature box.

Enter the Typed/Printed Name of Applicant or Representative and the Applicant's/Applicant's Representative's Telephone Number.

Enter the Registration Number, if applicable.

By signing this form, applicant or practitioner is certifying that he or she has read the Instruction Sheet.

If a registered practitioner not of record signs this form, the Office will accept the signed form as an indication that he or she is authorized to conduct an interview on behalf of the principal (37 CFR 1.32(a)(3)) pursuant to 37 CFR 1.34.

For a form signed by a registered practitioner not of record, the authority to submit the Applicant Initiated Interview Request Form is pursuant to limited authority to act in a representative capacity under 37 CFR 1.34, and further proof of authority to act in a representative capacity may be required.

Common mistake: This form is not a power of attorney to any named practitioner.

Common mistake: Any registered practitioner not of record named on the form does not have authority to sign a request to change the correspondence address, a request for express abandonment, a disclaimer, a power of attorney, or other document requiring the signature of the applicant, assignee of the entire interest or an attorney of record.

If appropriate, a separate power of attorney to the named practitioner should be executed and filed in the U.S. Patent and Trademark Office.

In view of the confidentiality requirements of 35 U.S.C. § 122(a), any interview concerning an unpublished application under 35 U.S.C. § 122(b) with a registered practitioner not of record who obtains authorization through use of the PTOL-413A will be conducted based on the information and files supplied by the practitioner.

After the interview is conducted, applicant is advised to file a statement of the substance of this interview (37 CFR 1.133(b)) as soon as possible.

The application will not be delayed from issue because of applicant's failure to submit a written record of this interview.

This form should be completed and filed by applicant in advance of the interview (see MPEP § 713.01).

If filing this completed form by mail, send to: Commissioner for Patents, P.O. Box 1450, Alexandria, VA 22313-1450.