Form Ptol 413Fp PDF Details

The PTOL 413Fp form plays a critical role in the First Action Interview Pilot Program, facilitating a unique pre-interview communication between the applicant and the examiner within the United States Patent and Trademark Office (USPTO). This structured form outlines the initial feedback on the patent application, including any issues the examiner has identified prior to the first action on the merits. Applicants are presented with a shortened statutory period, typically one month or thirty days—whichever is longer from the mailing or notification date, to respond. This response can vary from a request not to have a first action interview, a waiver of the interview and direct response to the office action, or submitting an Applicant Initiated Interview Request Form to discuss amendments or arguments. Importantly, failing to respond to this communication is interpreted as a decision not to pursue an interview. The form additionally outlines the disposition of claims, specifying which are pending, allowed, rejected, objected to, or subject to restriction. It also notes any objections to the application papers, including the specification and drawings, and addresses the status of any claim for foreign priority. The aim is to streamline the initial examination process, potentially accelerating the path to patent issuance through early and effective communication. By providing insights into the examination's direction, the form serves as a crucial tool for applicants to understand and navigate the complexities of the patent review process.

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Form NameForm Ptol 413Fp
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Other namesform ptol 413fp_enhanced ptol 413a fillable form

Form Preview Example

First Action Interview Pilot Program

Pre-Interview Communication

Application No.

Applicant(s)

 

 

Examiner

Art Unit

Page 1 of

-The MAILING OR NOTIFICATION DATE of this communication appears on the cover sheet with the correspondence address -

THE SHORTENED STATUTORY PERIOD FOR REPLY IS SET TO EXPIRE ONE MONTH OR THIRTY (30) DAYS, WHICHEVER IS LONGER, FROM THE MAILING OR NOTIFICATION DATE OF THIS COMMUNICATION.

This time period for reply is extendable under 37 CFR 1.136(a) for only ONE additional MONTH. This communication constitutes notice under 37 CFR 1.136(a)(1)(i).

Applicant must, within the time period for reply, file: (1) A letter requesting not to have a first action interview; (2) A reply under 37 CFR 1.111 waiving the first action interview and First Action Interview Office Action; or (3) An Applicant Initiated Interview Request Form (PTOL-413A) electronically via EFS-Web, accompanied by a proposed amendment or arguments, and schedule the interview within 2 months from the filing of the request. A failure to respond to this communication will be treated as a request not to have an interview. If applicant waives the First Action Interview Office Action, the instant Pre-Interview Communication is deemed the first Office Action on the Merits. The next subsequent Office action may be made final if appropriate. See MPEP 706.07(a).

Disposition of Claims

3)

4)

5)

6)

7)

Claim(s)

 

is/are pending in the application.

3a) Of the above claim(s)

 

is/are withdrawn from consideration.

Claim(s)

 

is/are allowed.

 

Claim(s)

 

is/are rejected.

 

Claim(s)

 

is/are objected to.

Claim(s)

 

are subject to restriction and/or election requirement.

Application Papers

 

 

8)

The specification is objected to by the Examiner.

9)

The drawing(s) filed on

 

is/are: a) accepted or b) objected to by the Examiner.

Applicant may not request that any objection to the drawing(s) be held in abeyance. See 37 CFR 1.85(a). Replacement drawing sheet(s) including the correction is required if the drawing(s) is objected to. See 37 CFR 1.121(d).

10)

The oath or declaration is objected to by the Examiner. Note the attached Office Action or form PTO-152.

Priority under 35 U.S.C. § 119

 

11)

Acknowledgment is made of a claim for foreign priority under 35 U.S.C. § 119(a)-(d) or (f).

 

a)

All

b) Some * c) None of:

 

 

1.

Certified copies of the priority documents have been received.

 

 

2.

Certified copies of the priority documents have been received in Application No.

 

.

 

3.

Copies of the certified copies of the priority documents have been received in this National Stage

 

 

application from the International Bureau (PCT Rule 17.2(a)).

 

*See the attached detailed Office action for a list of the certified copies not received.

 

Contact Information -

Examiner’s Telephone Number:

Examiner’s Typical Work Schedule:

Supervisor’s Name:

Supervisor’s Telephone Number:

Attachment(s)

 

 

 

 

 

 

 

 

1)

Notice of References Cited (PTO-892)

4)

Interview Summary (PTO-413)

2)

Notice of Draftsperson’s Patent Drawing Review (PTO-948)

 

Paper No(s)/Mail Date.

 

.

5)

Notice of Informal Patent Application

3)

Information Disclosure Statement(s) (PTO/SB/08)

 

 

 

 

 

 

 

Paper No(s)/Mail Date

 

.

6)

Other:

 

.

 

 

U.S. Patent and Trademark Office

PTOL-413FP (Rev. 07-09)

First Action Interview Pilot Program - Pre-Interview Communication

First Action Interview Pilot Program

Pre-Interview Communication

Application No.

Applicant(s)

 

 

Examiner

Art Unit

Page 2 of

Notification of Rejection(s) and/or Objection(s)

#Claim(s)

Reference(s) (if applicable)

Rejection

Statutory Basis

Brief Explanation of Rejection

Expanded Discussion/Commentary

DATE:

Examiner Signature:

Primary Examiner Signature:

U.S. Patent and Trademark Office

 

PTOL-413FP (Rev. 07-09)

First Action Interview Pilot Program - Pre-Interview Communication

2

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