The PTOL-413A form, approved for use by the U.S. Department of Commerce's Patent and Trademark Office through July 31, 2012, plays a crucial role in the patent application process, specifically in facilitating applicant-initiated interviews. This form, also known by its document codes M865 or FAI.REQ.INTV, serves as a formal request from the applicant to arrange a discussion with the examiner assigned to their case. It covers essential details like the application number, the first named applicant, the examiner, and the art unit, alongside the current status of the application. Moreover, it proposes a list of tentative participants, a proposed date and time for the interview, and the type of interview requested—be it telephonic, personal, or via video conference. Applicants are encouraged to specify whether they intend to show or demonstrate any exhibits during the interview and to outline the issues and claims to be discussed, indicating which are agreed upon and which are contested. This initiation form underscores the importance of communication in the patent examination process, allowing for a more detailed discussion of the application's intricacies. It aims to expedite the examination process by providing an opportunity for the applicant to present proposed amendments or arguments directly to the examiner, thereby potentially resolving any issues more swiftly. Completion and submission of this form are governed by specific regulations according to the U.S. Patent and Trademark Office, and while it’s a voluntary request, it could be instrumental in advancing the patent application towards approval.
| Question | Answer |
|---|---|
| Form Name | Ptol 413A Form |
| Form Length | 2 pages |
| Fillable? | No |
| Fillable fields | 0 |
| Avg. time to fill out | 30 sec |
| Other names | GSA, applicant initiated interview request form, interview, uspto interview request form |
Doc Code: M865 or FAI.REQ.INTV
Applicant Initiated Interview Request Form
Application No.:_________________ |
First Named Applicant:____________________________________ |
Examiner:______________________ |
Art Unit:__________ Status of Application:__________________ |
Tentative Participants: |
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(1)_____________________________ |
(2)_______________________________ |
(3)_____________________________ |
(4)_______________________________ |
Proposed Date of Interview:_____________________ |
Proposed Time:__________ (AM/PM) |
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Type of Interview Requested: |
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(1) [ ] Telephonic |
(2) [ ] Personal |
(3) [ ] Video Conference |
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Exhibit To Be Shown or Demonstrated: [ ] YES |
[ ] NO |
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If yes, provide brief description:________________________________________________ |
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Issues To Be Discussed
Issues |
Claims/ |
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Discussed |
Agreed |
Not Agreed |
(Rej., Obj., etc) |
Fig. #s |
Prior |
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(1)__________ |
________ |
Art |
[ ] |
[ ] |
[ ] |
______________ |
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(2)__________ |
________ |
______________ |
[ ] |
[ ] |
[ ] |
(3)__________ |
________ |
______________ |
[ ] |
[ ] |
[ ] |
(4)__________ |
________ |
______________ |
[ ] |
[ ] |
[ ] |
[ ] Continuation Sheet Attached
[] Proposed Amendment or Arguments Attached
Brief Description of Arguments to be Presented:
An interview was conducted on the
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 |
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Examiner/SPE Signature |
Typed/Printed Name of Applicant or Representative
Registration Number, if applicable
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
TO THIS ADDRESS. SEND TO: Commissioner for Patents, P.O. Box 1450, Alexandria, VA
If you need assistance in completing the form, call
Privacy Act Statement
The Privacy Act of 1974 (P.L.
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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