Fillable Applicant Initiated Interview Request Form (USPTO)

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Applicant Initiated Interview Request Form (USPTO)

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PTOL-413A (07-16)
Approved for use through 12/31/2020. OMB 0651-0031
Doc Code: M865 or FAI.REQ.INTV
U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
Applicant Initiated Interview Request Form
Application No.:_________________ First Named Applicant:____________________________________
Examiner:______________________ Art Unit:__________ Status of Application:__________________
Tentative Participants:
(1)_____________________________ (2)_______________________________
(3)_____________________________ (4)_______________________________
Proposed Date of Interview:_____________________
Proposed Time:__________ ( AM PM)
Type of Interview Requested:
(1) [ ] Telephonic (2) [ ] Personal (3) [ ] Video Conference
Exhibit To Be Shown or Demonstrated: [ ] YES [ ] NO
If yes, provide brief description:________________________________________________
Issues To Be Discussed
Issues Claims/ Prior Discussed Agreed Not Agreed
(Rej., Obj., etc) Fig. #s Art
(1)__________ ________ ______________ [ ] [ ] [ ]
(2)__________ ________ ______________ [ ] [ ] [ ]
(3)__________ ________ ______________ [ ] [ ] [ ]
(4)__________ ________ ______________ [ ] [ ] [ ]
[ ] Continuation Sheet Attached [ ] Proposed Amendment or Arguments Attached
Brief Description of Arguments to be Presented: ___________________________________________
______________________________________________________________________________
An interview was conducted on the above-identified application on ____________________________
NOTE: This form should be completed and filed by applicant in advance of the interview (see MPEP § 713.01). If
this form is signed by a registered practitioner not of record, the Office will accept this 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.
This is not a power of attorney to any above named practitioner. See the Instruction Sheet for this form, which is
incorporated by reference. By signing this form, applicant or practitioner is certifying that he or she has read the
Instruction Sheet. 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. This application will not be delayed from issue because of
applicant’s failure to submit a written record of this interview.
Applicant/Applicant’s Representative Signature
Examiner/SPE Signature
Typed/Printed Name of Applicant or Representative
Applicant's/Applicant's Representative's Telephone Number
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 24 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.
If you need assistance in completing the form, call 1-800-PTO-9199 and select option 2.
PTOL-413A (08-10)
Doc Code: M865 or FAI.REQ.INTV
Approved for use through 12/31/2020. OMB 0651-0031
U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it displays a valid OMB control number.
Instruction Sheet for:
APPLICANT INITIATED INTERVIEW REQUEST FORM
(Not to be Submitted to the USPTO)
1. If this form is 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. See 37 CFR 1.34.
The Office will accept the signed form as an indication that the registered
practitioner not of record is authorized to conduct an interview on behalf of the
principal in pursuant to 37 CFR 1.34.
For more information, see the “Conducting an Interview with a Registered
Practitioner Acting in a Representative Capacity” notice which is available on
the USPTO Web site at: http://www.uspto.gov/patents/law/notices/2010.jsp.
2. This is not a power of attorney to any named practitioner. Accordingly, 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 US Patent and
Trademark Office.
3. 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 in view of the confidentiality requirements of
35 U.S.C. § 122(a).
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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Applicant Initiated Interview Request Form (USPTO)

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Completed 9 May 2021

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