Form PTOL–413C Request for First-Action Interview (Pilot Program)

Doc Code: FAI.REQ
Document Description: Request First Action Interview

PTO/SB/413C (5)
Approved for use through XX/XX/XXXX. 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.

REQUEST FOR FIRST ACTION INTERVIEW (FULL PILOT PROGRAM)
Attorney Docket
Number:

Application Number
(if known):

First Named
Inventor:

Title:

Filing date:

APPLICANT HEREBY REQUESTS A FIRST ACTION INTERVIEW IN THE ABOVE-IDENTIFIED
APPLICATION. See Instruction Sheet on page 2.
1.

The application must contain three (3) or fewer independent claims and twenty (20) or fewer total claims.

2.

The application must not contain any multiple dependent claims.

3.

By filing this request:
Applicant is agreeing to make an election without traverse if the Office determines that the claims are not
obviously directed to a single invention; and
Applicant is agreeing not to request for a refund of the search fee and any excess claims fee paid in the
application after the mailing or notification of the pre-interview communication prepared by the examiner.

4.

Other attachments: ________________________________________________________

Signature

Date

Name
(Print/Typed)

Registration Number

Note: This form must be signed in accordance with 37 CFR 1.33. See 37 CFR 1.4(d) for signature requirements and certifications.
Submit multiple forms if more than one signature is required, see below*.
*Total of

forms are submitted.

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 2.5 hours 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 Administrative 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.

PTO/SB/413C (5)
Approved for use through XX/XX/XXXX. 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 Request for First Action Interview (Full Pilot Program)
(Not to be Submitted to the USPTO)

A grantable request must meet the following conditions:
1. The application must be a new non-reissue utility application filed under 35 U.S.C. 111(a) or an
international application that has entered the national stage in compliance with 35 U.S.C. 371(c).
2. The application must contain three (3) or fewer independent claims and twenty (20) or fewer total claims.
The application may not contain any multiple dependent claims.
3. The request must be filed electronically using the Office’s electronic filing system, EFS-Web.
4. The claims must be directed to a single invention. If the Office determines that the claims are directed to
multiple inventions (e.g., in a restriction requirement), the applicant must make an election without traverse.
5. The request must be filed at least one day before a first Office action on the merits of the application
appears in the Patent Application Information Retrieval (PAIR) system (i.e., at least one day prior to the
date when a first Office action on the merits, notice of allowability or allowance, or action under Ex parte
Quayle, 1935 Dec. Comm’r Pat. 11 (1935) appears in the PAIR system). Applicant may check the status of
the application using the PAIR system.
6. The request for a first action interview must include a statement that applicant agrees not to file a request
for a refund of the search fee and any excess claims fees paid in the application after the mailing or
notification of the Pre-Interview Communication. Any petition for express abandonment under 37 CFR
1.138(d), and request for a refund of the search fee and any excess claims fees, filed after the mailing or
notification of the Pre-Interview Communication will not be granted.

For more information, see notice “Full First Action Interview Pilot Program” available on the

USPTO web site at http://www.uspto.gov/patents/init_events/faipp_full.jsp

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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. The United
States Patent and Trademark Office (USPTO) collects this information under authority of 5 CFR
339.205. The information in this system of records is used to manage all records of applicant
including name, citizenship, residence, post office address and other information pertaining to the
applicant's activities in connection with the invention for which a patent is sought. Statements
containing various kinds of information with respect to inventors who are deceased or
incapacitated, or who are unavailable or unwilling to make application for patent. The information
obtain is protected from disclosure to third parties in accordance with the Privacy Act.
However, routine uses of this information may include disclosure to the following: to law
enforcement and investigation in the event that the system of records indicates a violation or
potential violation of law; to a Federal, state, local, or international agency, in response to its
request; to an agency, organization, or individual for the purpose of performing audit or oversight
operations as authorized by law; to non-federal personnel under contract to the agency; to a court
for adjudication and litigation; to the Department of Justice for Freedom of Information Act (FOIA)
assistance; to members of congress working on behalf of an individual; to the Office of Personnel
Management (OPM) for personnel research purposes; to National Archives and Records
Administration for inspection of records; and to the Office of Management and Budget (OMB)for
legislative coordination and clearance. Failure to provide any part of the requested information may
result in an inability to process requests for access and information. The applicable Privacy Act
System of Records Notice for this information is COMMERCE/PAT-TM-7 Patent Application Files,
available at Federal Register /Vol. 78, No. 61 / Friday, March 29, 2013 /Notices 19243. https://
www.govinfo.gov/content/pkg/FR-2013-03-29/pdf/2013-07341.pdf

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