Form PTO/SB/413C Request for First Action Interview (Full Pilot Program)

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

PTO/SB/413C ()
Approved for use through 01/31/2013. 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 12 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 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. 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 ()
Approved for use through 07/31/2012. 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

Page 2

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.

Page 3