How should examiners record the substance of an interview?

This page is an FAQ based on guidance from the Manual of Patent Examining Procedure. It is provided as guidance, with links to the ground truth sources. This is information only: it is not legal advice.

Examiners have specific guidelines for recording the substance of patent interviews, as outlined in MPEP 713.04:

1. Use an Interview Summary form (PTOL-413/413b) to record the substance of an interview.
2. Begin completing the form in advance by identifying rejections, claims, and prior art documents to be discussed.
3. Complete the “Issues Discussed” portion at the conclusion of the interview.
4. Provide a copy of the Interview Summary form to the applicant or their representative.
5. Include the date of the interview and properly record the substance of the interview.
6. For examiner-initiated interviews, record the substance either on an Interview Summary form or, if the interview results in allowance, incorporate a complete record in an examiner’s amendment.

The MPEP states: The Interview Summary form shall include the date the interview was held and the substance of the interview shall be properly recorded.

Examiners are also expected to review the applicant’s record of the interview for accuracy and completeness, ensuring that all important aspects of the discussion are properly documented.