Form PTO/AIA/31, Notice of Appeal, is the U.S. Patent and Trademark Office (USPTO) form on which a patent applicant appeals to the Patent Trial and Appeal Board (PTAB) from the last decision of the examiner. Besides the appeal statement, it records the fee line, the small or micro entity choice, the payment method and who signs. On FillingPDF you can fill out the form online and download or print the completed PDF; the USPTO publishes the original, and the form is filed through USPTO channels.
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What is PTO/AIA/31?
Form PTO/AIA/31, Notice of Appeal, is the U.S. Patent and Trademark Office (USPTO) form with which a patent applicant states that they appeal to the Patent Trial and Appeal Board from the last decision of the examiner.
The form is printed as "Notice of Appeal From the Examiner to the Patent Trial and Appeal Board" and carries the revision mark PTO/AIA/31 (11-23) and OMB control number 0651-0063. It opens with a certificate of mailing or transmission under 37 CFR 1.8(a), then identifies the application: first named inventor, application number, filing date, title, art unit and examiner, with an optional docket number. Below that, it states the appeal, gives the line for the fee under 37 CFR 41.20(b)(1), and offers small entity (37 CFR 1.27) and micro entity (37 CFR 1.29) options with a reduced fee. It also lists the payment choices and the extension-of-time box, and ends with the signer's capacity and signature block.
On the USPTO's patent forms page it sits in the Appeal group, next to Form PTO/AIA/32 (Request for Oral Hearing Before the Patent Trial and Appeal Board), Form PTO/AIA/33 (Pre-Appeal Brief Request for Review) and Form PTO/AIA/34 (Certification and Transmittal of Appeal Forwarding Fee). Those are separate forms for other steps; this one is the notice itself.
It is addressed to the PTAB from an examiner's decision, so it is not a notice of appeal to a court.
Who needs to file PTO/AIA/31?
A patent applicant who wants to appeal to the Patent Trial and Appeal Board from the last decision of the examiner uses this form. The signer is one of three people, chosen in the "I am the" line of the signature block:
- the applicant;
- an attorney or agent of record, with a registration number;
- an attorney or agent acting under 37 CFR 1.34, with a registration number.
The form must be signed in accordance with 37 CFR 1.33, and 37 CFR 1.4 sets the signature requirements and certifications. If more than one signature is required, submit multiple forms and enter the total number of forms submitted.
The USPTO's forms page says its forms in this group are for patent applications filed on or after September 16, 2012; forms for earlier applications are listed separately. The USPTO also states that, in almost all situations, it does not require a form: any submission that meets the Patent Laws, Rules and Office notices is accepted whether or not it resembles a USPTO form. Using a form for a purpose it was not designed for is not advised.
When to file PTO/AIA/31
File Form PTO/AIA/31 when the applicant appeals to the Patent Trial and Appeal Board from the last decision of the examiner. The form prints no deadline of its own.
If the appeal needs more time, the form has a box for a petition for an extension of time under 37 CFR 1.136(a) (PTO/AIA/22 or equivalent) enclosed with it. For extensions of time in reexamination proceedings, the form refers to 37 CFR 1.550.
The certificate at the top lets you state the date on which the correspondence is transmitted by the USPTO patent electronic filing system or facsimile, or deposited with the United States Postal Service as first class mail, under 37 CFR 1.8(a).
The "Approved for use through 10/31/2026" line is an OMB requirement. The USPTO says such dates do not mark when a form becomes invalid; the date it lists for AIA/31 is its last revision, 11/2023.
Documents you need
- Form PTO/SB/15A or B (micro entity certification) or equivalent, enclosed or already submitted, when you check the box certifying micro entity status under 37 CFR 1.29.
- A check in the amount of the fee, enclosed, only if you choose to pay by check.
- Form PTO-2038, attached, only if you pay by credit card; the form warns that credit card information must not be written on it.
- A petition for an extension of time under 37 CFR 1.136(a) (PTO/AIA/22 or equivalent), enclosed, only if an extension is needed; reexamination extensions are under 37 CFR 1.550.
- Additional signed copies of Form PTO/AIA/31 when more than one signature is required, with the count entered on the line "Total of ___ forms are submitted".
How to fill out PTO/AIA/31
Identify the application
Enter the optional Docket Number, then the First Named Inventor, Application Number, Filed date, the title on the "For" line, the Art Unit and the Examiner.
Complete the certificate of mailing
In the certificate under 37 CFR 1.8(a), enter the date on which the correspondence is transmitted or deposited, then sign and type or print your name.
Confirm the appeal and enter the fee
The form states that the applicant appeals to the Patent Trial and Appeal Board from the last decision of the examiner. On the fee line (37 CFR 41.20(b)(1)), enter the current fee from the USPTO fee schedule.
Choose small or micro entity status
Check the small entity box (37 CFR 1.27) or the micro entity box (37 CFR 1.29) only if it applies, and enter the reduced fee on its line. For micro entity status, enclose Form PTO/SB/15A or B or an equivalent, or confirm it was submitted previously.
Select the payment method
Check one option: a check enclosed, a credit card with Form PTO-2038 attached, a Deposit Account charge with the account number, or payment made via the USPTO patent electronic filing system. Do not enter card details on this form.
Mark any extension of time
Check the box if a petition for an extension of time under 37 CFR 1.136(a) (PTO/AIA/22 or equivalent) is enclosed.
State who is signing
Check applicant, attorney or agent of record, or attorney or agent acting under 37 CFR 1.34. For an attorney or agent, enter the registration number.
Sign, date and give a phone number
Add the signature, typed or printed name, telephone number and date. If more than one signature is required, complete multiple forms and enter the total on the line "Total of ___ forms are submitted".
Review, download and file
Check every entry against the application, then download or print the completed PDF from FillingPDF and file it through the channels under How to submit.
How to submit PTO/AIA/31
The form's certificate recognizes three channels: the USPTO patent electronic filing system, facsimile, and the United States Postal Service by first class mail.
- Electronically: through the USPTO patent electronic filing system, Patent Center, at https://patentcenter.uspto.gov/. For e-filing help, the Patent Electronic Business Center lists 866-217-9197 (toll free) and 571-272-4100, Monday to Friday, 9:00 AM to 8:00 PM EST.
- By fax: the form prints no fax number; confirm it with the USPTO before sending.
- By mail: address the envelope to "Commissioner for Patents, P.O. Box 1450, Alexandria, VA 22313-1450". The form says not to send fees or completed forms to the Chief Administrative Officer named in its burden statement.
A fee applies to this notice. The form gives payment options: a check enclosed, a credit card on Form PTO-2038 (never on this form), a deposit account charge, or payment through the USPTO patent electronic filing system. Ask the USPTO for the current amount; the form leaves the fee line for you to complete. For help completing the form, call 1-800-PTO-9199 and select option 2.
FillingPDF lets you fill out and download the PDF; submission follows the channels above.
Common mistakes to avoid
- Writing credit card information on the form. The form warns that its information may become public and says to provide card details and authorization on Form PTO-2038.
- Mailing the completed form to the Chief Administrative Officer named in the burden statement. The form says to send fees and completed forms to the Commissioner for Patents.
- Certifying micro entity status without enclosing Form PTO/SB/15A or B or an equivalent, or without having submitted one previously.
- Leaving the form unsigned, or signed in a way that does not meet 37 CFR 1.33 and 37 CFR 1.4.
- Using one form when more than one signature is required; the form says to submit multiple forms and enter the total.
- Changing the certification statements on the form. The USPTO says no changes to certification statements on its forms may be made.
- Checking a reduced-fee entity box but leaving the resulting fee blank, or entering a fee without checking the matching entity box.
- Selecting a signer capacity but omitting the registration number for an attorney or agent.
Frequently asked questions
What is Form PTO/AIA/31, Notice of Appeal?
Form PTO/AIA/31 is the USPTO form on which a patent applicant gives notice of an appeal to the Patent Trial and Appeal Board from the last decision of the examiner. It also records the fee, entity status, payment method and the signer.
Who can sign a notice of appeal on Form PTO/AIA/31?
The applicant, an attorney or agent of record, or an attorney or agent acting under 37 CFR 1.34. Attorneys and agents give a registration number. The form must be signed under 37 CFR 1.33, and 37 CFR 1.4 sets the signature rules; use multiple forms if more signatures are needed.
Where do I send Form PTO/AIA/31?
Use the USPTO patent electronic filing system (Patent Center), fax, or first class mail addressed to Commissioner for Patents, P.O. Box 1450, Alexandria, VA 22313-1450. The form says not to send completed forms or fees to the Chief Administrative Officer named in its burden statement.
How do I pay the fee for this notice of appeal?
The form offers four options: a check enclosed, a credit card with Form PTO-2038 attached, a charge to a Deposit Account, or payment via the USPTO patent electronic filing system. The amount is not printed on the form, so check the USPTO's current fee schedule.
Do I get a reduced fee as a small or micro entity?
The form has a small entity box (37 CFR 1.27) and a micro entity box (37 CFR 1.29), each with a line for the reduced fee. For micro entity status, Form PTO/SB/15A or B, or an equivalent, must be enclosed or already submitted.
Do I have to use this form to file a notice of appeal?
No form is required in almost all situations, according to the USPTO. It accepts any submission that meets the Patent Laws, Rules and Office notices, whether or not it looks like the form. This form is a guide for the notice, not the only way to file one.
Can I fill out Form PTO/AIA/31 online on FillingPDF?
Yes. You can fill out the PDF online on FillingPDF and download or print it. FillingPDF is independent of the USPTO and does not file the notice; you file it through the USPTO channels.
What do I do if I need an extension of time with the appeal?
Check the extension box and enclose a petition under 37 CFR 1.136(a), using PTO/AIA/22 or an equivalent. For extensions of time in reexamination proceedings, the form points to 37 CFR 1.550.
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