PTO/SB/448 Certification and Request to Treat an Application Filed

Doc Code: RFN.OUTAGE
Doc Description: Refund Request ONLY for Papers Filed During a Designated Outage
PTO/SB/448 (11-23)
Approved for use through XX/XX/XXXX. OMB 0651-0032
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.

CERTIFICATION AND REQUEST TO TREAT AN APPLICATION FILED DURING A DESIGNATED
SIGNIFICANT UNPLANNED ELECTRONIC BUSINESS SYSTEM OUTAGE AS AN APPLICATION
FILED BY THE USPTO’S ELECTRONIC FILING SYSTEM
Application Number

Filing Date

First Named Inventor

Attorney Docket Number

Title of Invention

APPLICANT HEREBY CERTIFIES THE FOLLOWING AND REQUESTS THAT THE ABOVE-IDENTIFIED APPLICATION
BE TREATED AS AN APPLICATION FILED BY THE USPTO PATENT ELECTRONIC FILING SYSTEM.
1. The above-identified application was filed during a designated significant unplanned electronic business
system outage by an alternative filing method. In addition, a copy of the applicationis being filed with this
form via USPTO patent electronic filing system no later than: (1) one month from the date a filing receipt was first
issued for the application if the non-electronic filing fee has been paid; or (2) the expiration of the period for
reply to a notice requiring payment of the non-electronic filing fee (e.g., a notice to file missing parts under
37 CFR 1.53(f)) if the non-electronic filing fee has not been paid.
2. The copy of the application filedwith this form via USPTO patent electronic filing system is a true copy of the
original applicationas filed by the alternative filing method. The copy of the application is being filedas a
follow-on paper to the above-identified application, and not as a new application.
3. Applicant requests a refund of any fees that were previously paid (e.g., the non-electronic filing fee) that are
not due as a result of treating the application as an application filed by the USPTO patent electronic filing
system. If appropriate, applicant requests that any fees currently due be recalculated and that any fees
available as a result of the recalculation be reapplied to fees remaining due on the filing of this application as
needed and that any remaining funds be refunded according to 37 CFR 1.26.
NOTE: This form must be signed in accordance with 37 CFR 1.33. Please see 37 CFR 1.4(d) for the signature
requirements. Submit multiple forms if more than one signature is required – see below.*
Signature

Date

Name

Registration Number

*Total of _________ forms are submitted.

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 the information in this record under authority of 35 U.S.C. 2. The USPTO’s system of records is
used to manage all applicant and owner information including name, citizenship, residence, post office address, and
other information with respect to inventors and their legal representatives pertaining to the applicant's/owner’s
activities in connection with the invention for which a patent is sought or has been granted. The applicable Privacy Act
System of Records Notice for the information collected in this form is COMMERCE/PAT-TM-7 Patent Application Files,
available in the Federal Register at 78 FR 19243 (March 29, 2013). https://www.govinfo.gov/content/pkg/
FR-2013-03-29/pdf/2013-07341.pdf
Routine uses of the information in this record may include disclosure to:
1) law enforcement, in the event that the system of records indicates a violation or potential violation of law;
2) a federal, state, local, or international agency, in response to its request;
3) a contractor of the USPTO having need for the information in order to perform a contract;
4) the Department of Justice for determination of whether the Freedom of Information Act (FOIA) requires
disclosure of the record;
5) a Member of Congress submitting a request involving an individual to whom the record pertains, when the
individual has requested the Member’s assistance with respect to the subject matter of the record;
6) a court, magistrate, or administrative tribunal, in the course of presenting evidence, including disclosures to
opposing counsel in the course of settlement negotiations;
7) the Administrator, General Services Administration (GSA), or their designee, during an inspection of records
conducted by GSA under authority of 44 U.S.C. 2904 and 2906, in accordance with the GSA regulations and
any other relevant (i.e., GSA or Commerce) directive, where such disclosure shall not be used to make
determinations about individuals;
8) 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));
9) the Office of Personnel Management (OPM) for personnel research purposes; and
10) the Office of Management and Budget (OMB) for legislative coordination and clearance.
If you do not furnish the information requested on this form, the USPTO may not be able to process and/or
examine your submission, which may result in termination of proceedings, abandonment of the application, and/
or expiration of the patent.