26-0036 SOW Clarivate DWPI Final 30Aug.docx

Subscription to Derwent World Patent Index Database (DWPI) and Foreign Data Collection (FDC)

1. Background

The mission of the United States Patent and Trademark Office (USPTO) is to foster innovation, competitiveness and job growth in the United States. USPTO conducts high quality and timely patent and trademark examinations and reviews proceedings in order to produce reliable and predictable intellectual property rights, guides intellectual property policy, improves intellectual property rights protection and delivering intellectual property information and education worldwide.

The mission of the Scientific and Technical Information Center (STIC) is to enable patent examiners to accomplish the PTO mission. Clarivate Derwent World Patent Index (DWPI) assists the STIC mission by providing a collection of foreign patent documents as well as enhanced indexing and integration into an international patent repository containing bibliographic data. They also provide Foreign Data Collection (FDC) of full text and image documents that index and integrate data to USPTO’s in-house systems. Human and mechanical processes translate Foreign Data Collection content into English.

2. Purpose

The objective of this contract is to acquire a subscription (including technical support) to an international patent repository, including bibliographic data DWPI and a collection of full text, full image documents translated into English for USPTO’s STIC FDC.

3. Scope

a. The contractor shall provide Derwent World Patent Index including:

· Foreign Data Collection

· Derwent Citation Patent Index

b. DWPI - The searchable abstracted summaries of patent documents and bibliographic data records of the international patent repository, including:

i. Global patents shall include at a minimum the patent authorities in Table 1, to include over 38 million patent families Each patent family covering more than 100 million patent documents (A family is a grouping around a Basic Patent, which is usually the first published example of the invention).

ii. Analyzed, abstracted, and manually indexed patent records.

iii. Each short entry shall include a short abstract detailing the nature and use of the invention described in a patent and shall be indexed into alphanumeric technology categories to allow retrieval of relevant patent documents by users. Each record within the database shall define a patent family. Each patent family shall be grouped around a Basic Patent. All subsequent filings refer back to the Basic Patent and are referred to as Equivalent patents. The file shall contain, at a minimum, published patent documents from the countries listed in Table 1 below. The Contractor shall record each patent family at the various patent offices as protection of an invention is sought around the world.

Table 1 DWPI Patent Authorities

Gulf Cooperation Council

c. The FDC shall include at a minimum, the full text of published patent documents and their images from international authorities as indicated in Table 2. This collection should include both human and machine translated documents.

i. The USPTO will own in perpetuity the images and licenses full text in the native language and the translations thereof.

ii. The FDC shall include, at a minimum, files from the patent authorities listed in Table 2 below:

Table 2 FDC Patent Authorities

Singapore

Slovakia

Australia Former Reichspatentamt of Germany

Moldova

Slovenia

Zealand Taiwan

Serbia

d. The Contractor shall allow the USPTO to provide public access via the Patent Public Search (PPUBS). PPUBS will provide public use from the USPTO public website of the FDC on the USPTO’s PPUBS and include the Front File and Back File of the Foreign Data Collection, including full text translations and images. The PPUBS is a search-only system with no-bulk export capabilities (users can only print or save single documents with the browser print function).

e. Each record shall contain a summary, abstract, and the full and complete record, including the English translated (by mechanical or human means) full text document and image. Each record shall include as applicable (at a minimum), the elements from Table 3 below:

Table 3 Record Elements

publication date

<classification-cpc>, <classification-cpc- combination> CPC Classifications, CPC Combination Sets, CPC family identifier

<classification-ipc>, <classification-ipcr> IPC / IPCr Classifications

Fl-terms)

documents cited (country, doc number, kind code, application name, and publication date)

f. The Derwent Patent Citation Index (DWPCI) (a collection of international examiner and applicant citations to patent and non-patent literature from 33 international patent authorities) shall be included.

g. The contractor will provide DWPI and FDC Front-File Data, or current files, delivered in a machine-readable format that integrates with the USPTO’s Internal systems known as Patents End-to-End (PE2E) and future USPTO systems.

i. The data provided shall contain a full and complete record as indicated in Table 3, as well as the full document image, full text, and high-quality English translation.

ii. Must deliver the FDC Back File corrections in XML format (ST.36 as specified by USPTO).

iii. The contractor will deliver DWPI and FDC Front Files electronically as secure file transfer protocol (SFTP) downloadable files, or on USPTO specified high-density media, along with applicable documentation, as required by the USPTO Office of the Chief Information Officer (OCIO)/Cyber Security Group.

iv. The vendor shall perform periodic updates to the DWPI database and the FDC data covering the latest patent documents issued by the patent authorities. These updates shall be provided bi-weekly at a minimum. Additionally, the vendor shall provide corrections when needed. Vendor shall not split the daily delivery of all new Front File records by country, they shall be delivered in multiple GZ files in the current directory structure.

v. Updated records shall be delivered weekly. For China (Mainland), Japan, European Patents, and the WIPO, the updated records shall be delivered by country. For all other countries the updated records can be delivered together in one directory in multiple GZ files. The file must be delivered to a folder where the folder name contains the country code.

vi. The contractor shall assure quality and completeness of collections, to include full record replacement where required.

vii. The contractor shall ensure data security following USPTO standards (See clause PTO-24, Security Requirements for Information Technology Resources,).

viii. The contractor shall provide the options to access these resources through commercial database such as ProQuest Dialog, STN, and Questel’s Orbit, which provide additional features not available through in-house databases.

ix. Front-files must include Patent Family Data when available, which refers to publications related by the same priority-application file number(s).

x. Standardized and normalized inventor and assignee names that allow for increased identification of documents assigned to a particular company or inventor.

xi. Authority file comprising document identifier information (country, document number, document kind, publication date, pages (for images) for each Front File text and image delivery.

xii. Authority file for whole collection or specified patent authority, periodically or at request.

xiii. Backfile foreign documents from countries listed in Table 2 that are not currently loaded with English text translations and images as they become available.

xiv. Contractor will supply files according to delivery requirements such as delivery location, schedule and size considerations.

xv. Contractor shall supply latest patent document versions for specified authorities if requested.

xvi. For all countries where native-language data is translated to English-language data, the contractor shall provide English-language translated data along with the native-language data.

4. Project Kick-Off

A project kick-off meeting will take place no later than five (5) days after contract award via phone, Teams, or Web-Ex to define and clarify successful contract execution, the background of the contract requirement(s), how the team will work together effectively, and roles and responsibilities identification. Progress meetings will be scheduled and held with the Contracting Officer’s Representative (COR) as necessary.

5. Usage Reports

The Contractor shall provide monthly usage reports for subscriptions to the multi-disciplinary database; multi-disciplinary research tool and content; ad hoc usage reports that are customizable, and additional services in support of STIC, by the 5th Business Day of the month to facilitate the recording and reporting of online usage statistics sorted by users in a consistent, credible and compatible way. Usage Reports shall be delivered to the COR and a Technical Point of Contact (POC) to be specified at award.

6. Deliverables

SOW Section

documents translated to English Seven (7) business days from date of award; then bi-weekly.

Database

summaries & abstracts of English translated documents-DWPI) Seven (7) business days from date of award; then bi-weekly.

Database

7. Technical Support

7.1 Technical Support

The Contractor shall provide general and technical support to USPTO via phone (help-desk), Microsoft Teams, on-site, and electronic reference materials. Must be available nationwide during hours agreed upon by the USPTO and the Contractor (usually normal business hours). Technical support shall be delivered to the USPTO on an ongoing basis throughout the base and option years for Foreign Data Collection and Derwent World Patent Index products and services. Technical Support shall include:

1. Hardware for both the SFTP server and high-density media.

2. Monthly SFTP server support.

3. Technical/engineering data load man hours.

4. Technical and education materials.

5. Conversion of DWPI to ST.36 format enabling delivery of a single data feed to USPTO.

All outages shall be reported to the COR/Technical POC and KMC via email (contact information to be provided at time of award). Outage updates shall be provided by the Contractor every 24 hours in writing until access is restored. Furthermore, under NO circumstance shall outages be scheduled during USPTO Quiet Hours. See Attachment 3, Patent and Trademark Quiet Time Calendars for the Base Year. Subsequent option year quiet hours will be provided upon the option exercise.

7.2 Update

The Contractor shall update databases and content per published schedules to ensure the most current content. The Contractor shall notify the COR/Technical POC and KMC in writing regarding content, titles or applications that are discontinued during the term of the contract. All written notifications shall be provided within three (3) business days and include an acceptable remedy (i.e., alternate titles, content, applications or credits). Failure to provide written notice or an acceptable remedy shall count against the content collection standard. USPTO shall request the addition of and or access to additional content and or titles to databases, eBooks, and subscriptions via modification to the contract (if necessary).

7.3 Quality Assurance

The Contractor shall develop and maintain a quality control program that ensures database access and content therein are delivered and accessible. The Contractor shall develop and implement procedures to track, identify, prevent, remedy, and ensure non-recurrence of defective services. The Contractor shall provide a method to accept and resolve complaints and notify the COR of the resolution. The contractor shall immediately notify the COR upon receipt of a complaint so joint validation may be accomplished. The Contractor is responsible for quality control and specification compliance.

8. Applicable Performance Standards

(if applicable)

3c, 3f Front Files (Incremental updates to Foreign Data Collection full text & image documents translated to English)

95% - Contractor will provide ongoing front-files bi-weekly.

3a, 3f Front Files (Incremental updates of patent application summaries & abstracts of English translated documents-DWPI)

95% - Contractor will provide ongoing front-files bi-weekly.

Technical Support (Foreign Data Collection; Patent application summaries & abstracts of English translated documents)

Contractor will provide support for 95% of technical issues.

9. Service Prices/Costs

See Attachment 2 for Schedule of Services & Prices

10. Period of Performance

The period of performance will commence upon award of this contract and continue for one (1) base year with three (3) one-year option periods.

Period of Performance

11. Place of Performance

All content should be available for use by USPTO employees and contractors located through the United States and Puerto Rico, to include the USPTO Regional Offices located in Dallas, Denver, Detroit and San Jose.

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