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Section J Technical References Index and Crosswalk of Documents
| Attachment No. |
| Description, Function and Purpose |
| Document Name in Statement of Work |
| Document File Names |
| Document Type |
| Document Version Date |
| 00 |
| Section J Technical References Index and Crosswalk |
(this document)
| Not specifically referenced |
| 00 - Section J Technical References Index and Crosswalk |
| MS Word |
| 06/08/2020 |
Computer Access, Hardware & Software Requirements
| Attachment No. |
| Description, Function and Purpose |
| Document Name in Statement of Work |
| Document File Names |
| Document Type |
| Document Version Date |
| 01a |
| This document provides information required for a contractor to access USPTO’s network from outside the USPTO main campus. |
| Contractors Access to USPTO |
| 01a - Contractors Access to USPTO v4.1 Before Awarded 12-09-2019 Final |
| MS Word |
| 04/16/2020 |
| 01b |
| This document provides information pertaining to the OCIO's Personal Identity Verification (PIV) Card Authentication Policy. |
| OCIO's Personal Identity Verification (PIV) Card Authentication Policy |
| 01b - OCIO Personal Identity Verification (PIV) Card Authentication Policy_OCIO-POL-49 |
| PDF |
| 04/19/2018 |
| 02 |
| This document provides information about the Trusted Internet Connection (TIC), as outlined in OMB Memorandum M-08-05. |
| Trusted Internet Connections (TIC) |
| 02 - TIC_Ref_Arch_v2.2_2017 |
| PDF |
| 06/19/2017 |
| 03a |
| This document provide information about workstation specifications, workstation naming convention, and software configurations for connecting to USPTO’s network and systems. |
| Not specifically referenced |
| 03a – USPTO_Computer_Specs |
| MS Excel |
| 11/13/2017 |
03b
| Not specifically referenced |
| 03b - USPTO Enterprise Workstation Naming Convention |
| MS Word |
| 11/13/2017 |
03c
| Not specifically referenced |
| 03c - Windows 10 LTSB Baseline for CEP - CEDP COR Systems Baseline |
| MS Word |
| 09/20/2018 |
General Reference Documents
| Attachment No. |
| Description, Function and Purpose |
| Document Name in Statement of Work |
| Document File Names |
| Document Type |
| Document Version Date |
| 04 |
| This document provide a listing of all CLINs, their unit/frequency, where in the SOW the work is referenced and historical volumes. |
| Crosswalk of CLINS to SOW and Historical Volumes |
| 04 - Crosswalk of CLINs to SOW and Historical Volumes (2020-0419) |
| MS Excel |
| 03/13/2019 |
| 05a |
| These documents provide historical data on volumes, page counts, etc. |
| Historical Data |
| 05a- Historical Data_Page Counts and Volumes |
| MS Word |
| 04/29/2020 |
05b
| Not specifically referenced |
| 05b- Weekly Serialized Filings |
| MS Excel |
| 02/03/2020 |
05c
| Not specifically referenced |
| 05c- QA of EFS Web Submissions Error Categories and Historical Volumes |
| MS Excel |
| 04/15/2020 |
05d
| Not specifically referenced |
| 05d - Historical Volumes for PG Pubs, IDC Exports and Issue Sizes for FY-16-19 |
| MS Excel |
| 02/03/2020 |
| 06 |
| This document provides a listing of all reports, deliverables, and exports and their descriptions, the mode of delivery, frequency and who is responsible for delivery. Samples of reports are also included. |
| Reports and Deliverables Table |
| 06 - Exports to the Contractor, Reports and Deliverables Table Including Sample Reports |
| MS Excel |
| 04/15/2020 |
| 07 |
| This document provides a listing of codes that identify each document in the Official Electronic File Wrapper. |
| IFW Document Code Dictionary |
| 07 - IFW Document Codes – Document Code Dictionary 2020-04-15 |
| PDF |
| 04/15/2020 |
| 08 |
| This document provides the definition of terms used during all phases of the contract, i.e., FEP, PG Pub, Post Allowance and Post Issuance. |
| Not specifically referenced |
| 08 – Glossary of Terms |
| MS Word |
| 10/19/2018 |
| 09 |
| These links provide information about patent classifications and definitions. |
| Not specifically referenced |
| 09 - Link to Patent Classifications and Definitions |
| MS Word |
| 04/15/2020 |
| 10a |
| A listing of patent applications and their corresponding publication numbers, if published. Samples of these are provided in 10b. |
| Not specifically referenced |
| 10a – Sample Issued Patents and Cooperative Patent Classification |
| MS Word |
| 04/15/2020 |
| 10b |
| Images of the issued patents listed in 10a. |
| Not specifically referenced |
| 10b01 - 10b15 - Sample Patents |
| Multiple PDF files |
| 07/12/2017 |
| 10c |
| Link to USPTO’s website to view additional examples of Pre-Grant Publications, Issued Patents, Certificates of Correction, Statutory Invention Registration Certificates, Reexamination Certificates. |
| Not specifically referenced |
| 10c – Link to USPTO Website |
| MS Word |
| 04/15/2020 |
| 11 |
| This document provides a link to Public PAIR to view samples of published and/or patented applications. |
| Not specifically referenced |
| 11 - Link to Public PAIR |
| MS Word |
| 04/15/2020 |
Front End Processing
| Attachment No. |
| Description, Function and Purpose |
| Document Name in Statement of Work |
| Document File Names |
| Document Type |
| Document Version Date |
| 12 |
| This flow chart provides a high-level depiction of the FEP Process. |
| Flowchart FEP Process |
| 12 – Front End Processes |
| PDF |
| 12/19/2017 |
| 13 |
| These documents provide the instructions for delivering submissions to the official electronic file wrapper. |
| Front End Processing Manual |
| 13 - Front End Processing (FEP) Manual for Indexing and Scanning |
| MS Word |
| 04/16/2020 |
| 13a |
| These documents provide supplemental instructions for performing Front End Processing. |
| Not specifically referenced |
| 13a - FEPIB 2020-01 - FEPIB 2020-03 |
| Multiple MS Word Documents |
| Various Dates |
| 14 |
| This document provides the instructions for performing EFS Web QC. |
| EFS Web QC Manual (Quality Assurance of EFS-Web Submissions) |
| 14 - Quality Assurance of EFS-Web Submissions20190917 |
| MS Word |
| 09/17/2019 |
| 15 |
| This document provides the instructions for performing CFR Transfer Requests. |
| Computer Readable Format Transfer Participant Manual |
| 15 – CRF_Transfer_Participant_Manual_Final_Revision_2019-03-18 |
| PDF |
| 03/18/2019 |
Pre-Grant Publication
| Attachment No. |
| Description, Function and Purpose |
| Document Name in Statement of Work |
| Document File Names |
| Document Type |
| Document Version Date |
| 16 |
| This flow chart provides a high-level depiction of the PG Pub Process. |
| PG Pub Process Flow |
| 16 – PG Pub Processes |
| PDF |
| 12/19/2017 |
| 17a |
| This document provides the instructions for performing Data Capture for PG Pub. |
| Data Preparation Manual for Patent Application Pre-Grant Publications |
| 17a – DPMpgpub-2020 |
| MS Word |
| 04/08/2020 |
| 17b |
| Primary BIB dtd used for the export of PALM bibliographic data for pre-grant publications. |
| Not specifically referenced |
| 17b – (jpg) u-bibdat1 |
| JPG |
| 04/16/2020 |
| 17c |
| Supplemental BIB dtd used for the export of classification data plus PALM bibliographic data for pre-grant publications. |
| Not specifically referenced |
| 17c – (jpg) u-suppub8-2012-12-04 |
| JPG |
| 12/04/2012 |
| 17d |
| The BIB dtd used for the export of EFS-Web bibliographic data for certain pre-grant pubs (repubs, amended, redacted, voluntary, early). |
| Not specifically referenced |
| 17d – (jpg) us-request-v15-2013-01-25 |
| JPG |
| 01/25/2013 |
| 17e |
| The dtd used for the export of image files for processing. |
| Not specifically referenced |
| 17e – (txt) -ExportTOC1 |
| 18 |
| Finalized Data Capture Bulletins for PG Pub. These documents provide supplemental instructions for performing Data Capture for PG Pub. |
| Not specifically referenced |
| 18 - DCB 2020-4 and 18 - DCB 2020-12 |
| Multiple MS Word Documents |
| Various Dates |
| 19 |
| This document provides a link to USPTO PG Pub Red Book Instructions. |
| Not specifically referenced |
| 19 - PG Pub - Red Book Instructions |
| MS Word |
| 04/16/2020 |
| 20 |
| This document provides a link to USPTO PG Pub Yellow Book Instructions. |
| Not specifically referenced |
| 20 - PG Pub - Yellow Book Instructions |
| MS Word |
| 04/16/2020 |
Post Allowance
| Attachment No. |
| Description, Function and Purpose |
| Document Name in Statement of Work |
| Document File Names |
| Document Type |
| Document Version Date |
| 21 |
| This flow chart provides a high-level depiction of the Post Allowance Process. |
| Flowchart for the Post-Allowance Process |
| 21 – Post Allowance Processes |
| PDF |
| 12/19/2017 |
| 22 |
| This document provides the instructions for performing Data Capture for Grant Utility Patents. |
| Data Entry Manual for Utility Patents |
| 22 - DataEntryManual-UTILITY-2020 |
| MS Word |
| 04/08/2020 |
| 23 |
| This document provides the instructions for performing Data Capture for Grant Non-Utility Patents. |
| Data Entry Manual for Non-Utility Patent Documents |
| 23 – DataEntryManual-NON-UTILITY-2020 |
| MS Word |
| 04/08/2020 |
| 24 |
| This document provides the instructions for performing File Maintenance and Final Data Capture Issue Build. |
| File Maintenance and Final Data Capture Issue Build Manual |
| 24 - File Maintenance Final Data Capture and Issue Build 201900911 |
| MS Word |
| 09/11/2019 |
| 25a |
| This document provides the instructions for creating the eOG. |
| Electronic Official Gazette Manual |
| 25a - eOG_manual_2020 |
| MS Word |
| 04/08/2020 |
| 25b |
| This document provides the instructions for creating the annual consolidated notices to the eOG. |
| Consolidated Listing of Official Gazette Notices |
| 25b - Consolidated Listing of Official Gazette Notices, 2018-01-25 |
| 26 |
| Finalized Data Capture Bulletins for Post Allowance. These documents provide supplemental instructions for performing Data Capture. |
| Not specifically referenced |
| 26 - DCB 2020-01 - DCB 2020-11 and DCB 2020-13 |
| Multiple MS Word Documents |
| Various Dates |
| 27 |
| This document provides documentation pertaining to USPTO Grant Red Book Instructions. |
| Not specifically referenced |
| 27 - Grant - Red Book Instructions |
| MS Word |
| 04/16/2020 |
| 28 |
| This document provides a link to USPTO Grant Yellow Book Instructions. |
| Not specifically referenced |
| 28 - Grant - Yellow Book Instructions |
| 29 |
| This document provides a link to the Patent Official Gazette (eOG:P) to view samples of the weekly patents gazette. |
| Electronic Official Gazette Samples |
| 29 – Patent Official Gazette (eOGP) |
| 29a |
| This document provides a link to the Patent Official Gazette Notices to view samples of the weekly gazette notices. |
| Official Gazette Notices |
| 29a - Patent Official Gazette Notices |
| MS Word |
| 04/16/2020 |
Post Issuance
| Attachment No. |
| Description, Function and Purpose |
| Document Name in Statement of Work |
| Document File Names |
| Document Type |
| Document Version Date |
| 30 |
| This flow chart provides a high-level depiction of the Certificates of Correction Process. |
| Flowchart for the Certificates of Correction Process |
| 30 - Certificate of Correction Process |
| 31 |
| This document provides the instructions for performing Data Capture for Certificates of Correction. |
| Processing of Certificates of Correction |
| 31 - CofC_manual_PaDaCap_2020 |
| MS Word |
| 04/08/2020 |
| 31a |
| Finalized Data Capture Bulletins for Post Issuance. These documents provide supplemental instructions for performing Data Capture for Certificates of Correction. |
| Not specifically referenced |
| 31a - DCB 2020-None |
| Multiple MS Word Documents |
| NA |
| 32 |
| This document provides the instructions for performing batch processing to update Patent Term Adjustment for Certificates of Correction. |
| Certificates of Correction Batch Processing to Correct /Update Patent Term Adjustment |
| 32 - CofC Patent Term Adjustment SOP_Nov 13 2017 |
| MS Power Point |
| 11/13/2017 |
USPTO System User Guides
| Attachment No. |
| Description, Function and Purpose |
| Document Name in Statement of Work |
| Document File Names |
| Document Type |
| Document Version Date |
| 33 |
| This document provides information on Patent Application Location and Monitoring (PALM), including User Guide |
| Not specifically referenced |
| 33 – PALM Basics |
| MS Power Point |
| 07/23/2018 |
| 34 |
| This document provides information on processing outgoing and incoming Correspondence in PALM |
| Not specifically referenced |
| 34 - PALM-Correspondence Processing |
| 35a |
| This Patents End-to-End (PE2E) Manual, provides instructions for accessing, managing, reviewing, updating, etc. the Official Electronic File Wrapper. |
| Not specifically referenced |
| 35a - PE2E-eDRS-Manual |
35b
| Not specifically referenced |
| 35b01 - 35b08 – Various PE2E-eDRS Training Manuals |
| Multiple PDF files |
| Various |
| 36 |
| This PE2E manual provides instructions on processing Official Correspondence (OC) in DAV/PE2E. |
| Not specifically referenced |
| 36 - PE2E-OC-OPESS_Manual |
| 37 |
| PALM – PreExam User Manual |
| Not specifically referenced |
| 37 - PreExam Manual with Supplemental Instructions 9-20-2018 |
IT Security Requirements
| Attachment No. |
| Description, Function and Purpose |
| Document Name in Statement of Work |
| Document File Names |
| Document Type |
| Document Version Date |
| 38 |
| This document provides information on IT Security Requirements. This document is provided for informational purposes for offerors that anticipate using cloud services for their IT system. |
| IT Security Requirements |
| 38 - IT Security Requirements – 2020-04 |
| MS Word |
| 04/27/2020 |
| 38a |
| This document provides information on IT Security Requirements. |
| Not specifically referenced |
| 38a - Cloud Services Usage Policy |
| PDF |
| 02/14/2017 |
| 38b |
| This document provides information on IT Security Requirements. |
| Not specifically referenced |
| 38b - IT_Security_Handbook |
| PDF |
| 03/26/2019 |
Transition From Incumbent Contractor To New Contractor
| Attachment No. |
| Description, Function and Purpose |
| Document Name in Statement of Work |
| Document File Names |
| Document Type |
| Document Version Date |
| 39 |
| This document lays out, in general terms, the tasks and activities that must take place to effectively and efficiently transfer duties/responsibilities from the expiring Patent Data Capture (PaDaCap) Contract. |
| Transition Plan Framework |
| 39 - PaDaCap Transition |
Additional Attachments
| Attachment No. |
| Description, Function and Purpose |
| Document Name in Statement of Work |
| Document File Names |
| Document Type |
| Document Version Date |
| 40 |
| Pricing Template |
| Not specifically referenced |
| Pricing Template |
| MS Excel |
| 06/22/2020 |
| 41 |
| Past Performance Questionnaire |
| Not specifically referenced |
| Past Performance Questionnaire |
| MS Word |
| 06/22/2020 |
| 42 |
| Subcontract Plan Template |
| Not specifically referenced |
| Subcontract Plan Template |
| MS Word |
| 06/22/2020 |
| 43 |
| Surveillance Plan |
| Not specifically referenced |
| Surveillance Plan |
| MS Word |
| 06/22/2020 |
00 - Section J Technical References Index and Crosswalk Page 13 of 13