1333BJ21R00151001 - PTS RFP Attachment 1 Statement of Work (SOW).pdf

Attachment 1: Patent Technical Services (PTS) Statement of Work (SOW)

Attachment 1: Patent Technical Services (PTS) Statement of Work (SOW)

Scope Introduction & Notice of Equitable Pricing Adjustment

The scope of work is described in the sections below and individual deliverable units are specified in the Pricing Schedule attached to this RFP. Vendors are notified that the quantities specified in the Pricing Schedule and as described in detail below may vary over time. Therefore the USPTO will revise the pricing annually based on fluctuations in total unit costs incurred using the following procedures:

(1) Thirty days prior to the expiration of each period of performance (unless otherwise noted by the Contracting Officer) the vendor will notify the USPTO if actual unit costs incurred vary by more than 5% of the units stated in the Pricing Matrix.

The vendor will submit a request for equitable adjustment at established unit prices for unit costs incurred above 5% (i.e. when the vendor delivers more units than anticipated). Similarly, if actual unit costs incurred are more than 5% lower than the established contract pricing, the contractor will reimburse the USPTO for the balance remaining (i.e. when the vendor delivers fewer units than anticipated).

(2) USPTO technical teams will monitor unit costs expenditures every two weeks, and the vendor must notify the USPTO technical teams before any unit overages occur.

Legislative changes or major technological deployments during the course of performance may affect substantially the number of total units delivered or the nature and fundamental work processes described in this SOW. For the purposes of complying with the Competition in Contracting Act (CICA), significant variances above or below the estimated unit costs or significant variances/changes to the workflows discussed in this SOW are considered fully within the scope of performance if they are reasonably and rationally related to the core functions described in this document as documented by the Contracting Officer at the time of the change.

Note: workflows, and steps provided reflect steps and practices that occur within USPTO-owned and operated Automated Information Systems. It is up to each individual offeror to propose all necessary elements of a complete technical solution. The USPTO will not provide any additional tools, systems, or software aside from access to the USPTO-owned and operated AISs referenced in the SOW.

SCOPE OF WORK

Introduction

The objective of this procurement is to obtain mission essential services in support of patent application processing. Requirements include receiving and processing United States (U.S.) and international applications and application-related papers; maintaining miscellaneous paper files, collecting fees and updating electronic financial records; monitoring electronic mailboxes and managing, forwarding, and closing messages; annotating messages and documents; mailing examiner office actions and other documents; conducting a review of application document content while reviewing newly submitted applications and follow-on documents for The United States Patent and Trademark Office (USPTO) compliance and completeness, recording or reviewing bibliographic data and preparing and mailing notices to applicants; copying technical references, application documents and other materials; printing and delivering working files for Patent staff use, sorting and delivering incoming mail and other materials; and locating and delivering residual paper application files in response to requests or in order to match incoming papers.

The USPTO is currently using automated systems for executing the Patent application process, wherein the application content consists of image and text documents and the associated application data. During this contract performance period, the USPTO is planning to move to a new electronic patent application file system for access and review of patent applications. However, specifics are not known at this time.

Patent applications that are processed using the USPTO patent application systems are considered electronic patent applications in this Statement of Work (SOW). Some parts of electronic patent application systems include some drawings and text files that may be stored in the Supplemental Complex Repository for Examiners (SCORE) system or in the Content Management System (CMS).

This SCORE database will be replaced in the near future. Other parts of an electronic patent application systems such as color drawings, confidential information, or non-paper objects that are not in the USPTO patent application systems or in SCORE are put in an Artifact Files/Folders. Ninety-nine percent (99%) of all pending electronic patent applications are stored in the USPTO patent application systems. A non-electronic patent application or, paper application, would not normally have content in SCORE or any artifact files/folders. In addition, the USPTO may convert a residual paper application to an electronic patent application system. A residual paper application is one filed prior to the date that the Office started scanning the specific information type into the USPTO patent application systems and has not yet been converted to an electronic patent application system. When the Office converts a paper application to an electronic patent application system, some of the content may be placed in SCORE and/or artifact files/folders.

The processing within this SOW is ninety-nine (99%) electronic processing. Over ninety-eight (98%) of the patent submissions are new patent applications and approximately ninety-five (95%) of the additional submissions are follow-on documents that are submitted using the Electronic Web filing systems (EFS-Web) and a new system called Patent Center. EFS-Web will be replaced in the future by Patent Center as part of our Patents End-to-End (PE2E) changes. Patent Center will allow for patent submissions to be submitted in both images and text-based documents. Patent application systems receive two percent (2%) of patent submissions and twenty percent (20%) of follow-on documents received by mail, at the customer walk-up window, or by facsimile transmission. The USPTO converts the paper submissions to the electronic patent application images and the processing is the same as an electronically submitted application filed via EFS-Web or Patent Center. Applications and follow-on documents received in paper may also have an artifact file/folder that contains items that are not permitted to be scanned into the USPTO patent application systems or loaded into SCORE. The artifact files/folders are also used in examination. A very small number of patent submissions will continue to be filed in paper. The Contractor is required to continue processing paper submissions as described within Section 3.2.2 to prepare them for indexing and scanning. Due to continued development and improvements of the USPTO Information Technology (IT) systems, specific systems identified in this contract may be subject to change and may alter the way some work is performed. Furthermore, the Contractor is responsible for basic office supplies, pens, paper, notepads, stapler/staple, rubber bands, paper clips, rubber finders, etc., for successful performance/completion of this requirement.

The functions within this SOW require the submission of Attachment 12, a Non-disclosure of Patent Information Statement. Signed Non-disclosure agreements are required for any existing or new Contractor’s employees throughout the life of this contract. The Contractor shall submit signed non-disclosures from each Contractor or Subcontractor employee within 5 business days of onboarding to the Contracting Officer’s Representative (COR).

The Contractor shall meet all turnaround times and shall perform work at, or above, accuracy levels based on the quality performance metrics provided in Attachment 10 (Performance Metrics). The Government will randomly inspect the quality and timeliness of the Contractor's work at any time. The Contractor shall correct any problems or deficiencies within specified sections of the SOW as addressed in Attachment 10 (Performance Metrics). SOPs for all processes throughout all task areas will be provided to the Contractor upon award. Please note: all SOPs will be subject to process changes through the life of the contract.

Task 1: FILE MAINTENANCE

Task T1 and all associated Option Period Task T1:

The Contractor shall refile all documents removed from the Examiner Search File (ESF) as well as initially filed materials being added to the ESF. The examiners are currently using electronic automated search tools. ESF is located in the Randolph Building, Concourse Level, Room-00851. When the ESF is not being utilized, the Contractor shall maintain the EFS room. The Contractor is required to empty drop boxes daily and shall correctly refile all documents within eight (8) work hours of pick-up, Monday through Friday (business days). During document refiling, the Contractor should identify any damaged documents and repair by placing clear tape on damaged portion of the document and refile those documents within 16 work hours. In addition to refiling documents, the Contractor shall periodically monitor the condition of each search room to ensure the neat and orderly condition of that search room;

e.g., shifting documents between shoes to eliminate overfilling of a shoe, replacing shoes left lying on top of the shoe cases or on the floor, and replacing/correcting shoe tags as necessary, see Attachment 6(Definitions).

Artifact Folders

(A) Some application documents (e.g., plant color drawings and confidential references) and non-scanable items (e.g., computer disks) are placed in artifact folders, which are stored in designated filing areas indicated in Attachment 8 (File Room). Artifact folders will come from the indexing and scanning Contractor which is a separate contract. Each Artifact Folder contains a machine-readable bar code label containing the application serial number and the appropriate alpha suffixes. A patent application may have one (1), none, or several artifact folders associated with it. Artifact folders for plant applications are forwarded to the Technology Center (TC) 1600 as soon as they are prepared. The plant application artifact folders are not housed in the EFS. They are kept within the TC. All other artifact folders are forwarded to the different artifact locations as soon as the Office of Patent Application Processing (OPAP) processing is completed and the application’s Patent Application Locating and Monitoring (PALM) change appropriate status, which indicates that the application has completed OPAP’s processing per Attachment 10 (Performance Metrics). The Contractor is responsible for maintaining OPAP artifacts files/folders before PALM status changes occur. The Contractor shall receive an automated notification, via email, of the monthly report containing artifact folders pull list report in the OPAP File Room that are in the proper status in order to be pulled and sent to the TC file room or the Files Repository. The OPAP file room is located in Arlington, VA per Attachment 9 (USPTO Building Names and Addresses).

(B) Patent Cooperation Treaty (PCT) files have been consolidated to the file room at the Randolph Building, in Alexandria, VA per Attachment 8 (File Room). For this contract, the Contractor will merge and manage all artifact folders for pending applications in the examination file rooms. As needed, artifact folders are retrieved from the file area for use in pre-examination, examination, and post-examination of the related application. Files are rarely required for pre-examination processing; however, the Contractor shall identify and forward all new artifact folders from the indexing and scanning contractor containing Compact Disks (CDs) for review by the CD Review Staff, currently in OPAP. Following completion of the examination process, artifact folders for allowed cases will be ordered from the file room by the Office of Data Management (ODM) as needed.

The PCT File room contains national and international patent applications (Search copy-pink, Home copy-buff, and Official copy-blue folders) and related files received prior to 2007. All application files coming into or going out of the file room must have their PALM location information promptly updated. If the Automated Information System (AIS) is nonoperational, incoming files should not be refiled until the AIS information can be updated. Additionally, files will not be sent from the area until AIS is available and the charge to the location can be recorded.

(C) The Contractor shall ensure that all artifact folders delivered/returned to a filing area are promptly and accurately refiled within four (4) work hours of receipt; multiple artifact folders for the same application must be collocated in the filing area. Prior to returning a file to a shelf, the Contractor must update the AIS location information by scanning the bar code label containing the application serial number; no artifact folder is to be placed on a shelf before its PALM location information is correctly updated. During the filing process, the Contractor shall identify any artifact folder and/or bar code label affixed to the folder that is damaged and shall promptly take the appropriate steps to replace the folder and/or bar code label within four (4) work hours.

(D) New and refile requests may come from any business Patent area. A patent examiner and other authorized personnel may request retrieval of artifact folders by completing a retrieval request form and placing it in the retrieval request box located in each TC service center or by sending an e-mail to the appropriate File Retrieval mailbox. The Contractor shall pick-up retrieval requests from each designated drop location a minimum of twice each workday, at approximately 9:30 a.m. and 1 p.m., and shall check the appropriate Outlook mailboxes for the presence of new requests no less than once each hour during the workday. After retrieving/receiving file requests, the Contractor shall promptly locate the requested file, charge it to the new location, and deliver it to the appropriate examiner mailbox or other employee delivery location specified by the examiner. Every attempt must be made to locate the requested file. The Contractor must deliver all requested files to the designated location(s), usually the examiner mailboxes, on the next regularly scheduled pick-up/delivery run (e.g., request retrieved in the morning and file delivered in the afternoon; request retrieved in the afternoon- -file delivered the next morning). If after eight (8) work hours the Contractor is unable to locate the requested file, the Contractor shall promptly notify the requester that the file has not been found and that the Contractor shall continue to search. If the requested file has not been found after 24 work hours, the Contractor shall promptly notify the Contracting Officer Representative (COR) or other designated Government Representative.

(E) As requested by the Government a monthly patented or abandonment pull report will be sent to the Contractor via email from the COR. The report will contain artifact folders that the Contractor shall need to locate and remove from the File room. The artifact folders to be removed are located in the Remsen building at concourse level per Attachment 8 (File Room). The Contractor will be responsible for updating artifact folder location using AIS, currently PALM. If the artifact folders cannot be dispatched, the Contractor shall notify the COR to have the issue resolved. The locations for patented and abandoned artifact folders may change during the life of the contract. The turnaround time for the pull report to be completed is (1) month.

(F) The Government also may require the Contractor to inventory the contents of any or all of the artifact folders in all file rooms per Attachment 8 (File Room). Such an inventory will be conducted by scanning the bar code label on each file in order to update the AIS location information. Annual inventory of all files rooms will be performed by the Contractor at no additional costs. A report of all files or artifacts located in each file room should be provided to the CORs and/or TOM. If the artifact folders cannot be dispatched, the Contractor shall notify the COR to have the issue resolved. The Government will provide the Government Furnished Equipment (GFE) to support this requirement, per Attachment 7 (GFE)

(G) All paper files, boxed files and/or artifact folders requested from the USPTO storage facility will be delivered to, and retrieved from a single, centralized location, by the Contractor in Randolph Square, 6th floor – 6A01 per Attachment 9 (USPTO Building Name and Addresses). The Contractor shall receive, dispatch to and retrieve, for return, to the USPTO storage facility all ordered paper files, boxed files and/or artifact folders to the designated Point of Contact (POC) per the Standard Operating Procedures (SOPs). Upon receipt in the Randolph Square centralized location, the Contractor shall dispatch and deliver requests to the designated Business Unit (BU) POC per the SOPs. The BU POC will dispatch the requests to the requestors. The requests to be returned to the USPTO storage facility will be retrieved by the Contractor from BU POC of the requestor. The USPTO Storage Facility Contractor shall retrieve requests from the Randolph Square centralized location, and return requests to USPTO Storage Facility. SOPs for this process will be provided upon contract award and is subject to change throughout the life of the contract.

Standard Operating Procedure for Delivery/Retrieval of Requests

All paper files, boxed files and/or artifact folders requested from the USPTO storage facility will be delivered to, and retrieved from a single, centralized location, USPTO Randolph Square, 6th floor – 6A01

A second USPTO Support Services contractor will receive, dispatch to and retrieve, for return, to the USPTO storage facility all ordered paper files, boxed files and/or artifact folders to the designated Business Unit (BU) Point of Contact (POC) of the requestor.

Upon receipt in the Randolph Square centralized location, the USPTO Support Services contractor will dispatch and deliver requests to the BU POC of the requestor. The BU POC will dispatch the requests to the requestors. The requests to be returned to the USPTO storage facility will be retrieved by the separate USPTO Support Services contractor from BU POC of the requestor.

The USPTO Storage Facility contractor will retrieve requests from the Randolph Square centralized location, and return requests to USPTO Storage Facility.

Delivery/Retrieval Request Process

Delivery of Request:

1. Requestor enters request into PALM-FOS

2. USPTO Storage Facility receives request

3. USPTO Storage Facility contractors locate and retrieve request

4. Request is entered into tracking system for delivery

5. Request is delivered to USPTO Randolph Square centralized location

6. Request is received into PALM by USPTO Support Services contractor

7. USPTO Support Services contractor dispatches and delivers request to BU POC of requestor

8. BU POC receives, dispatches and records the request (PALM and BU spreadsheet)

9. BU POC delivers requests to requestor or contacts requestor for retrieval

Retrieval of Request:

1. Requestor returns request to BU POC

2. BU POC receives, dispatches and records the request (PALM and BU spreadsheet)

3. BU POC sends an email to Contractor for File Retrieval

4. USPTO Support Services contractor retrieves request from BU POC location

5. USPTO Support Services contractor receives and dispatches into PALM at the Randolph

Square centralized location

6. USPTO Support Services contractor dispatches request to USPTO Storage Facility contractor

7. USPTO Storage Facility contractor retrieves request

8. Upon arrival at the USPTO Storage Facility, the USPTO Storage Facility contractor receives request into PALM

9. Request is returned to shelf location and received into shelf location

Business Unit (BU) Point of Contact (POC) for Requests Delivery/Retrieval

1. Carlyle Campus

· Solicitor Office

· OED

· Office of General Counsel

· PTAB –

· OPLA –

· Central Reexamination Unit

· PCT –

· Office of Commissioner for Patents

· Patent Training Academy/Office of Patent Training

· Procurement Office

· Technology Centers and Office of Patent Examination Support Services

2. Randolph Square

· OCIO Assignment/Certification

· OPAP –

· ODM –

· FIU –

· PTAB –

Note: Delivery Times to Randolph Square: 9:00 and 1:00 and 2:30

The Contractor shall meet all turnaround times and shall perform work at, or above, minimum accuracy levels based on the quality performance metrics provided in Attachment 10 (Performance Metrics).

The Government will randomly inspect the quality and timeliness of the Contractor's work at any time.

The Contractor shall correct any problems or deficiencies within specified sections of the SOW as addressed in Attachment 10 (Performance Metrics).

Task 2: COPYING

Task T2 and all associated Option Period Task T2

Task 2AA: Technology Center Copying (Other)

Most office actions are automatically loaded into patent application systems. Some office actions including most related to PCT, have not yet been automated and may require the Contractor to make minimal copies of references of office actions or all of the office actions prior to mailing. The requirement copying will be from the Pre-Grant (PG) Publication Office. During the life of the contract, the Government plans to automate more office actions and expects the number of office actions that require copies to decline with the exception of PCT. The Government may also make periodic requests for high volume copies. The Government will provide space in the Remsen Building at USPTO's Alexandria Campus for Contractor personnel and equipment in support of this requirement. In support of 3.2.2, the Contractor shall provide any office supplies necessary with the exception of paper, mailing envelopes, labels, and folders that will be provided by the Government.

Task 2AB: Patent application systems - Applications except PCT

Almost all actions for non PCT applications are produced by the USPTO electronically using the general correspondence systems and will not require the Contractor to provide copies. Some newer or uncommon types of office actions have not or will not be automated initially and will require the Contractor to process in paper. At least once in the morning and once in the afternoon of each workday, the Contractor is required to pick-up from designated locations red or colored action folders containing office actions to be copied, mailed, and scanned. For each action, the Contractor shall determine the delivery method or the office action. Many office actions are delivered to the applicant electronically and will not require copies. During the life of the contract, it is possible that the majority of actions will be delivered electronically. For the office actions that are not delivered electronically, the Contractor must make the necessary copies in order to mail one (1) copy of the action to the applicant and provide one (1) copy for scanning into patent application systems. The Contractor shall disassemble, reproduce, and reassemble all documents requiring copying. Each copy must be produced on 8 ½" x 11" paper. The copy for mailing should have one (1) staple placed in the upper left-hand corner. The original for scanning should not be stapled. Copies must be an accurate and complete reproduction of the original with images properly centered and properly stapled together. After confirming that they meet required standards, the Contractor shall insert the copies and the source documents into the appropriate action folder and shall deliver the folder to the appropriate location for the next processing phase (e.g., mailing). The Contractor is required to complete all copying and deliver the folder to the designated location no later than eight (8) work hours after folder pick-up.

As requested by the Government, the Contractor shall copy other application materials placed in a designated pick-up location. Typically, such requests will be for high-volume copying such as bi-weekly AIS reports or similar materials. Requests for a small number of copies (e.g., one (1) or two (2) copies of one (1) or two (2) pages) should be returned to the Government Representative without action. Required turnaround time will be annotated on the Request Form; however, the Government will not request less than four (4) work hours at any time. If adjustment to the requested turnaround time is desired, the Contractor should discuss the request with the Contracting Officer Representative (COR) and/or designated Government Representative.

Task 2AC: PCT - Patent Application Systems Applications

Many PCT applications include search reports and written opinions when USPTO is designated search authority per applicant request. These search reports and written opinions are sent to a foreign request office. Most of these documents are transmitted electronically to the requesting office; however, there are still several countries that receive search reports and written opinions in paper. This function continues to diminish and may not be required in the future. At least once in the morning and once in the afternoon of each workday, the Contractor is required to pick-up from designated locations pink or colored action folders containing documents to be copied, mailed, and scanned. Currently all PCT actions are mailed but during the life of the contract, the Office may implement electronic delivery for PCT application office actions. For the documents that are not delivered electronically, the Contractor must make the necessary copies to have one (1) copy of the document to mail to the applicant and one

(1) copy to send for indexing and scanning into patent application systems. The Contractor shall disassemble, reproduce, and reassemble all documents requiring copying. The copy to be mailed must be on A4 paper which will be provided by the Government. The Contractor may need to reduce the image to fit on A4 paper. The copy to be scanned may be on 8 ½" x 11" or A4 paper. Each copy to be mailed should have one (1) staple placed in the upper left-hand corner. The original for scanning should not be stapled. Copies must be accurate and complete reproductions of the original, with images properly centered, and properly stapled together. After confirming that they meet required standards, the Contractor shall insert the copies and the source documents into the appropriate action folder and shall deliver the folder to the appropriate location for the next processing phase (e.g., mailing). The contractor is required to complete all copying and deliver the folder to the designated location no later than eight (8) work hours after folder pick-up.

The Contractor shall meet all turnaround times and shall perform work at, or above, minimum accuracy levels based on the quality performance metrics provided in Attachment 10 (Performance Metrics).

The Government will randomly inspect the quality and timeliness of the Contractor's work at any time.

The Contractor shall correct any problems or deficiencies within specified sections of the SOW as addressed in Attachment 10 (Performance Metrics).

TASK 3: DOCUMENT RECEIPT AND MAIL (DRAM):

Task 3 and all associated Option Period Task T3:

(A) The TC mailroom is located in the Concourse level of the Remsen Building which is one (1) of the four

(4) buildings (Jefferson, Remsen, Randolph, and Knox) at USPTO's Carlyle Campus. Mail is delivered to the mailroom at least twice each day. TC outgoing mail is delivered to this mailroom from which mail center personnel retrieve it from the TC Service Center and other designated locations and take it to the mail center for metering and pick-up by the U.S. Postal Service (USPS). The Contractor is not responsible for postage. The Contractor is required to staff the TC mailroom and process both incoming and outgoing mail.

(B) The mail center contract which is a separate contract is responsible for sorting all USPTO’s incoming and outgoing mail. Any mail received related to this requirement is further sorted by the Contractor. The Contractor shall sort all incoming mail, deliver it to designated locations, and place it in the appropriate mail boxes or other areas. All incoming mail shall be delivered within two (2) work hours of receipt in the mailroom.

(C) Once each morning and once each afternoon, the Contractor shall perform pick-ups and deliveries within the TCs and to other designated locations within the USPTO Alexandria, VA campus; see Attachment 9 (USPTO Building Names and Addresses) for details. Materials retrieved during pick-ups must be delivered to the designated Carlyle locations no later than the next scheduled pick-up/delivery. Materials retrieved during pick-ups which require delivery between the Randolph Square Building in Arlington, VA and buildings in Alexandria, VA, must be transported no later than the next scheduled courier run. Only the following locations are approved for pick-ups/deliveries by the Contractor’s errand runners:

Internal TC’s locations

· Director's Office

· Examiner mailboxes (not individual examiner offices)

· Service Centers

· Classification unit

· Head Supervisory Legal Instruments Examiner (HSLIE) Offices

· Paralegal Office

· Special Program Examiner (SPRE) Office

· Supervisory Patent Examiner (SPE) Offices

· Tech Support Team Leader

· License and Review

Other USPTO Locations

· COR

· Office of Human Resources

· Scientific and Technical Information Center

· Office of Petitions

· Commissioner and Deputy Commissioners for Patents

· Office of Patent Application Processing

· Office of Patent Information Management (OPIM)

· PCT Operations

· Office of Data Management

· Patent Training Academy

(D)Above are the primary locations, however, occasionally there may be requests from other business units for pick-up and delivery. The Contractor shall direct to the COR all requests for deliveries to locations not listed above.

(E) The Contractor shall receive paper copies of references that the examiner wants to include in the Office Action Creation Systems (OACS), electronic Red Folder (eRed) office action with a request for the Contractor to convert the document to a PDF. The volume has been significantly reduced.

The Contractor shall retrieve the requests from the pick-up boxes in the service centers, scan the document using government furnished equipment (i.e. Xerox D136), and send an e-mail to the examiner with the PDF file attached. The Contractor shall return the paper copy to the examiner designated mailbox location. Scanned PDFs must be e-mailed to the examiner and paper copy returned to the examiner designated mailbox location no later than eight (8) work hours after documents to be scanned are retrieved from the drop off box. All copying of PDF references will be utilizing Government Furnished Equipment (GFE).

(F) Outgoing examiner office actions that the Contractor is responsible for mailing are produced electronically using the Official Correspondence (OC) systems. However, USPTO is still using OACS for a small number of Office actions. As OC becomes deployed throughout the TCs, OACS will be retired during the life of this contract. Currently, office actions that are created in OC systems are submitted for printing by the Contractor. The printing of office actions will be reduced under this new process using the OC systems, unless needed in rare occurrences. Printing of office actions will still continue for applications documents that require USPS delivery.

(G)Quality control (QC) activities (i.e., document quality and electronic mailing) associated to all office actions generated from the general correspondence systems will be performed electronically through the use of desktop computers.

(H)The GFE equipment is located in Remsen Building, concourse level. For other actions that require mailing, the Contractor shall retrieve these file folders from designated pick-up locations at least twice per day and makes copies as required under the Copying CLIN 3.2.2. The majority of the applications are viewed from the general correspondence systems to ensure that the documents have the correct fields populated prior to recording the mail date in general correspondence systems.

(I) FPNG or FPP processing of office actions is a USPTO high priority in reducing patent pendency. Patent examiners have production requirements and are measured at the end of each bi-week, quarter, mid-year, and end-of-year. The Contractor must maintain processing time requirements of high volumes during these expected periods. The Contractor shall review office actions prior to mailing:

• Review the Office Action Summary (PTO-326 or PTO-90) and determine if there are attachments to be mailed; verify all attachments are present. Promptly return the office actions to the Government if any of the noted attachments are missing; if any attachments appear to not belong with the office action; if disbursement of attachments has not been clearly identified; or any other problems exist which would prevent the prompt, accurate mailing of the office action.

• Verify the last page of the office action contains the examiner signature. Promptly return to the Government any office action that has not been properly signed by the examiner.

• Determine whether a Notice of References Cited (PTO-892) and related reference are present. If the

PTO-892 is hand-written, return the action to the Government. If the examiner has cited foreign or Non-Patent Literature (NPL) references which will be mailed with the office action (US references are not mailed with office actions), this form along with one (1) copy of each cited reference must be present. Promptly return the action to the Government Representative if any of the cited references are not present or if references are present which are not cited. If more than one (1) copy of any reference is present, check with the Government Representative to verify disposition of the additional copies.

• Verify that the office action is complete and legible. Pages in an office action are normally sequentially numbered. Promptly return the action to the Government if the office action is incomplete or illegible.

(J) After completing the verification process, the Contractor shall prepare the action for mailing. For OC, the Contractor shall be using the PALM (eRF) mailing to perform the mailing transaction. The system will determine the delivery method and it will display the mode of delivery (electronic or paper mail).

If paper mail, the office action will be printed to be mailed and an electronic copy will automatically soft scanned into Image File Wrapper (eDRS). If paper mail, the Contractor must determine the number of envelopes required to mail the office action and any references and attachments. The number of envelopes required will determine the number of copies of the PTO-90 which must be printed. The contactor will select the action to mail and the number of copies. The PTO-90 will print with the appropriate mailing date (if before 2 p.m.; next business day if after 2 p.m. or next business day date box is checked). The PTO-90 will show the correspondence address of the attorney or applicant of record, and the statutory period to respond to the office action.

(K) The OC system will alert the Contractor whether the delivery method is electronic or mail.

Access: PE2E Icon from Patent Examiner’s Tool Kit

1. Select the Start Menu and All Programs.

2. Select Patents Examiner’s Toolkit and Right click on PE2E to pin to Task Bar

3. Access the Mailroom Queue using the OC Icon from PE2E DAV toolbar

Viewing printed OC sets for a TC

4. Select a TC from the drop-down menu

5. System will automatically populate the OC sets printed for the selected TC

(L) The Contractor shall perform quality checks using the viewable screen in the OC System to ensure the printed information is appropriately placed and clearly readable; if it is not, the Contractor must reprint the form in the required manner. If AIS does not print the desired action and displays an error message (e.g., the system has no action to mail), Reprinting an OC set

1. Select the OC set in the Printed filter to reprint

2. Select the Reprint button

The Contractor should follow the steps below in handling any discrepancy with errors.

Returning an OC set to Government

1. Select an OC set in the Printed filter to return to the Government

2. Select the Return to Government button

3. Provide a reason for the return in the dialog box

4. Select the OK button to submit

(M) If the applicant receives USPTO correspondences via USPS mail, the Contractor shall assemble the form(s), the office action, and any attachments and references and fold and insert into the appropriate size window envelope (i.e., piggyback if there are reference copies, legal-size white window envelope if there are not) the copy of the office action. If using a piggyback envelope, the Contractor shall insert the references and all but the first page of the office action into the large envelope and shall fold and insert the first page of the office action in the window portion of the envelope, ensuring that the mailing address is clearly visible in the address window. When an office action is mailed in multiple envelopes, each envelope must be appropriately marked (e.g., 1 of 2, 2 of 2, etc.).

(N) Prior to inserting them in the appropriate mailing envelope, the Contractor shall verify the presence of all required documents to be mailed, ensure all documents meet required quality standards, and verify that the name and serial number printed on the PTO-90 form agree with the name and serial number on the office action. The envelope should then be securely sealed and placed in the designated mail pick-up location.

(O) The Contractor shall use OC to print a Notice of Allowance for mailing. The Notice of Allowance printing process does not print a PTO-90. The Contractor shall quality check the printed document to ensure the printed information is appropriately placed and clearly readable. If it is not, the Contractor must reprint the form in the required manner.

(P) When an office action is printed from OC prior to 2:00 p.m., the current day's date will print on the document. In order to ensure that the metered date applied in the mail center will be the same as the date printed on the document, the Contractor shall ensure that these documents are processed and placed in the appropriate pick-up location to be retrieved by the Mail Center. There is no automated mail in place. Postage is not applicable. Security screening or scanning is not applicable. If an office action is printed after 2:00 p.m., the next business day's date will print on the document. In order to ensure the document date and the postage meter date agree, the Contractor must hold the envelopes for pick-up by the mail center the next business day.

(Q) The Contractor shall monitor the OC system and take steps to resolve infrequent but recurring problems with known solutions. The Contractor shall evaluate error messages and take steps to identify defective documents and take appropriate action to obtain replacements. As the USPTO implements new systems, some recurring problems will be fixed but new ones may be created.

(R) Most office actions that are not electronically processed using OC system are in any colored office action folder. The Contractor shall perform the same quality checks and mailing process for action folders. If an action folder is returned to the Government for correction, it is recommended that the Contractor maintain a record of all folders returned and when they are received back from the Government. Office action folders are not automatically loaded into patent application systems, so the Contractor may need to make a copy of the office action as described in 3.2.3 prior to mailing. For action folders, the Contractor shall assemble one (1) copy of the office action, form, and any attachments and references in the office action folder. After mailing, the Contractor shall place the folder in the designated location for indexing and scanning into patent application systems. The Contractor shall ensure the folder and all required documents are placed in the designated pick-up location no later than four (4) work hours after completing mailing of the office action.

(S) Nearly all pending patent applications are in patent application systems but on very rare occasion, the

Office may need to mail an office action for a paper file. The Contractor shall perform the same quality checks and mailing processes using general correspondence systems for office actions. If a paper application is returned to the Government for correction, the Contractor shall use OC to dispatch the case to the appropriate team leader. The Contractor shall insert the office action copy in the right-hand clamp of the file under the prints and insert the reference copies under all papers in the center of the file. The Contractor shall stamp or write the mail date in the appropriate location on the application file. The Contractor shall use OC to dispatch the application to the appropriate location.

(T) The Contractor is required to plan his work to account for possible systems problems and to accomplish required turnaround times despite high volumes of work normally encountered just before and immediately after "Count Monday". Note: See Attachment 6 (Definitions) for the definition of “Count Monday”.

(U) The Contractor shall mail all Notices of Allowance within one (1) work day of retrieval from the pick-up location or government provided printer and any Accelerated mail notices within one (1) work day of receipt during business hours. All other mail processing should be performed immediately following retrieval by the Contractor (i.e. service center and government provided printer). The performance clock starts when the folder is picked up from the designated pick-up location and ends when the notice is dropped off in a designated location for mailing and a copy is dropped in a designated location for scanning. The performance clock starts from the government provided printer when the notice is retrieved and ends when the notice is dropped off in a designated location for pick-up. The Contractor shall have the sealed envelopes available for mailroom pick-up no later than two (2) business days after retrieval of the work. The examiner’s offices originate the notices. The notices are identified by a specific color folder dropped off by a Government representative to a designated location or received through the OC system. Any USPTO form could be used for the Accelerated mail such as PTO-85, PTO-90 or any other form. The required processing is identified in Section 3.2.3. The performance clock starts when the folder is picked up from the designated pick-up location and ends when the notice is dropped off in a designated location for mailing and a copy is dropped in a designated location for scanning. The performance clock starts from the OC system when the notice is retrieved and ends when the notice is dropped off in a designated location for pick-up.

(V) The Contractor will receive special ad-hoc requests on occasion for mailing stuffers from various Program Offices within USPTO. The mailing stuffer will be included in outgoing office actions or outgoing correspondence to USPTO customers. The Contractor courier will pick-up boxes of the specified mailing stuffer from the printing location, Randolph Building, Concourse Level to be delivered to the Remsen concourse level location.

(W) The Contractor may be required periodically to perform monitor copier maintenance such as: changing ink cartridges, load copier paper inside paper trays; order Xerox supplies (toner cartridges, drum cartridges, fuser web cartridges, and toner waste containers). The Contractor shall evaluate printer error(s) to determine if minor copier maintenance can be performed to correct the printer error and prevent paper jamming issues. If the error(s) persist, the Contractor shall contact Xerox Help Desk via email or by phone to place service calls on Xerox printers.

(X) The Contractor shall meet all turnaround times and shall perform work at, or above, minimum accuracy

The Government will randomly inspect the quality and timeliness of the Contractor's work at any time.

Task 4: PRINT WORKING FILE:

Task T4 and all associated Option Period Tasks T4:

(A) The Contractor shall monitor the appropriate patent application systems mailbox(s) in order to promptly identify examiner requests for creation of a working file. For requests from patent examiners, only the following documents are authorized for printing by the Contractor and inclusion in a working file:

Specification, Abstract, Claims, and/or Drawings. The Contractor may also receive requests from the Solicitor’s Office. For the Solicitor’s Office, requests for all patent application systems documents for inclusion in a working file are authorized. Using Government-provided equipment, the Contractor shall print from patent application systems the requested documents and shall insert these documents into the folders identified for this purpose. In addition, the Contractor must print a bib data label that contains serial number and other bibliographic data and affix each to the front of the folder. All work is currently being performed in Randolph Building in Alexandria, VA utilizing Government-provided supplies such as, but not limited to items listed in Attachment 7 (Government Furnished Equipment List).

Completed working files must be delivered to the examiner's mailbox in the Service Center, Supervisory Patent Examiner (SPE) office, Solicitor’s Office, or other requestor’s locations needed, no later than one (1) work day from the original request. A list of locations will be provided be provided upon award.

(B) The Contractor shall retrieve from each TC's service centers working files identified for shredding and shall dispose of them in the TC shredding bin. Folders, which are reusable, should be emptied and saved by placing them in close proximity to the working file printer(s).

(C) The Contractor shall meet all turnaround times and shall perform work at, or above, minimum accuracy

The Government will randomly inspect the quality and timeliness of the Contractor's work at any time.

Task 5: INCOMING MAIL PROCESSING:

Task T5 and all associated Option Period Task T5

(A) The majority of applications and follow-on documents are submitted electronically by applicants using EFS-Web. New patent applications and follow-on documents may also be received in the mail or at the Customer Service Window located on the lobby level of the Randolph building, see Attachment 9 (USPTO Building Names and Addresses). Follow-on documents may be received by fax. The Contractor is responsible for the initial processing of mail, Customer Service Window, and fax documents usually following the same processes and procedures as described under Section 3.2.5(b) below.

(B) The USPTO has established a Central Fax where incoming "official" faxes are received. The USPTO also has a specific fax for issue fees and a fax for corrected credit card authorization forms. The Central Fax, issue fees and fax for credit card authorization forms are all located in the Randolph Square Building in Arlington, VA. The Contractor shall retrieve and process documents printed on the fax printing GFE.

The Contractor may be required periodically to perform basic maintenance on the equipment to include loading paper, changing toner cartridges, clearing paper jams, and other basic services to keep the equipment operational. The Contractor shall report system failures to the USPTO Service Desk and when required follow simple instructions to assist the Service Desk with the resolution of the problem.

The Contractor shall apply the date to the faxed document using the actual date of receipt at the USPTO or the first business day after receipt. The Contractor shall keep a log of all documents that do not print within one (1) business day of receipt to support inquiries concerning perceived delays in processing that are caused by USPTO systems. USPTO rules do not allow the filing of a new patent application by fax. The Contractor shall identify any new patent application request sent by fax and give it to a designated Government Representative to return to the sender.

Several times each workday, mail is delivered to the OPAP open/sort area by the USPTO mail center.

OPAP open/sort is located in the Randolph Square Building in Arlington, VA. This mail includes new applications and follow-on papers. The Contractor shall open all envelopes, remove the contents, and accurately record the mail receipt date shown on the envelope. For US application-related documents, the date should be placed in the upper left corner of the first page of each unique document. For applications filed under the PCT, as indicated by the filer, the date should be stamped across the top right-hand side of the first page of each unique document. If multiple documents/applications are bound together, the Contractor must be sure to keep the documents together but must record the mail receipt date on the first page of any cover letter and each unique document. International and national stage applications filed together under the PCT must be kept together. The date stamp or label should be applied to white space, such as in the margin, whenever possible. For PCT Priority documents received via incoming mail; mailroom date stamp receipt date and PCT application number on the first page of the priority document and any enclosed letter.