24-0660 Elsevier Combined RFP Final 9Oct24.pdf

Document Number: 1333BJ25R00150005 Page 1 of 5

SOLICITATION/CONTRACT/ORDER FOR COMMERCIAL ITEMS

OFFEROR TO COMPLETE BLOCKS 12, 17, 23, 24 & 30

1. REQUISITION NUMBER

163P2501000

PAGE 1 OF

5. SOLICITATION NUMBER

1333BJ25R00150005

2. CONTRACT NO. 3. AWARD/EFFECTIVE DATE 4. ORDER NUMBER 6. SOLICITATION ISSUE

DATE

10/09/2024

7. FOR SOLICITATION

INFORMATION CALL:

a. NAME b. TELEPHONE NUMBER (No collect calls) 571-270-5803

8. OFFER DUE DATE / LOCAL

TIME

CODE 1333BJ

Office of Procurement US Patent and Trademark Office PO Box 1450-Mail Stop 6 600 Dulany St.,MDE, 7th Floor

ALEXANDRIA, VA 22313-1450

9. ISSUED BY X UNRESTRICTED OR SET ASIDE: % FOR

SMALL BUSINESS

HUBZONE SMALL

BUSINESS

SERVICE-DISABLED

VETERAN-OWNED

SMALL BUSINESS

WOMEN-OWNED SMALL BUSINESS (WOSB)

ELIGIBLE UNDER THE WOMEN-OWNED

SMALL BUSINESS PROGRAM

EDWOSB

8(A)

NAICS: 513120

SIZE STANDARD:

10. THE ACQUISITION IS

SEE

SCHEDULE

11. DELIVERY FOR FOB DESTINATION

UNLESS BLOCK IS MARKED 0 Days: 0.00 %

0 Days: 0.00 % 0 Days: 0.00 % 0 Days: 0.00 %

12. DISCOUNT TERMS

13a. THIS CONTRACT IS

RATED ORDER UNDER DPAS

(15 CFR 700)

13b. RATING

RFQ IFB X RFP

14. METHOD OF SOLICITATION

STICCODE15. DELIVER TO

Science & Technical Information Center ATTN: Logan Garrett, COR 400 Dulany St., REM 1D58 Alexandria, VA 22314

CODE16. ADMINISTERED BY

FACILITY

CODE

CODE

Telephone No.

17a. CONTRACTOR/

OFFEROR

CODE18a. PAYMENT WILL BE MADE BY

OFFICE OF FINANCE

Dir. US Patent & Trademark Ofc PO Box 1450 Mail Stop 17 Alexandria, VA 22313

17b. CHECK IF REMITTANCE IS DIFFERENT AND PUT SUCH ADDRESS IN

OFFER SEE ADDENDUM

18b. SUBMIT INVOICES TO ADDRESS SHOWN IN BLOCK 18a UNLESS BLOCK BELOW IS

CHECKED

19. ITEM NO. 20. SCHEDULE OF SUPPLIES/SERVICES

(Use Reverse and/or Attach Additional Sheets as Necessary)

21. QUANTITY 22. UNIT 23. UNIT PRICE 24. AMOUNT

See Lines

25. ACCOUNTING AND APPROPRIATION DATA

See Line Item Detail

26. TOTAL AWARD AMOUNT (For Govt. Use Only)

27a. SOLICITATION INCORPORATES BY REFERENCE FAR 52.212-1, 52.212-4. FAR 52.212-3 AND 52.212-5 ARE ATTACHED. ADDENDA ARE ARE NOT ATTACHED

27b. CONTRACT/PURCHASE ORDER INCORPORATES BY REFERENCE FAR 52.212-4. FAR 52.212-5 IS ATTACHED. ADDENDA ARE ARE NOT ATTACHED

28. CONTRACTOR IS REQUIRED TO SIGN THIS DOCUMENT AND RETURN ____ COPIES TO

ISSUING OFFICE. CONTRACTOR AGREES TO FURNISH AND DELIVER ALL ITEMS SET FORTH

OR OTHERWISE IDENTIFIED ABOVE AND ON ANY ADDITIONAL SHEETS SUBJECT TO THE

TERMS AND CONDITIONS SPECIFIED.

29. AWARD OF CONTRACT: REF. _____________________________ OFFER

DATED _________________ . YOUR OFFER ON SOLICITATION (BLOCK 5)

INCLUDING ANY ADDITIONS OR CHANGES WHICH ARE SET FORTH HEREIN,

IS ACCEPTED AS TO ITEMS:

30a. SIGNATURE OF OFFEROR/CONTRACTOR 31a. UNITED STATES OF AMERICA (SIGNATURE OF CONTRACTING OFFICER)

30b. NAME AND TITLE OF SIGNER (TYPE OR PRINT) 30c. DATE SIGNED 31b. NAME OF THE CONTRACTING OFFICER (TYPE OR PRINT) Frederick R. Porter

31c. DATE SIGNED

AUTHORIZED FOR LOCAL REPRODUCTION

PREVIOUS EDITION IS NOT USABLE

STANDARD FORM 1449 (REV. 02/2012)

Prescribed by GSA - FAR (48 CFR) 53.212

Document Number: 1333BJ25R00150005 Page 2 of 5

19.

ITEM NO.

20.

SCHEDULE OF SUPPLIES/SERVICES

21.

QUANTITY

22.

UNIT

23.

UNIT PRICE

24.

AMOUNT

32a. QUANTITY IN COLUMN 21 HAS BEEN

RECEIVED INSPECTED ACCEPTED, AND CONFORMS TO THE CONTRACT, EXCEPT AS NOTED: _________________________________

32b. SIGNATURE OF AUTHORIZED GOVERNMENT

REPRESENTATIVE

32c. DATE 32d. PRINTED NAME AND TITLE OF AUTHORIZED GOVERNMENT

REPRESENTATIVE

32e. MAILING ADDRESS OF AUTHORIZED GOVERNMENT REPRESENTATIVE 32f. TELEPHONE NUMBER OF AUTHORIZED GOVERNMENT

REPRESENTATIVE

32g. E-MAIL OF AUTHORIZED GOVERNMENT REPRESENTATIVE

PARTIAL FINAL

33. SHIP NUMBER 34. VOUCHER NUMBER 35. AMOUNT VERIFIED

CORRECT FOR

COMPLETE PARTIAL FINAL

36. PAYMENT 37. CHECK NUMBER

38. S/R ACCOUNT NUMBER 39. S/R VOUCHER NUMBER 40. PAID BY

41a. I CERTIFY THIS ACCOUNT IS CORRECT AND PROPER FOR PAYMENT 42a. RECEIVED BY (Print)

41b. SIGNATURE AND TITLE OF CERTIFYING OFFICER 41c. DATE

42b. RECEIVED AT (Location)

42c. DATE REC'D (YY/MM/DD) 42d. TOTAL CONTAINERS

STANDARD FORM 1449 (REV. 02/2012) BACK

Document Number: 1333BJ25R00150005 Page 3 of 5

Section B - Supplies or Services and Prices/Costs

Number Supplies or Services Qty Unit Unit Price Total (Inc. disc., tax, and fees)

0001 Base Year Elsevier

B.V. subscriptions to eJournals, Journal back files and Knovel

Databse

Firm Fixed Price

PSC: R605

0.000000 SUB

Period of Performance: 01/01/2025 - 12/31/2025

Extended Description:

Reference Line: 163P2501000 - 0001

Pricing Options: Base

Number Supplies or Services Qty Unit Unit Price Total (Inc. disc., tax, and fees)

1001 Option Year 1

Elsevier B.V.

subscriptions to eJournals, Journal back files and Knovel

Database

Firm Fixed Price

PSC: R605

0.000000 SUB

Period of Performance: 01/01/2026 - 12/31/2026

Extended Description:

Reference Line: 163P2501000 - 0001

Pricing Options: Option

Number Supplies or Services Qty Unit Unit Price Total (Inc. disc., tax, and fees)

2001 Option Year 2

Elsevier B.V.

subscriptions to eJournals, Journal

0.000000 SUB

Document Number: 1333BJ25R00150005 Page 4 of 5

Number Supplies or Services Qty Unit Unit Price Total (Inc. disc., tax, and fees) back files and Knovel

Database

Firm Fixed Price

PSC: R605

Period of Performance: 01/01/2027 - 12/31/2027

Extended Description:

Reference Line: 163P2501000 - 0001

Pricing Options: Option

Number Supplies or Services Qty Unit Unit Price Total (Inc. disc., tax, and fees)

3001 Option Year 3

Elsevier B.V.

subscriptions to eJournals, Journal back files and Knovel

Database

Firm Fixed Price

PSC: R605

0.000000 SUB

Period of Performance: 01/01/2028 - 12/31/2028

Extended Description:

Reference Line: 163P2501000 - 0001

Pricing Options: Option

Number Supplies or Services Qty Unit Unit Price Total (Inc. disc., tax, and fees)

4001 Option Year 4

Elsevier B.V.

subscriptions to eJournals, Journal back files and Knovel

Database

Firm Fixed Price

PSC: R605

0.000000 SUB

Period of Performance: 01/01/2029 - 12/31/2029

Extended Description:

Document Number: 1333BJ25R00150005 Page 5 of 5

Number Supplies or Services Qty Unit Unit Price Total (Inc. disc., tax, and fees)

Reference Line: 163P2501000 - 0001

Pricing Options: Option

Statement of Work (SOW)

For

Elsevier, B.V. Subscription: eJournals, eBooks, & Knovel Database

USPTO_ACQ_24_0660

UNITED STATES PATENT AND TRADEMARK OFFICE (USPTO)

Scientific and Technical Information Center (STIC)

United States Subscription: eJournals, eBooks, & Knovel Database

Patent and Trademark Office Statement of Work

Form # USPTO-OP-020 (08/2020) Page 1 of 24

Contents Background

Purpose

Scope

Deliverables

Provisions and Clauses

Federal Acquisition Regulation (FAR) Provisions & Clauses

Commerce Acquisition Regulation (CAR) Provisions & Clauses

US Patent & Trademark Office (PTO) Clauses

Attachments

Form # USPTO-OP-020 (08/2020) Page 2 of 24

Elsevier, B.V. Subscription: eJournals, eBooks, & Knovel Database

Background

The USPTO’s Scientific and Technical Information Center (STIC) has a mission to enhance patent quality and examiner effectiveness through search, information services, and training. As such, STIC has a requirement for a subscription to full-text electronic collections of journals, books and engineering reference database covering science, technology, and health. To obtain access to engineering reference database in this subscription, a site license is required. A subscription of this nature supports the mission by offering authoritative, peer-reviewed publications from experts in fields, which include physical sciences & engineering, life sciences, health sciences, and social sciences & humanities used by USPTO examiners across all Technology Centers.

The costs accessing the collections and the engineering reference database via IP authentication through commercial hosts will be an annual FIRM FIXED price. The NAICS Code designated for this requirement is 513120 “Scientific Journal and Periodical Publishers.”

“Government Use” includes use by USPTO employees and contractors located throughout the United States and

Puerto Rico wherever situated. Government Use includes agency telework work-at-home programs, Regional

USPTO offices, and USPTO contractors.

Purpose

The United States Patent and Trademark Office (USPTO) has an ongoing mission requirement to acquire access to

Elsevier B.V.’s collection of electronic full-text journals and books. A title list will be issued to the vendor to request pricing for which titles the USPTO is interested in procuring per the contract prior to making an award. The content covered in these collections of electronic journals and books include Science, Chemistry, Medicine and Biotechnology. They are listed on Appendix A – Elsevier Titles. There are five distinct collections, one database and perpetual titles:

1. Individual Collections

i. Complete Freedom Collection

ii. Cell Press Collection-Base

iii. Seminars Collection

iv. Societies Journals

2. Handbook Series

3. Knovel database (33 subject areas and 3 premium content areas)

4. Elsevier Subject Collection

5. Insights Library Perpetual Access Titles

6. Major Reference Works Collection

7. Perpetual Access Titles

The Freedom Collection is comprised of electronic journals on the ScienceDirect platform. The Freedom Collection provides access to full text of articles from journals in all the subject collections published by Elsevier

B.V. Coverage is from 1995 to the present and includes more than 2500 journals and 11,000 books in a variety of scientific disciplines. Electronic journals from ScienceDirect are essential searching tools for examiners in

Technology Centers 1600 (Biotechnology and Organic fields), 1700 (Chemical and Materials Engineering fields), 2100 (Computer Architecture Software and Information Security), and 3600 (Transportation, Electronic Commerce, Construction, Agriculture, Licensing and Review).

The Cell Press Collection-Base is a peer-reviewed scientific journal publishing research papers across a broad range of disciplines with the life sciences. The journal dates back to 1974 and is published twice monthly under the Elsevier B.V. umbrella of companies.

Form # USPTO-OP-020 (08/2020) Page 3 of 24

Up-to-date, state-of-the-art information on a single topic is available in each issue of the Seminars Collection.

Examiners remain abreast of the latest innovations, research findings, engineering advancements, collaborative platforms, clinical applications and methods.

Societies Journals is a collection of subject specific journals that bring together and support their research community; promote the study of their representative subjects; protect the integrity of their research and drive funding where available. Societies Journals are important to Examiners because the research communities within these Societies have chased down late peer reviews and sorted out Digital Object Identifier (DOI) discrepancies to produce a concise discussion of the subject matter. A DOI or Digital Object Identifier is a string of numbers, letters and symbols used to identify an article or document and link to it on the web permanently.

The Handbook Series is an addition to the ScienceDirect Platform. The Handbooks span a range of subjects within the fields of Economics, Mathematics, Chemistry and Physics. Content within the Handbook Series easily cross-references content from Reference Works, Book Series and more than 2,000 scientific, technical and medical journals.

Access to the propriety Knovel database is included in the requirement. Knovel is a provider of a web -based productivity application for the engineering community. Knovel’s solution integrates technical information with analytics and search to deliver trusted answers and drive innovation. Subscribers have the ability to search across multiple sources, content types, using analytical and calculation tools to manipulate the data and use it in other engineering applications.

Knovel also contains reference works relating to genetic engineering. Searching data and genetic content from

Knovel is compiled from more than 100 engineering societies and publishers. Data is presented using a variety of tools such as interactive graphs. Knovel offers solutions for R&D, clinical solutions, research platforms, education, and research intelligence.

Scope

The contractor shall provide a site license for a subscription to full-text eJournal collections, eBook collections, and the Knovel Database to include:

1. Full-text electronic subscription access to the following serials collections:

a . Elsevier’s Complete Freedom Collection, which includes over 2,300 journal titles, including Patent

Cooperation Treaty Minimum Documentation required titles, and other highly used titles.

b. Elsevier’s Cell Press publications, which include titles that publish primary research and reviews in the field of biology.

c. Elsevier’s Seminar publications outside of the Freedom Collection.

d. Elsevier Society Journals outside the Freedom Collection.

2. Full-text electronic subscription access to the following eBook Collections a . Elsevier’s Handbook Series, which includes over 800 eBooks in the following collections:

i. Chemistry

ii. Methods in Enzymology

iii. Comprehensive Analytical Chemistry

iv. Handbook of Magnetic Materials a . Elsevier’s Knovel Database, which includes over 30 subject areas and premium content integrated into one search environment with additional data analysis .

3. Ongoing perpetual access to the titles listed below, previously purchased materials and collections.

Form # USPTO-OP-020 (08/2020) Page 4 of 24

4. Advanced search functionality allowing for faceted search, Boolean, and nested clauses.

5. Recommendations and alerts for the latest research by topic, journal or book series.

6. Printing one or more selected documents from a printer connected (either directly or as a shared network device) to the user’s device.

7. Downloading one or more selected documents to the user’s computer to store such documents in a user specified storage media (disk, flash drive, etc.) for later printing or manipulation through a word processing program.

8. E-mailing one or more selected documents; and unlimited printing, downloading, and e-mailing of retrieved documents at no additional charge, including all available PDF formats, subject to copyright and licensing restrictions. Downloading and emailing shall, at a minimum include formatted WORD processing, PDF, and

ASCII text.

9. The collection shall contain the following Patent Cooperation Treaty Minimum Documentation titles:

a . Biochimica et Biophysical Acta

b. Cell

c. Fitoterapia

d. Gene

e. Journal of Chromatography B

f. Journal of Crystal Growth

g. Journal of Ethnopharmacology

h. Journal of Organometallic Chemistry

i. Metal Finishing

j. Methods in Enzymology

k. Optics Communications

l. Solid-State Electronics

m. Steroids

n. Thin Solid Films

Deliverables

1. Project Kick-Off Meeting shall take place no later than five (10days after contract award via phone or

WebEx or as necessary to gain an understanding of what success looks like, the background, what needs to be done, how the team will work together effectively, ensuring both the team and contractor are on the same page. Progress meetings will be held as necessary with the Contractor.

2. The Contractor shall provide uninterrupted access to all subscriptions and services included within the contract per each period of performance (PoP).

a . Full-text electronic collections of journals, books and engineering reference database covering science, technology, and health.

b. One (1) site license shall be provided for the engineering reference database.

3. Usage Statistics shall be provided to the USPTO via SUSHI download and no later than the fifth calendar day of the month, and shall be Counter compliant.

4. Customized training and training materials shall be available on-site (if requested) or via WebEx to provide resources that support effective utilization of content and services.

5. Invoices submitted by the Contractor shall itemize individually priced titles and subscribed collections.

Form # USPTO-OP-020 (08/2020) Page 5 of 24

Submit invoices to the USPTO Finance Office and COR no later than the fifth day of each month.

CAR 1352.246-70 Place of acceptance. (APR 2010)

(a) The Contracting Officer or the duly authorized representative will accept supplies and services to be provided under this contract.

(b) All subscription materials shall be accessed online. The place of acceptance will be:

USPTO Headquarters

C/O Scientific and Technical Information Center (STIC) 600 Dulany Street Alexandria, Virginia 22314

1352.270-70 Period of performance. (APR 2010)

(a) The base period of performance of this contract is from 1/1/2025 through 12/31/2025. If an option is exercised, the period of performance shall be extended through the end of that option period.

(b) The option periods that may be exercised are as follows:

Period Start date End date

Option I 1/1/2026 12/31/2026

Option II 1/1/2027 12/31/2027

Option III 1/1/2028 12/31/2028

Option IV 1/1/2029 12/31/2029

(c) The notice requirements for unilateral exercise of option periods are set out in FAR 52.217-9.

(End of clause)

Contracting Authority

The Contracting Officer (CO) is the only person with the authority to execute any award or official contract modification. The contract shall be monitored and administered by a Contracting Officer’s

Representative (COR). The COR will be the direct contact point for the communications regarding the contract. The COR has no authority to make any changes to the contract that would result in any change to scope, price or period of performance. The CO, COR and alternate COR (ACOR) are listed below.

Contracting Officer

Form # USPTO-OP-020 (08/2020) Page 6 of 24

Frederick Porter, FAC-C

Frederick.porter@uspto.gov

Contract Specialist

Michelle Ellis, FAC-C

Michelle.Ellis@USPTO.gov

Contracting Officer’s Representative and Alternate Contracting Officer’s Representative

To be provided upon award

Provisions and Clauses

Federal Acquisition Regulation (FAR) Provisions & Clauses

Incorporated by Reference

FAR Provisions

52.204-6 Unique Entity Identifier. (OCT 2016)

52.204-7 System for Award Management.

52.204-16 Commercial and Government Entity Code Reporting. (AUG 2020)

52.204-24 Representation Regarding Certain Telecommunications and Video Surveillance Services or Equipment.

(NOV 2021)

52.204-29 Federal Acquisition Supply Chain Security Act Orders—Representation and Disclosures. (DEC 2023)

52.212-1 Instructions to Offerors—Commercial Products and Commercial Services. (SEP 2023)

FAR Clauses

52.203-19 Prohibition on Requiring Certain Internal Confidentiality Agreements or Statements. (JAN 2017)

52.204-10 Reporting Executive Compensation and First-Tier Subcontract Awards. (JUN 2020)

52.204-12 Unique Entity Identifier Maintenance. (OCT 2016)

52.204-13 System for Award Management Maintenance. (OCT 2018)

52.204-18 Commercial and Government Entity Code Maintenance. (AUG 2020)

52.204-19 Incorporation by Reference of Representations and Certifications. (DEC 2014)

52.204-21 Basic Safeguarding of Covered Contractor Information Systems. (NOV 2021)

52.204-25 Prohibition on Contracting for Certain Telecommunications and Video Surveillance Services or

Equipment. (Nov 2021)

52.209-9 Updates of Publicly Available Information Regarding Responsibility Matters. (OCT 2018)

52.209-10 Prohibition on Contracting with Inverted Domestic Corporations. (NOV 2015)

52.212-4 Contract Terms and Conditions—Commercial Products and Commercial Services. (NOV 2023) mailto:Frederick.porter@uspto.gov mailto:Michelle.Ellis@USPTO.gov

Form # USPTO-OP-020 (08/2020) Page 7 of 24

52.212-5 Contract Terms and Conditions Required To Implement Statutes or Executive Orders—Commercial

Products and Commercial Services (MAY 2024)

Incorporated in Full

52.217-8 Option to Extend Services. (NOV 1999)

The Government may require continued performance of any services within the limits and at the rates specified in the contract. These rates may be adjusted only as a result of revisions to prevailing labor rates provided by the Secretary of Labor. The option provision may be exercised more than once, but the total extension of performance hereunder shall not exceed 6 months. The Contracting Officer may exercise the option by written notice to the

Contractor within 5 days before the contract expires.

52.217-9 Option to Extend the Term of the Contract. (MAR 2000)

(a) The Government may extend the term of this contract by written notice to the Contractor within 5 days before the contract expires; provided that the Government gives the Contractor a preliminary written notice of its intent to extend at least 15 days before the contract expires. The preliminary notice does not commit the Government to an extension.

(b) If the Government exercises this option, the extended contract shall be considered to include this option clause.

(c) The total duration of this contract, including the exercise of any options under this clause, shall not exceed 5.5 years.

Commerce Acquisition Regulation (CAR) Provisions & Clauses

CAR Provisions Incorporated by Reference

1352.239-71 Electronic and Information Technology (APR 2010)

1352.242-70 Postaward Conference (APR 2010)

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CAR Clauses Incorporated by Reference

1352.201-70 Contracting Officer's Authority (Mar. 26, 2010)

1352.209-72 Restrictions against disclosure. (APR 2010)

1352.209-74 Organizational conflict of interest. (APR 2010)

1352.209-75 Title 13 and non-disclosure requirements. (APR 2010)

1352.215-76 Cost or pricing data.

1352.227-70 Rights in data, assignment of copyright. (APR 2010)

1352.237-71 Security processing requirements—low risk contracts. (APR 2010)

1352.237-73 Foreign national visitor and guest access to departmental resources. (APR 2010)

1352.239-70 Software license addendum. (APR 2010)

CAR Provisions and Clauses Incorporated in Full Context

1352.215-70 Proposal preparation.

(a) General Instructions. Proposals are expected to conform to solicitation provisions and be prepared in accordance with this section. To aid in evaluation, the proposal shall be clearly and concisely written, neatly presented, indexed (cross-indexed as appropriate), and logically assembled. All pages of each part shall be appropriately numbered and identified with the name of the offeror, the date of the offer, and the solicitation number. Each volume shall be clearly marked by volume number and title.

(b) Overall Arrangement of Proposal. (1) VOLUME I—BUSINESS PROPOSAL

(i) Volume I, Business Proposal, consists of the actual offer to enter into a contract to perform the desired work. It also includes required representations, certifications, and acknowledgments, if applicable; justifications for noncompetitive proposed subcontracts; identification of technical data to be withheld; and any other required administrative information.

(ii) Format and Content. Volume I, Business Proposal, shall include the following documents (in the order listed):

(A) Proposal Form:

(1) Use of the Form—The Proposal Form (Standard Form 33 or 1449), is to be executed fully (signed) and used as the cover sheet (or first page) of Volume I.

(2) Acceptance Period—The acceptance period entered on the Proposal Form by the offeror shall not be less than that prescribed in the solicitation, which shall apply if no other period is offered.

(3) Signature Authority—The person signing the Proposal Form must have the authority to commit the offeror to all of the provisions of the proposal, fully recognizing that the Government has the right, by terms of the Solicitation, to make an award without discussion if it so elects.

(B) Other documentation identified in Section (A) above. The offeror shall submit one original of Volume I, marked as such.

(2) VOLUME II—TECHNICAL PROPOSAL

Form # USPTO-OP-020 (08/2020) Page 9 of 24

(i) General. (A) Volume II, technical proposal, consists of the offeror's proposal delineating its capabilities and how it intends to perform contract requirements. The Technical proposal will be evaluated in accord with the criteria contained in Section M.

(B) In order that the technical proposal may be evaluated strictly on the merit of the material submitted, no contractual price information is to be included in Volume II. However, the type and quantity of labor and materials is to be included in the Technical Proposal, without any associated cost information.

(C) The technical proposal must be typed, double-spaced, with one-inch margins, using elite font, 12 pitch type (or equivalent) and printed, unreduced in size, on 81⁄2″ by 11″ paper, not exceeding 10 pages, exclusive of resumes and related corporate experience documentation. Any pages in excess of 10 will be disregarded, and will not be included in the proposal evaluation. Failure of the offeror to comply with the page limitations, resulting in the excess pages not being evaluated, shall not constitute grounds for a protest.

(ii) Format and Content. Volume II, Technical Proposal, shall include the following contents:

(A) Table of Contents

(B) List of Tables and Figures

(C) Summary of Technical Proposal

(D) Technical Proposal

(E) Exceptions and Deviations. These major headings may be subdivided or supplemented by the offeror as appropriate.

(1) Summary. This section shall provide a summary that addresses each of the technical evaluation factors set out in

Section M.

(2) Technical Proposal. The offeror shall clearly address each of the technical evaluation criteria in Section M, and, at a minimum, cover each subfactor.

(3) Exceptions and Deviations. This section shall identify and explain any exceptions or deviations taken to any part of the solicitation or conditional assumptions made with respect to the technical requirements of the solicitation.

Offerors should note that taking exceptions to the Government's requirements may indicate an unwillingness or inability to perform the contract, and the proposal may be evaluated as such.

(iii) Specific areas to be addressed:

Evaluation Factor 1—Technical Approach. Provide information on how the project is to be organized, staffed, and managed that demonstrates the offeror's understanding and effective management of important events or tasks. If applicable, the offeror shall (i) describe the facilities and equipment which will be used in the performance of the contract, and (ii) how the management and coordination of consultant and subcontractor efforts will be accomplished. Fully discuss how the contract requirements will be met and the means used to accomplish them.

Merely repeating the contract requirements and stating that they will be accomplished, without discussing how the offeror will accomplish them, is not acceptable.

Evaluation Factor 2—Experience. In a general fashion, describe the offeror's experience and qualifications to perform the contract requirements. Explain how the experience provides confidence that the offeror can perform all contract requirements.

Form # USPTO-OP-020 (08/2020) Page 10 of 24

Evaluation Factor 3—Key Personnel. Provide the names, titles, and a description of the duties of those individuals proposed as key personnel to be assigned to the contract. For each key person, submit a resume that provides information concerning their education, background, recent work experience, and accomplishments. Specify the approximate percentage of time each individual will be available for this project, and, if necessary, explain why the key person possesses the qualifications to perform the proposed position.

Evaluation Factor 4—Past Performance. Complete the Past Performance Questionnaire (Attachment X) for all contracts containing requirements similar in scope those in the Statement of Work performed in whole or part over the last 5 years. References can include both Government and commercial contracts and subcontracts.

The offeror shall submit one original of Volume II, marked as such.

(3) Volume III—Price/cost proposal

(i) Price/Cost proposals must generally adhere to the pricing structure established in Section B, Schedule of Prices.

The offeror shall submit Volume III, marked as such.

(ii) For Cost type contracts (Not Applicable)

FOR FIXED-PRICE TYPE CONTRACTS:

(iii) Each offeror's price proposal must be based on the offeror's own technical proposal, the Government's specifications, and other contractual requirements. If the prices to be used are based on a published price list or catalog, the offeror shall so state, and provide a copy of the document with its price proposal. If the prices are to be based on established market prices, not otherwise published, or are prices applicable only to the proposed contract, the offeror shall so state.

(iv) In order to determine whether offered prices are fair and reasonable, the Government requests that the offeror provide cost breakdowns to support proposed prices. Information to support unit prices should include, but not be limited to, the following:

(A) Salary/wage information with associated payroll expenses, for personnel to be used in performance of the contract;

(B) Cost for equipment, supplies, and consumable materials;

(C) A breakout of related support costs, such as equipment maintenance, rental, transportation, etc.;

(D) Overhead costs;

(E) General Administrative expenses; and

(F) Profit

1352.201-72 Contracting Officer's Representative (COR) (APR 2010)

(a) (To be provided upon award) is hereby designated as the Contracting Officer's Representative (COR). The COR may be changed at any time by the Government without prior notice to the contractor by a unilateral modification to the contract. The COR is located at:

Phone Number: (To be provided upon award)

E-mail: (To be provided upon award)

Form # USPTO-OP-020 (08/2020) Page 11 of 24

(b) The responsibilities and limitations of the COR are as follows:

(1) The COR is responsible for the technical aspects of the contract and serves as technical liaison with the contractor. The COR is also responsible for the final inspection and acceptance of all deliverables and such other responsibilities as may be specified in the contract.

(2) The COR is not authorized to make any commitments or otherwise obligate the Government or authorize any changes which affect the contract price, terms or conditions. Any contractor request for changes shall be referred to the Contracting Officer directly or through the COR. No such changes shall be made without the express written prior authorization of the Contracting Officer. The Contracting Officer may designate assistant or alternate COR(s) to act for the COR by naming such assistant/alternate(s) in writing and transmitting a copy of such designation to the contractor.

US Patent & Trademark Office (PTO) Clauses

PTO-04

Data Access, Handling, and Restrictions Against Reproduction and Disclosure of

Information, Including Confidential Patent Applications, and Information Concerning the Same, October 1, 2022

(a) Restrictions on Reproduction and Disclosure of Government Data.

(1) The Contractor agrees, during the performance of this contract, to keep the information and data, including any controlled unclassified information (CUI), furnished by the Government or acquired and/or developed by the Contractor in performance of this contract in the strictest confidence. The Contractor agrees to maintain the confidentiality of all such data to which access may be obtained throughout contract performance whether the data is transmitted, in process or at rest. Title to any confidential information furnished, acquired and/or developed by the Contractor under this contract does not vest in the Contractor unless expressly provided under the contract. The Contractor agrees not to use, redistribute, publish, divulge, reproduce or disclose, in whole or in part, including any interpretation thereof or data derivative, the information or data obtained, furnished, developed or acquired under this contract, whether in process, at rest or transmitted by the Contractor, nor authorize others to do so, except as specified by the contract.

(2) All personnel under the contract with access to Government data under this contract must sign a Non- Disclosure Agreement (NDA) to guarantee the protection and integrity of Government information and data. The Contractor shall provide copies of the signed NDA to the Contracting Officer’s

Representative within 72 hours of execution of the form.

(3) The Contractor agrees to comply with the security requirements of this contract, including the personnel, data handling and information technology requirements, and to take reasonable measures to restrict access to such information while in the Contractor’s possession to those employees needing such information to perform the work described herein, i.e. on a “need to know” basis. At the

Contracting Officer’s discretion, any violation of security requirements under the contract may result in USPTO availing itself of any of the remedies available under the contract including contract termination. The Contractor is responsible for safeguarding all government data and property provided under the contract and implement the requirements under the media sanitization policy.

Form # USPTO-OP-020 (08/2020) Page 12 of 24

(b) Restrictions on Reproduction and Disclosure of Confidential Patent Applications and Information

Concerning the Same.

(1) In addition to government information and data furnished during the course of performance under this contract, the Contractor may be provided access to confidential patent application and information concerning the same. Confidential patent application and information concerning the same shall be kept in confidence pursuant to 35 U.S.C. §122. In addition to the restrictions on reproduction and disclosure of information identified above, the Contractor must also comply with the following provisions.

(2) For purposes of this contract, the “confidential patent application and information concerning the same” that must be kept in confidence pursuant to 35 U.S.C. §122 and associated USPTO regulations includes patent applications that are unpublished, abandoned, subject to a secrecy order, provisional applications, design patent applications, and/or patent applications subject to a nonpublication request by the applicant, and information concerning the same. The information concerning the same includes, without limitation, the patent application file, information concerning the filing, pendency or subject matter of an application for patent, including the existence or non-existence of the patent application and status information of the patent application, in any medium, and includes duplicate, copied and original patent applications and related data and information concerning the same. “Status information” includes –

(i) Whether an application is pending, abandoned, or patented;

(ii) Whether the application has been published;

(iii) The application’s numeric identifier (e.g. the patent application serial number); and

(iv) Whether another application claims the benefit of the application and if so, the status information and relationship of the other applications.

(3) Prior to release of any information or data involving the confidential patent application or information concerning the same to another entity, the Contractor must notify the Contracting Officer and obtain permission to release the information.

(4) The Contractor shall not disclose any information contained in any confidential patent application or information concerning the same furnished by the Government or acquired and/or developed by the Contractor in performance of the contract. The Contractor shall not use, redistribute, publish, divulge, reproduce or disclose, in whole or in part, including any interpretation thereof or data derivative of any confidential patent application or information concerning the same obtained, developed and/or acquired in the performance of this contract, whether in transit, process or at rest, for any purposes not authorized under the contract, including research and development or other business purposes, unless permitted by contract or express permission in writing is obtained by the Contracting Officer.

Additionally, the Contractor agrees that without prior permission from the Contracting Officer, it shall not:

(i) Use such confidential patent application or information concerning the same for any private or business purpose;

(ii) Submit a patent application to the USPTO or any other entity that is based on such information;

(iii) Release confidential information unless such information has previously been released or otherwise made available to the public by the USPTO or the World Intellectual Property Organization.

Form # USPTO-OP-020 (08/2020) Page 13 of 24

(5) Security and confidentiality requirements for information contained in a confidential patent application or information concerning the same maintained in a computer accessible medium are an extension of the security and confidentiality requirements for the hard copy or of confidential patent application folders containing such files. All processing, storage, or transmission of information contained in the confidential patent application and related data including the confidential patent file or information concerning the same by means of electronic communications systems is prohibited unless and until the use is approved by the USPTO.

(6) Information contained in any confidential patent application file(s) or data is restricted to authorized

Contractor personnel on a need to know basis solely to perform the requirements under the contract.

All Contractor personnel having access to patent applications or data or information concerning the same must take the following affirmation, pursuant to the confidentiality obligations set forth in 35 U.S.C. §122, and sign with either digital or wet signature prior to accessing any patent applications, data or information concerning the same:

“I acknowledge that I received indoctrination regarding the nature and protection of information that I have been provided conditional access, and I do swear and affirm that I will preserve, keep and maintain the confidential patent application and related data in confidence pursuant to 35 U.S.C. §122. I understand my responsibilities for protecting such information that I may have access to in accordance with the terms of this contract. I will only use the confidential patent application and related data that I have been granted conditional access to only to perform tasks under this contract in accordance to the contract terms and for no other purpose. I will not divulge any patent application or related data to persons that do not have a need to know while employed in work under this contract or at any time thereafter, and that I take this obligation freely, and without mental reservation or purpose of evasion.”

(7) The Contractor is to provide a list to the Contracting Officer’s Representative of all personnel that signed the affirmation within 72 hours. The copies of the affirmations shall be retained in the

Contractor’s files and are subject to inspection by authorized Government representatives or third -party contractors supporting the Government representatives. Without advance notice, the Government shall have the right to inspect the Contractor’s premises, records, and work in process to ensure compliance with these provisions.

(8) If any personnel performing under the contract no longer require ongoing or routine logical or physical access to confidential patent applications or information concerning the same, the Contractor must reduce or revoke access privileges to the information within 72 hours.

(c) Notification Requirements.

The Contractor must comply with all notification of potential or actual breach and/or incident provisions under this contract. In addition, if the Contractor discovers or has reason to suspect confidential patent applications, related data or any part thereof have potentially or actually been publicly displayed on unapproved platforms or applications and/or accessed, viewed, provided to or obtained by persons or entities without need to know or not performing on the contract, the Contractor must immediately notify the Contracting Officer with a statement of the facts and circumstances known at the time within 72 hours of identification. Nothing in this provision relieves the Contactor from any other reporting requirements in this contract.

(d) Flow-Down of Requirements.

The Contractor must insert this clause in all subcontracts and require subcontractors, teammates, and independent contractors to include the clause in all lower-tiered contracts.

Form # USPTO-OP-020 (08/2020) Page 14 of 24

(End of Clause)

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Prohibition on Contractor Endorsements, October 1, 2022

(a) The Contractor shall not refer to this or any other contract between itself and the USPTO in advertisements, press releases, or other forms of endorsement in such a manner that states or implies the Federal Government sanctions, prefers, or considers the products and/or services provided by the Contractor superior to those of other vendors without the express written consent of the Contracting Officer and the USPTO Office of the Chief Communications Officer.

(b) Forms of endorsement containing such statements or implications shall be submitted to the

Contracting Officer for preliminary review prior to any publication in order to ensure compliance with this clause. Upon receipt, the Contracting Officer will relay the request to the Office of the

Chief Communications Officer for final USPTO approval.

(c) The Contractor must insert this clause in all subcontracts. Any subcontractors must flow this clause down to its subcontracts as well. Subcontractors shall submit their written request for the Contracting Officer’s permission through the prime contractor.

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Security Processing Requirements – Low Risk Contracts, 10/15/2024

(a) Investigative Requirements for Low Risk Contracts. All contractor (and subcontractor) personnel proposed to be employed under a Low Risk contract shall undergo security processing by the Department's Office of Security before being eligible to work on the premises of any Department of Commerce or USPTO owned, leased, or controlled facility in the United States or overseas, or to obtain access to a Department of Commerce or USPTO IT system. All Department of Commerce or USPTO security processing pertinent to this contract will be conducted at no cost to the contractor.

(b) Investigative requirements for Non-IT Service Contracts are:

(1) Contracts more than 180 days—Tier 1 Investigation.

(2) Contracts less than 180 days—Special Access Check (SAC).

(c) Investigative requirements for IT Service Contracts are:

(1) Contracts more than 180 days—Tier 1 Investigation.

(2) Contracts less than 180 days—Special Access Check (SAC).

(d) In addition to the investigations noted above, non-U.S. citizens must have a background check that includes an

Immigration and Customs Enforcement agency check. To that end, contractors are required to use E-Verify (FAR

Form # USPTO-OP-020 (08/2020) Page 15 of 24

22.18) and shall provide proof of their enrollment in accordance with clause 52.222-54, Employment Eligibility

Verification.

(e) Additional Requirements for Foreign Nationals (Non-U.S. Citizens). Non-U.S. citizens (lawful permanent residents) to be employed under this contract within the United States must have:

(1) Official legal status in the United States; and

(2) Continuously resided in the United States for the last two years

(f) Processing requirements for Low Risk non-IT and Low Risk IT Service Contracts are as follows:

(1) Processing of a Tier 1 is required for all contract employees employed in Low Risk service contracts for more than 180 days. The Contracting Officer's Representative (COR) in coordination with the USPTO Office of Security will invite the prospective contractor into the National Background Investigative Services (NBIS) eApplication to complete the SF-85. The contract employee must also complete fingerprinting.

(2) Contract employees employed in Low Risk service contracts for less than 180 days require a Special Access Check (SAC) processed. The COR/Sponsor shall coordinate with the USPTO Office of Security to have an OF306, a copy of the contractor’s resume, and any other required forms.

(3) Any contract employee with a favorable SAC who remains on the contract over 180 days will be required to have a Tier 1 investigation conducted to continue working on the job site.

(4) For Low Risk service contracts, the scope of the SAC will include checks of the FBI Fingerprint (FBIF).

(5) Copies of the appropriate forms can be obtained from the COR/Sponsor. Upon receipt of the required forms, the COR/Sponsor will forward the forms to the servicing Security Officer. The Security Officer will process the forms and advise the COR/Sponsor and the Contracting Officer whether the contract employee can commence work prior to completion of the fitness determination based on the type of work and risk to the facility (i.e., adequate controls and restrictions are in place). The COR/Sponsor will notify the contractor of favorable or unfavorable findings of the fitness determinations. The Contracting Officer will notify the contractor of an approved contract start date.

(g) Notification of Disqualifying Information. If the Office of Security receives disqualifying information on a contract employee, the COR/Sponsor and Contracting Officer will be notified. The COR/Sponsor shall coordinate with the Contracting Officer for the immediate removal of the employee from duty requiring access to Departmental or USPTO facilities or IT systems. Contract employees may be barred from working on the premises of a facility for any of the following reasons:

(1) Conviction of a felony crime of violence or of a misdemeanor involving moral turpitude.

(2) Falsification of information entered on security screening forms or of other documents submitted to the

Department or USPTO.

(3) Improper conduct once performing on the contract, including criminal, infamous, dishonest, immoral, or notoriously disgraceful conduct or other conduct prejudicial to the Government regardless of whether the conduct was directly related to the contract.

(4) Any behavior judged to pose a potential threat to Departmental or USPTO information systems, personnel, property, or other assets.

Form # USPTO-OP-020 (08/2020) Page 16 of 24

(h) Failure to comply with security processing requirements may result in termination of the contract or removal of contract employees from Department of Commerce or USPTO facilities or denial of access to IT systems.

(i) Access to National Security Information. Compliance with these requirements shall not be construed as providing a contract employee clearance to have access to national security information.

(j) The contractor shall include the substance of this clause, including this paragraph, in a ll subcontracts.

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Foreign National Visitor and Guest Access to Departmental Resources, 10/15/2024

(a) The contractor shall comply with the provisions of Department of Commerce Administrative Order 207-12, Foreign National Visitor and Guest Access Program; Bureau of Industry and Security Export Administrative

Regulations Part 734, and the USPTO IT Security Handbook. The contractor shall provide the Government with notice of foreign nationals requiring access to any Department of Commerce or USPTO facility or through a

Department of Commerce or USPTO IT system.

(b) The contractor shall identify each foreign national who requires access to any Department of Commerce or

USPTO resources, and shall provide all requested information in writing to the Contracting Officer's Representative.

(c) The contractor shall include the substance of this clause, including this paragraph, in all subcontracts.

(End of clause)

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Contractor Notification Requirement, 3/17/2010

The Contractor is required to notify the Contract Officer’s Representative (COR) within one business day upon temporary or permanent termination of a Contractor employee, when that Contractor employee has USPTO system access rights, and at any other time when a Contractor employee no longer requires USPTO IT system access permissions.

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Contractor FOIA Requirements, 02/14/2017

Within fourteen (14) calendar days of receiving the contract award, the contractor shall, at no additional expense to the government, submit an electronic copy of the resultant contract with any proposed redactions deemed necessary

Form # USPTO-OP-020 (08/2020) Page 17 of 24 by the contractor or required by law, along with the basis for such redactions, to be forward to the USPTO FOIA

Officer within the Office of General Counsel.

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Security Requirements for Information Technology Resources, 10/1/2022

(a) Applicability. This clause is applicable to all contracts that require contractor electronic access to

Department of Commerce (DOC) sensitive non-national security or national security information contained in systems, or administrative control of systems by a contractor that process or store information that directly supports the mission of the Agency.

(b) Definitions. For purposes of this clause, the term “Sensitive” is defined by the guidance set forth in the Computer Security Act of 1987 (Pub. L. 100–235), including the following definition of the term:

(1) Sensitive information is “ * * * any information, the loss, misuse, or unauthorized access to, or modification of which could adversely affect the national interest or the, conduct of

Federal programs, or the privacy to which individuals are entitled under section 552a of title 5, United States Code (The Privacy Act), but which has not been specifically authorized under criteria established by an Executive Order or an Act of Congress to be kept secret in the interest of national defense or foreign policy.”

(2) For purposes of this clause, the term “National Security” is defined by the guidance set forth in:

(i) The DOC IT Security Program Policy and Minimum Implementation Standards, Section 4.

(ii) The DOC Security Manual, Chapter 18.

(iii) Executive Order 12958, as amended, Classified National Security Information.

Classified or national security information is information that has been specifically authorized to be protected from unauthorized disclosure in…