ACQ-26-0204 Exhibit 01 PPAM Draft Statement of Work.pdf

United States Patent and Trademark Office

Patent Printing, Assembly and Mailing Services Statement of Work

Form # USPTO-OP-020 (08/2020) Page 1 of 7

Patent Printing, Assembly and Mailing Services (PPAM)

Background

The USPTO is the federal agency responsible for granting U.S. patents and registering trademarks. In doing this, the USPTO fulfills the mandate of Article I, Section 8, Clause 8, of the Constitution "To promote the Progress of Science and useful Arts, by securing for limited Times to Authors and Inventors the exclusive Right to their respective Writings and Discoveries." The USPTO has an obligation to issue and publish patents per 35 U.S.C 2(a)(1). In accordance with 37 CFR 1.314 the USPTO must issue an applicant’s patent once the issue fee is paid unless it is withdrawn. This requirement for Patent Printing, Assembly and Mailing is in support of that requirement.

Purpose

The purpose of the Patent Printing, Assembly and Mailings Services (PPAM) contract is to provide printing, color reproduction, assembly, binding, packaging, mailing, and distribution of United States Patents (also referred to as ceremonial copies).

Scope

The Contractor shall provide the personnel, resources, and facilities, as appropriate, to provide patent printing, assembly and mailings services as follows:

Task 1 – Printing

The Contractor shall provide printing services for both patent covers and weekly patent issue files as described below.

Subtask 1 – Covers

The Contractor will create patent grant covers in different spine sizes ranging in thickness from 1/16” to 2” to accommodate varying sizes of patent grants. There is different cover language required for Utility, Plant, Design and Reissue patent grant covers. The files and specifications for each type of cover will be provided by the USPTO as a Portable Document Format (PDF)—see Attachment 03* for a sample PDF file of a Utility Patent cover; reference Subtask 2 below for particulars on file distribution.

The covers shall be printed/created with the following specifications:

100lb cover stock Stock: Neenah Classic Crest Trim size: 8 ½” X 11” 4-page cover plus spine Color: 2/1 (Black + Pantone 187 cover, black inside) + gold foil stamp/emboss Full bleed Perfect bound

Form # USPTO-OP-020 (08/2020) Page 2 of 7

Spine size: variable, depending on body page count (historical sizes provided below in

“Historical Data” section.

Layout includes 2” extended back cover to accommodate any spine width There are four versions, with a black plate change between them When there is a change in Agency Directors, the signature artwork and Director’s title text will be updated by the USPTO (black plate change)**

* The gold elements in the sample Attachment 03 file are placeholders for the foil stamping required.

**Covers require the digital signature of the Acting Director or Director of the USPTO and shall include their title. This can be changed on a short notice. Therefore, the USPTO would provide the new PDFs with the text changes and the Contractor will be required to make the resultant changes to the covers (within 2 business day) when notified in writing by the Contracting Officer’s Representative (COR) so that the appropriate Acting Director or Director’s title and signature are accurate.

The contractor shall provide sample covers to the COR for review and approval within seven (7) days of contract award. Assembly shall not begin until the COR has viewed and approved a physical copy of the covers (see Section 1.4).

Subtask 2 – Weekly Patent Issue/Reissue Print Files

The Contractor will download the Weekly Patent Issue Print Files for Utility, Plant, Design, and Reissue patents via a Secure File Transfer Protocol (SSH/SFTP) server; file path will be provided by the USPTO at the time of award. Files will be weekly, day of the week to be provided at time of award. Files will be in PDF and are Level 2 compression. Each patent document will appear as a single file and can range in size from one (1) to 3,000 megabytes (MB). The average size of a patent is seven (7) MB.

The Contractor must have a Windows 11 or higher PC that has a line to an internet connection to retrieve Government Furnished Data (GFD). The Contractor will retrieve the files from the SSH/SFTP server using the password protected account and key. The “Contents List” will be included in the electronic delivery.

The USPTO will provide a media contents list with every Weekly Issue Print File delivery (See Attachment 01). This list identifies issue date and the date on which the file was run and lists every patent file that is included. The Contractor shall verify that a patent grant has been received for each patent number in the Weekly Issue Print File.

The entire patent weekly issue and reissue files shall be printed in the following manner:

28 lbs. 8 ½ X 11 Accent Opaque warm white paper Patent Front Page - print face only in black or color ink Patent Drawing Page - print face only in black or color ink Patent Text Page - print front and back in black ink Head margin of all pages is to be 19 mm (3/4") to first line of patent information. Bar code is not to be considered patent information and therefore may appear in the

Form # USPTO-OP-020 (08/2020) Page 3 of 7 head margin. Side margins of all pages shall be exactly equal. (See Attachment 02 for image and stitch positioning)

Collating - The Contractor shall place one copy of each patent for a weekly issue into sets by patent number sequence

For informational purposes only, patents average 19 printed pages, front and back. However, on rare occasions, a patent can be in excess of 1,500 pages.

Claim Letters - Should a patent copy(s) be defective or missing from a delivery, the Government will issue a "Claim Letter" electronically for the correction or replacement of the defective or missing patent(s).

Claim letter requests shall be fulfilled and redelivered or placed in the mail as directed within 48 hours of notification by Government of missing, defective, or poor-quality patents

Advance Orders shall be mailed first class, or as directed, with the next issue following notification by Government of missing, defective, or poor-quality patents

Duplicate Grants – The Contractor shall reprint patent grants at the request of the USPTO and shall use the PDF file used for the original printing request. The Contractor will, on occasion, receive a request to reprint patent grants for which there is no PDF file available. The Contractor shall use the patent image available at www.uspto.gov to reprint any patent grants not available in a PDF file.

All reprinted patent grants prior to the 10 millionth patent shall be printed on 44 lbs. ledger paper

All reprinted patent grants beginning with the 10 millionth patent and above shall be printed on 28 lbs. 8 ½ x 11 Accent Opaque warm white paper

Missing/Defective - Should a patent ledger copy(s) be defective or missing from a delivery, the Government will notify the Contractor of the defect. The Contractor shall print the missing or defective copy at no cost to the Government. The Contractor will reprint/correct and redeliver/re-mail the defective or missing copy(s) within one (1) workday of notification of defective or missing copy

Grant ledger defect: Replacement of Grant ledger copies shall be delivered to the Government designated address within one (1) workday of notification of defective or missing copy.

Task 2 – Assembly

The Contractor shall assemble the ceremonial copy so that there is a cover (Subtask 1) which contains the weekly patent issue/reissue files (Subtask 2) for each applicant. They should be perfect bound and ready for mailing.

Task 3 – Mailing

Upon completion of assembly, the Contractor shall package and mail the ceremonial copy to the applicant within 8 business days of the receipt of the Weekly Patent Issue Print Files. Mailing shall be

Form # USPTO-OP-020 (08/2020) Page 4 of 7 via United States Postal Service (USPS) First-Class Flat Mail; the Contractor is responsible for all shipping/postage costs. Applicant mailing addresses will be provided by the USPTO/available via Kiteworks on the same day of receipt of Weekly Patent Issue Print Files. Coordination for access will occur with the COR and happen within 24-72 hours of award.

A Weekly Patent Issue Print file spreadsheet of the items mailed shall be provided to the USPTO by the Contractor per the below Deliverables section. The Contractor shall determine the appropriate size envelope or mailing box, depending on the size of the patent grant and to ensure the patent grant arrives at the correspondence address of record undamaged.

A report titled “Ceremonial Copies Delivered” shall be provided to the USPTO and shall include the following:

Patent/Application Number Patent application count by application type Date printed Patent Issued Date Date assembly completed Date mailed

Deliverables

SOW

Section Deliverable Due Date Delivery Method

Tasks 1 - 3 Ceremonial Copies Weekly Via Mail Carrier to Patent Recipient

Task 3 Confirmation of

Ceremonial Copies Delivered

Weekly Electronic to Program Office and COR

1.4 Sample Covers 7 days after contract

award Physical copies to COR

Period of Performance

Base Period: January 21, 2026 – January 20, 2027 Option Period 1: January 21, 2027 – January 20, 2028 Option Period 2: January 21, 2028 – January 20, 2029 Option Period 3: January 21, 2029 – January 20, 2030

Place of Performance

All work described herein shall be performed at the Contractor’s site of choice. The location and address shall be provided with the initial proposal to the Government. Any change in location/address shall be

Form # USPTO-OP-020 (08/2020) Page 5 of 7 provided 60 days prior to the planned change to the Contracting Officer (CO) and Contracting Officer’s Representative (COR) for review and approval.

Additional Requirements

1.1 Transition Plan

The Contractor shall utilize the approved Transition Plan to begin performance. The objectives of the Transition Plan are to:

Minimize the impacts on continuity of operations;

Maintain communication with USPTO;

Identify key issues and milestone; and;

Overcome barriers to transition

Successful transition to another vendor or the USPTO may be required at the end of contract performance.

The contractor will work with the COR to ensure there is a logical hand off of work. Transition out shall be coordinated at least 30 days before the end of the contract.

1.2 Quality Control Plan

The Contractor shall implement their approved Quality Control Plan (QCP) to ensure quality ceremonial copies are assembled and mailed on behalf of the USPTO.

The USPTO reserves the right to conduct weekly inspections of the Contractor’s work, this may require access to the facilities used to complete all tasks under this contract. The Contractor is required to correct any problems or deficiencies within two (2) business days of receiving written notification of any problems or deficiencies.

Examples of patent grants/ceremonial copies not meeting standards outlined herein include: patents that have double printed pages, skewed images, ripped or torn pages, smudged or stained pages, etc.

If an applicant files a complaint concerning the ceremonial copy received, and it is verified that the quality does not meet the standards outlined in the quality control plan, the Contractor is expected to re-print the entire ceremonial copy at no cost to the USPTO or the applicant and mail the applicant the new ceremonial copy to the applicant.

1.3 Government Furnished Data (GFD)

The Contractor will be handling Government Property in the form of Government Furnished Data (GFD).

The Contractor shall also retain digital images of the patent color drawings for one (1) year from date of receipt in order to fulfill future requests of reprints during the life of this contract. All GFD must be returned in the condition in which it was received, at the request of the CO/COR, and/or at the end of the contract.

1.4 Sample Covers

Form # USPTO-OP-020 (08/2020) Page 6 of 7

The Contractor shall provide sample covers for one (1) each of: Utility, Plant, Design, and Reissue patents, and within 7 days of the contract award. The covers shall be approved by the COR/CO before proceeding towards contract performance.

The objectives of these samples are to:

Minimize the impacts on continuity of operations;

Identify potential issues and;

Overcome barriers to production

Additional Documentation

Historical Data

Assembly/Covers – Provided below are actual number of assembled grants and covers for the previous four years. This historical data is provided for informational purposes only, and actuals in the future may be higher or lower. (Weekly totals are on average approximately 7,000, but may be or less on any given week)

2024 369,986 2023 363,076 2022 358,629 2021 358,099

Average 362,455

Cover Spine Sizes – provided below, for reference, are the spine sizes historically used when creating covers.

1/16" 1/8" 1/4" 3/8" 1/2" 5/8" 3/4" 1" 1 1/4" 1 1/2" 1 3/4" 2"

Weekly Patent Issue Print Files – Provided below are the actual number of pages printed for the previous four years. This historical data is provided for informational purposes only, and actuals in the future may be higher or lower.

2024 463,128

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

2023 606,216 2022 867,791 2021 585,039

Average 630,544

Attachments

1. Attachment 01-Weekly Issue Print File (Example)

2. Attachment 02-Drawing of Page Image

3. Attachment 03-Sample PDF File-Utility Patent Cover

4. Attachment 04-Non-Disclosure Agreement (NDA)