Draft RFP 2.11.pdf

DRAFT Solicitation/Contract Form (SF 33)

United States Patent and Trademark Office

PATENT DATA and DOCUMENT MANAGEMENT

DRAFT Request for Proposals (RFP)

02/11/2020

TABLE OF CONTENTS

SECTION A – SOLICITATION/CONTRACT FORM………………………………………………………………………………….4

SECTION B – SERVICES and PRICE/COSTS…………………………………………………………………………………………..5

SECTION C – STATEMENT OF WORK…………………………………………………………………………………………………..8

SECTION D – PACKAGING AND MARKING………………………………………………………………………………………….61

SECTION E – INSPECTION AND ACCEPTANCE…………………………………………………………………………………….62

SECTION F – DELIVERIES/PERFORMANCE………………………………………………………………………………………….66

SECTION G – CONTRACT ADMINISTRATION DATA…………………………………………………………………………….72

SECTION H – SPECIAL CONTRACT REQUIREMENTS……………………………………………………………………………75

SECTION I – CONTRACT CLAUSES……………………………………………………………………………………………………..87

SECTION J – LIST OF ATTACHMENTS…………………………………………………………………………………………………98

SECTION K – REPRESENTATIONS, CERTIFICATIONS, AND OTHER STATEMENTS OF OFFERORS…………111

SECTION L – INSTRUCTIONS, CONDITIONS, AND NOTICES TO OFFERORS………………………………………..126

SECTION M – EVALUATION FACTORS FOR AWARD………………………………………………………………………….136

ATTACHMENTS………………………………………………………………………………………………………...Uploaded Separately

SECTION A – SOLICITATION/CONTRACT FORM

Please see cover page.

SECTION B – SERVICES and PRICE/COSTS B.1 Volume Estimates

CLINs with volume estimates are included in the tables below for the following Period of Performance(s):

Base Period 2/1/2021 – 1/31/2024

Option Period 2/1/2024 – 1/31/2026

During the start-up and transition period, production volumes for the newly awarded contract are dependent upon startup progress as defined in the Transition Plan Framework. The offeror should revise the pricing template as necessary to reflect the proposed transition plan.

The yearly volumes are not evenly distributed and daily and weekly volumes may vary significantly because filing and allowance volumes fluctuate. The number of characters that are to be captured for each application vary significantly due to variations in the types of applications filed, number of pages, subject content, etc.

Offerors shall provide a fixed unit price for each CLIN listed in Section B and in Attachment 40 for the base years and all option years in the Offeror’s business proposal. Proposed fixed unit prices shall be fully burdened.

Front End Processing (FEP) Volume Estimates

Pre Grant Publication (PG Pub) Volume Estimates

CLIN

Number CLIN Title Unit/Frequency

2/1/2021- 1/31/2022

2/1/2022- 1/31/2023

2/1/2023- 1/31/2024

2/1/2024- 1/31/2025

2/1/2025- 1/31/2026

0001 Front End Processing (FEP)

0001A Indexing of Follow-on & TC Documents Package 286,255 301,986 303,275 306,305 308,347 0001B Indexing of New Applications Application 11,333 11,956 12,007 12,127 12,248 0001C Indexing of Residual Paper Applications Application 97 101 99 99 99 0001D Scanning and Delivery to the Official Electronic File Wrapper Page 3,796,172 4,004,898 4,022,106 4,062,327 4,102,950 0001E Creation of Artifact Folders Folder 2,698 2,747 2,797 2,847 2,898 0001F Quality Assurance (QA) of Web-Based Submissions Document 19,346,011 20,409,720 20,497,412 20,702,386 20,909,411 0001G Front End Processing of Electronic Documents Document 218,040 230,028 231,016 233,326 235,660

0001H Supplemental Complex Repository for Examiners (SCORE) SCORE - Manual Load to SCORE Each 114,094 120,367 120,884 122,093 123,314

0001J Supplemental Complex Repository for Examiners (SCORE) Processing – Score Loading – Corrupted or Missing Documents Document 23 25 25 25 26

0001K

Supplemental Complex Repository for Examiners (SCORE) Processing – SCORE CRF Transfer Request – Compliant Loaded, Compliant Special Request, Not Loaded Transfer Request 1,302 1,370 1,385 1,405 1,425

0001L Supplemental Complex Repository for Examiners (SCORE) Processing – SCORE Problem Resolution and On-Demand Exports Request 53 56 56 57 58

CLIN

Number CLIN Title Unit/Frequency

2/1/2021- 1/31/2022

2/1/2022- 1/31/2023

2/1/2023- 1/31/2024

2/1/2024- 1/31/2025

2/1/2025- 1/31/2026

0002 Pre-Grant Publication (PG Pub) 0002A PG Pub Yellow Book Application 421,981 426,890 426,289 446,073 442,048 0002B PG Pub Red Book Application 421,981 426,890 426,289 446,073 442,048 0002C Patent Application Alert Service Weekly 52 52 52 53 52

Post Allowance –Data Capture Volume Estimates

Post Allowance – Patent Number Assignment Processing Volume Estimates

Post Issuance – Certificates of Correction (C of C) Volume Estimates

Start-Up, Transition In/Out

CLIN

Number CLIN Title Unit/Frequency

2/1/2021- 1/31/2022

2/1/2022- 1/31/2023

2/1/2023- 1/31/2024

2/1/2024- 1/31/2025

2/1/2025- 1/31/2026

0003 Data Capture 0003A Data Capture of Utility Applications Application 40,707 41,573 41,946 42,965 43,968 0003B Data Capture of Utility Applications – Reuse of PG Pub Data Capture Application 285,509 291,584 294,202 301,351 308,385 0003C Data Capture of Plant Applications Application 1,067 1,139 1,151 1,186 1,221 0003D Data Capture of Plant Applications – Reuse of PG Pub Data Capture Application 234 250 253 260 268 0003E Data Capture of Reissue Applications Application 599 633 633 646 659 0003F Data Capture of Design Applications Application 36,366 39,576 40,778 42,817 44,957 0003G Data Capture of Paper or PDF filed Lengthy Tables Application 16 17 18 19 20 0003H Data Capture of Electronic Compact Disc (CD) Based Lengthy Tables Application 30 32 34 36 38 0003J File Maintenance - All Applications Application 364,482 374,755 378,963 389,225 399,459

CLIN

Number CLIN Title Unit/Frequency

2/1/2021- 1/31/2022

2/1/2022- 1/31/2023

2/1/2023- 1/31/2024

2/1/2024- 1/31/2025

2/1/2025- 1/31/2026

0004 Patent Number Assignment Processing 0004A Patent Number Assignment Processing of Utility Patents Application 316,041 328,245 330,537 339,082 347,302 0004B Patent Number Assignment Processing of Plant Patents Application 1,499 1,616 1,649 1,715 1,784 0004C Patent Number Assignment Processing of Reissue Patents Application 669 693 680 680 680 0004D Patent Number Assignment Processing of Design Patents Application 36,035 39,217 40,407 42,427 44,549

0004E

Patent Number Assignment Processing of ReExamination Certificates & Board Certificates:

(Ex Parte, Ex Parte 257, Inter Partes, Inter Partes Review, Post-Grant Review, Derivation Proceeding) Certificate 788 832 833 850 867

0004F

Daily ReExamination Certificate Processing:

Daily Electronic Official Gazette: Patent Certificates (eOG:PCert), Daily Yellow Book (YB), Daily.pdf Daily 260 265 260 260 260

0004G Supplemental Exam (SE) Certificates Certificate 18 20 20 20 20 0004H Statutory Invention Registration (SIR) Data Capture Application 1 - 1 1 1 0004J Grant Yellow Book (Patent Image Files) Weekly 52 53 52 52 52 0004K Grant Red Book (Patent Text Files) Weekly 52 53 52 52 52 0004L Patent PostScript® File for Printing Weekly 52 53 52 52 52 0004M Electronic Official Gazette for Patents (eOG:P) Weekly 52 53 52 52 52 0004N Annual Publication of Consolidated Notices in (eOG:P) Annual 1 1 1 1 1 0004P Assembly of Patents Issued: Utility, Plant, Reissue, and Design (UPRD) Per Patent 354,245 369,771 373,273 383,904 394,314

CLIN

Number CLIN Title Unit/Frequency

2/1/2021- 1/31/2022

2/1/2022- 1/31/2023

2/1/2023- 1/31/2024

2/1/2024- 1/31/2025

2/1/2025- 1/31/2026

0005 Post Issuance

0005A Certificates of Correction (CofC) Processing (Data Capture, Yellow Book, .pdf and Media Contents List) Certificate 28,340 29,582 29,862 30,712 31,545

0005B Miscellaneous Certificates of Patents Certificate 51 51 52 51 51 0005C Recaptured Patent Grants Due to CofC Patent 20 20 20 20 20

0005D

CofC Batch Processing to Correct/Update Patent Term Adjustment (Volumes per batch have varied from 2500 - 16,500 with three batches processed 2010-2017) Batch - 1 - 1 -

0005E Yellow Book for Previously Issued Patents Patent - 1 - 1 -

IT Security / Ongoing Maintenance of ATO

B.2 HISTORICAL PRODUCTION VOLUMES

Historical volumes are provided for informational purposes and do not constitute a commitment from USPTO that these will be actual volumes and sizes in the future. All historical volume information is provided in Attachment 4, entitled Crosswalk of CLINS to SOW and Historical Volumes and Attachment 5, entitled Historical Data, located in Section J.

2/1/2021- 1/31/2022

2/1/2022- 1/31/2023

2/1/2023- 1/31/2024

2/1/2024- 1/31/2025

2/1/2025- 1/31/2026

CLIN

Number CLIN Title Unit/Frequency Base Year 1 Base Year 2 Base Year 3 Opt. Year 1 Opt. Year 2 0007 IT Security / Maintenance of ATO 0007A IT Security / Maintenance of ATO TBD TBD TBD TBD TBD TBD 0007B Other Direct Costs Associated with IT Security / Maintenance of ATO TBD TBD TBD TBD TBD TBD

SECTION C – STATEMENT OF WORK

C.1 OBJECTIVE

The objective of this contract is to provide the United States Patent and Trademark Office (USPTO) and its customers with indexing and scanning of all paper documents filed and quality review of electronically filed documents that collectively form the official electronic file wrapper and to provide patent data capture and composition of patent applications for publication and patent grant issuance.

A complete understanding of the Patent Data Capture requirements can only be achieved by thoroughly reviewing this Statement of Work (SOW) as well as all references and attachments provided in Section J.

In addition, Section J includes a Glossary providing a comprehensive list of terms and their definitions as they relate to this requirement.

The Contractor shall perform conversion and composition of patent application data received from various sources. The USPTO meets the statutory requirements of publishing patent applications and granting issued patents using the composed patent application data. Patent application data is reviewed during conversion and composition to ensure compliance with applicable statutes, quality standards and rules as described in accordance with the Technical References attached in Section J.

The USPTO is currently enhancing and developing information technology (IT) replacement tools to be used by all stakeholders throughout the patent filing, publication, examination and grant process. Once fully deployed, the USPTO’s “Patents End-to-End” (PE2E) system will move the USPTO away from image based filing and examination (PDF and TIFF format) and leverage data, text, information and technology by providing stakeholders with improved patent application processing, higher quality data, and integration of processes currently managed across multiple separate systems.

A prime example of a PE2E project that could impact the requirements under this contract would include the proposed changes in the web based Electronic Filing System (EFS Web). Currently applicants submit applications and follow-on papers in .pdf format through EFS Web by attaching them as part of their submission. Ninety-Eight percent (98%) of all patent applications are currently filed electronically in this PDF format. With the move to PE2E, the new patent application filing program, called Patent Center, will allow patent filing, ingest, routing, display, and retrieval of applicant Patent Application submissions in a structured text file format. Patent Center phase 1 was piloted in FY 2017, and the full Patent Center functionality is expected FY 2020. These changes will impact Front End Processing (FEP), specifically Quality Control (QC), customer support and the data capture process for both Pre-Grant Publication and Patent Grant because the applicant supplied text will be of higher quality, modifications to the file content will be captured in text format during the examination process, and the applicant will have access to the text file during prosecution and be allowed to review and update the file as needed, again, all in text format. This will potentially make obsolete the need for rescanning and compilation of information by the Contractor.

Programmatic changes are anticipated over the life of this contract and detailed requirements, including any changes to patent data capture, changes to IT standards, and changes to USPTO policy. Specific timing of the changes are not known at this time. As such, this contract is subject to change during the proposed lifecycle of this contract, including potential de-scoping of work (removal of CLINs and/or reduction in CLIN quantities), based on changing Government requirements. The USPTO will endeavor to maintain open communications with the vendor, to allow for as much time as possible as changes in automation are contemplated. The USPTO will negotiate mutually agreed and reasonable time for implementation of changes as a result of automation. The USPTO will work with the Contractor to allow ample time for testing prior to implementation.

Unless otherwise stipulated, the Contractor must provide all personnel, equipment and space to fulfill the requirements of the contract.

C.2 BACKGROUND

The USPTO is 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 publishes pending utility and plant patent applications as mandated in 37 CFR 1.211, 18-months after the earliest effective filing date unless the application has been patented or abandoned, or a request not to publish has been filed. The USPTO first started publishing patent applications in 2001.

Through December 2018, the USPTO has published in excess of 5,425,000 patent applications.

Applications are posted on the USPTO website each Thursday satisfying the requirement to publish.

The USPTO issues patent grants as mandated in 37 CFR 1.314 for applications that have completed the examination process and have been determined to contain patentable subject matter. Granted Patents are issued weekly and published in the Official Gazette for Patents. The USPTO issued patent number 10,000,000 on June 19, 2018 and through December 2018, the USPTO has issued in excess of 10,165,000 patents.

To view published applications and issued Patents, visit https://www.uspto.gov/patents-application-process/search-patents.

The USPTO issues approved corrections to patent grants through the Certificates of Correction (C of C) process. The USPTO issues approved corrections to patent grants as mandated in 37 CFR 1.322 and

1.323 each week. For additional information related to Certificates of Correction, visit https://www.uspto.gov/patents-application-process/patent-search/authority-files/certificates-correction.

The USPTO processes and maintains all records associated with patent applications in an electronic environment also referred to as the official electronic file wrapper in a Tagged Image File Format (TIFF).

Approximately 98% of all newly filed Patent Applications and 92% of papers received after the initial filling of the application, also referred to as follow-on documents, are received via EFS Web and are automatically ingested into the official electronic file wrapper. The 2% of newly filed applications and 8% of follow-on components filed in paper must be scanned into the official electronic file wrapper.

https://www.uspto.gov/patents-application-process/search-patents https://www.uspto.gov/patents-application-process/search-patents https://www.uspto.gov/patents-application-process/patent-search/authority-files/certificates-correction https://www.uspto.gov/patents-application-process/patent-search/authority-files/certificates-correction

The Office of Data Management (ODM), within the Office of Patent Information Management (OPIM), is responsible for managing multiple mission critical activities to support the patent examination process.

ODM oversight and control consists of the following:

• Front-End-Processing (FEP)

• Pre-Grant Publication (PG-Pub)

• Post Allowance

• Post Issuance

Each of these specific areas and Contractor responsibilities are detailed within this SOW. The Contractor shall provide deliverables to the USPTO that are uniform, ready for publication and comply with the SOW requirements and in accordance with attachments provided in Section J. The schedule for providing each of the deliverables is provided in the Production Schedules found in Section F. All delivery dates are expressed in terms of Prior Workdays (PWD). PWD is defined by the number of workdays before publication Thursday or issue Tuesday. Publication Thursday and issue Tuesday are expressed as PWD one (1).

The documents provided in Section J as attachments, expound upon processes, procedures, and quality standards for the requirements under this contract. The documents provided contain the most recent instructions. The documents will be updated to reflect changes to processes and procedures as necessary.

The following are the high-level requirements of the SOW:

• FEP

o Index and scan all paper documents o Retrieve paper documents from designated locations o Maintain an inventory of paper documents for potential retrieval until such time they are scheduled for destruction o Create artifact folders o Perform Quality Assurance and correct web based submissions o Provide customer support by taking corrective action associated with indexing problems, missing documents, and image quality

• PG Pub o Convert and compose pending utility and plant applications for weekly publication in image and text file formats

• Post Allowance o Convert and compose all allowed applications for weekly issuance of patent grants in image and text file formats o Perform Quality Control of documents within the official electronic file wrapper for each allowed application o Send notifications to patent examiners requesting resolution either due to a quality issue or due to documents submitted after allowance that require their action o Mail notices to applicants to resolve quality issues or in response to documents submitted after allowance o Monitor applications that require a response and ensure appropriate action is taken upon receipt of the response or upon expiration of the time period for response o Process all documents/correspondence received after allowance o Ensure all allowed applications proceed to grant in a timely manner o Assign patent numbers for the weekly issue based upon the issue schedule provided by the USPTO o Assemble printed patent grants received from the USPTO Patent Printing Contractor o Prepare and mail abandonment notices o Maintain an inventory of artifact folders associated with allowed applications o Convert and compose Reexamination and Patent Trial and Appeals Board (PTAB) certificates for daily issuance o Create the daily electronic Official Gazette

Create the weekly electronic Official Gazette

• Post Issuance o Convert and compose approved requests for C of C in image file format o Convert and compose miscellaneous Patent certificates o Recapture Patent Grant due to C of C

C.3 GOVERNMENT FURNISHED ITEMS & CONTRACTOR FURNISHED ITEMS

C.3.1 Government Furnished Data (GFD)

The USPTO will provide data necessary for performance under the requirements of this contract by means of secure file transfer to the Contractor. The Contractor shall be responsible for meeting IT Security requirements necessary for secure file transfers.

C.3.1.1 Contractor’s Responsibilities - Information Technology (IT) Security Implementation

Contractor and USPTO information systems must meet security requirements. The USPTO developed Security Assessment and Authorization (A&A) procedures to ensure the integrity, confidentiality and the availability of its data and information systems. The Contractor’s system/application must have a valid Authority to Operate (ATO) (signed off by the USPTO AO or designee) prior to going into operation and processing USPTO information.

The ATO process takes approximately six months and the ATO must be obtained before the contractor can begin processing patent data. The failure to obtain and maintain a valid ATO may be grounds for termination of the contract. More information on these IT security requirements can be found in Section H.1:

Information Technology (IT) Security Implementation.

C.3.1.2 Contractors Responsibilities and Network access to USPTO

Contractors Responsibilities and the type of Network connections allowed are listed in two documents:

1. USPTO CIO Document, entitled “Contractor Access to USPTO”, See Section J, Attachment 1a

2. USPTO CIO Document, entitled “Trusted Internet Connections (TIC)”, Reference Architecture Document, See Section J, Attachment 2

These documents will explain the various processes and responsibilities the Contactor shall be responsible for to gain access to USPTO and/or to establish a network connection. USPTO requires all direct connections to be Air Gap with no exceptions. All sites must pass USPTO Assessment and Accreditation before access is granted. The various types of networks are listed under the Contractor Access to USPTO, Attachment 1a, Section J and will guide you through the process.

The Contractor, who is considered to be an external partner, shall be required to connect to USPTO through the Trusted Internet Connection (TIC). To review Homeland Security Trusted Internet Connections (TIC) Initiative and receive the full document of the Trusted Internet Connections (TIC), Reference Architecture Document, go to http://www.dhs.gov/trusted-internet-connections and https://www.dhs.gov/sites/default/files/publications/TIC_Ref_Arch_v2.2_2017.pdf or Attachment 2, Section J.

C.3.1.3 File Transfer Method

All file transfers shall be performed on approved USPTO certified software for server to server file transfers. Currently, the USPTO has approved Axway Secure Transport – Enhanced Managed File Transfer (MFT) servers and proxies for their file transfers with FIPS 140-2 compliance enable. File sizes should be limited to no more than 20 GB. File sizes larger than 20 GB should be broken down into multiple parts.

Approved sensitive files that are transferred via server to server through the internet will require the AS2 protocol. This is a higher security protocol and has self-tracking built into it.

Authorized internal files (Contractor Access System (CAS) connections) and files transferring over the Internet can transfer HTTPS or SFTP-SSH protocol 2 with FIPS 140-2 compliance enable. The Axway software is a multi-protocol solution and all protocols are presented on one system under the Axway Secure Transport software.

C.3.2 Government Furnished Equipment (GFE) and/or Supplies

The USPTO will provide the following Government Furnished Equipment (GFE) and supplies to the Contractor.

http://www.dhs.gov/trusted-internet-connections https://www.dhs.gov/sites/default/files/publications/TIC_Ref_Arch_v2.2_2017.pdf

• Personal Identity Verification (PIV) Card(s), for accessing USPTO connected workstations (see C.3.4)

• Switches and firewall for access to USPTO systems

• Artifact Folders

• Coverbind® grant covers

• Sleeve sheets for binding of CD(s) in the official copy of the Patent Grant for mailing

• Envelopes for outgoing correspondence and patent grants

• Boxes for transport and final storage of artifact folders relating to issued patents and abandoned applications

The Contractor shall maintain accountability of Government-furnished property in accordance with clause 52.245-1 of this contract. The Contractor shall be responsible for the security of such GFE and shall ensure that GFE is kept and returned in same condition it was issued in (with the exception of normal wear and tear). If there is a loss or theft of GFE, the Contractor shall be responsible for reporting such incident within 24 hours to the USPTO Office of Security at 571- 272-8000 with immediate verbal and written notification to the COR thereafter.

C.3.3 Contractor Furnished Equipment and/or Supplies

The Contractor shall furnish all equipment and supplies necessary to accomplish the requirements of the contract beyond that provided as Government furnished. Unless otherwise specified, the Contractor shall determine the specifications of the equipment and or supplies.

Workstations necessary to access USPTO systems shall be provided by the Contractor and shall meet the hardware specifications and software configurations, Attachments 3a, 3b and 3c, and be in accordance with the Contractor Access to USPTO, Attachment 1a, provided in Section J.

The USPTO will provide grant covers that use the Coverbind® binding system. The Contractor shall be responsible for purchasing and maintaining binding equipment. For informational purposes only, the equipment currently being used is as follows: four (4) model 7000 Coverbind® binding machines, and two (2) model 9000 Coverbind® binding machines. The Contractor shall ensure that any binding machines purchased are capable of performing the binding of the grants using the grant covers provided by the USPTO. More information on Coverbind® binding systems can be obtained at http://www.coverbind.com.

The Contractor is responsible to ensure that all mail is properly sealed before delivery to the USPTO mail center. For informational purposes only, the equipment currently being used for sealing envelopes is as follows: two (2) model IM5000 Neopost® sealing machines. The Contractor shall ensure that any sealing machines purchased are capable of sealing the mailing envelopes provided by the USPTO.

http://www.coverbind.com/

C.3.4 Personal Identity Verification (PIV) Card(s)

As of November 30, 2017, the USPTO Office of the Chief Information Officer (OCIO) disabled user name and password as a means of logging onto the USPTO’s IT systems. As of that date, all users, including Contractor employees, must have a Personal Identity Verification (PIV) Card and active PIN to be able to log onto USPTO IT systems. Contractor employees without a PIV card may be granted a temporary exception in accordance with OCIO's Personal Identity Verification (PIV) Card Authentication Policy - OCIO-POL-49, Attachment 1b, Section J.

The Contractor is required to comply and ensure that all of its employees have PIV badges, if they access USPTO systems using USPTO equipment or Contractor supplied equipment, regardless of their location. The PIV badges are issued at Headquarters, Alexandria, VA.

Contractors will need to work with the Contracting Officer’s Representative and the USPTO Office of Security in advance to arrange for PIV badging time, date and system availability.

A PIV badge request for Contractors cannot be processed until the individual has a favorable fingerprint check completed by the USPTO, a background investigation initiated with the National Background Investigation Bureau (NBIB) or previously completed, a USPTO employee ID number, a USPTO network account with requisite login ID and a USPTO email address.

The Contractor will be required to supply the PIV badging “sponsorship” information. Individuals obtaining badges must appear in person at the USPTO Office of Security with two forms of approved identification in order to be issued a PIV badge. Once issued, PIV badges must be reissued every six (6) years. The responsibility to badge timely, in accordance with the contract and all costs associated with badging are the sole responsibility of the Contractor. The USPTO will not reimburse for costs associated with travel for the purpose of obtaining initial or reissued PIV badges for Contractor employees. Each PIV card has associated with it, certificates of authentication. These certificates are good for a period of three (3) years. Certificates are refreshed using the Self Service Portal with a finger print reader. A person refreshing their certificates at a time which takes their validity past the expiration date of the PIV card does not obviate the need for obtaining a new PIV badge.

When the employee is no longer employed by the Contractor, the PIV badge must be surrendered immediately upon their departure or termination of employment.

C.3.5 – Continuity of Operations Plan (COOP)

The vendor shall provide a detailed COOP describing how the vendor will maintain operations if a catastrophic event were to take place. This COOP should describe how the vendor will coordinate with the USPTO to maintain operations. This COOP should be updated annually.

C.4 PERFORM FRONT END PROCESSING

Front End Processing (FEP) entails the duties necessary to ensure that applicant/inventor submissions are correctly entered into the official electronic file wrapper. FEP includes the activities described in this section. As an aid in understanding, a workflow diagram entitled Flowchart FEP Process is provided as Attachment 12, in Section J.

The Contractor shall deliver documents to the official electronic file wrapper and perform quality control as described in various attachments which are included as references in Section J. The Contractor shall deliver images and appropriate metadata, such as document codes and mailroom date, in accordance with the timeframes provided in the table below.

All turn-around times indicated below are business hours or business days unless otherwise indicated.

Currently the USPTO hours of operation are from 8:30 a.m. to 5:00 p.m., Monday through Friday, excluding federal holidays in the District of Columbia.

Table C.4-1

Turn-around Times for Indexing and Scanning of Paper Documents

Document Type and/or Identification Turn-Around Time

New Applications 5-day

New Design Applications marked “Rocket-Docket” 8-hour

Follow-On Documents 5-day

Tech Center Documents 5-day

Central Fax Documents 5-day

Documents Identified as AF, DAC or Issue Fee 5-day

CRU Outgoing Documents 8-hour

Residual Paper Applications 5-day

For a complete listing of all USPTO document codes see the Front End Processing Manual, Attachment 13, and Image File Wrapper (IFW) Document Codes, Attachment 7, included in Section J.

On occasion, the USPTO may request expedited “on-demand” service for indexing and scanning upon which the Contractor shall index and scan “on-demand” document(s) and deliver images and metadata to the official electronic file wrapper within one (1) business day of the request. Expedited “on-demand” requests are not expected to average more than 1-5 per month.

Following successful electronic delivery of documents to the official electronic file wrapper, the Contractor shall box and store documents according to the instructions contained in the Front End Processing Manual, Attachment 13, included in Section J. The boxes of documents must be readily accessible for inspection in the event rescanning is required. After holding the documents for one (1) year, the Contractor shall contact the USPTO to schedule pick up of the documents for destruction. The Contractor should refer to volume estimates provided in Section B.1 and Section B.2 to determine the amount of storage needed for this requirement.

The USPTO reserves the right to conduct weekly inspections of the Contractor’s work. The Contractor is required to correct any problems or deficiencies within two (2) business days of receiving written notification of any problems or deficiencies.

The Contractor is responsible for taking corrective action associated with indexing problems, missing documents, and image quality. The Contractor shall investigate these problems and must take the appropriate action to resolve. Contractor-generated errors must be corrected at no additional cost to the USPTO.

The Contractor shall provide customer support to resolve issues and respond to inquiries received by email, electronic file wrapper messaging, and discrepancy reports from the official electronic file wrapper users pertaining to missing documents, indexing problems and image quality of documents in the official electronic file wrapper. New issues received shall be responded to within four (4) business hours and are required to be resolved within five (5) business days. If an issue cannot be resolved within this timeframe, the Contractor shall send a follow-up acknowledgement to the user. The current average is 150 to 175 requests for correction of errors received per week. Contractor generated errors shall be corrected, within five (5) business days at no additional cost to the USPTO.

The Contractor shall maintain a database of all inquiries received and processed. On a weekly and monthly basis the Contractor shall deliver reports of activities performed as identified in the Reports and Deliverables Table, Attachment 6, located in Section J.

C.4.1 Perform Indexing

Indexing is the process of applying the appropriate document descriptions and USPTO receipt dates or date of delivery to the applicant to each unique document. The document descriptions are provided in the Front End Processing Manual, Attachment 13, and the IFW Document Code Dictionary, Attachment 7, included in Section J.

The Contractor is responsible for retrieving paper documents (follow-on documents, new applications, or residual paper applications) for indexing and scanning from designated locations throughout the USPTO Alexandria and Shirlington, Virginia offices in accordance with the Front End Processing Manual, Attachment 13, included in Section J.

C.4.1.1 Index Follow-on Documents

The Contractor shall index and scan all follow-on paper documents and deliver them to the official electronic file wrapper. The document descriptions are provided in the Front End Processing Manual, Attachment 13, and IFW Document Code Dictionary, Attachment 7, included in Section J.

C.4.1.2 Index New Applications

The Contractor shall enter the application number provided by the USPTO with the paper documents in the Patent Application Location and Monitoring (PALM) system and enter the application in the official electronic file wrapper. The documents are indexed and scanned and delivered to the official electronic file wrapper. Newly filed applications typically contain five to seven unique documents all with the same mailroom date. The document descriptions are provided in the Front End Processing Manual, Attachment 13, and IFW Document Code Dictionary, Attachment 7, included in Section J.

C.4.1.3 Index Residual Paper Applications

A residual application is an application that is a paper file wrapper that is to be converted to an image and stored in the official electronic file wrapper. All documents within a residual application must be verified against the contents listed on the outside of the application file wrapper and then indexed and scanned and delivered to the official electronic file wrapper. If the application number is not found in the official electronic file wrapper system, a message must be transmitted to PALM that indicates the application has been converted to an image file as opposed to a paper file.

C.4.2 Scan and Deliver to the Official Electronic File Wrapper

The Contractor shall provide image capture that meets the USPTO’s image capture specifications. Once indexing has been completed the documents shall be scanned and prepared for delivery to the official electronic file wrapper as described in the Front End Processing Manual, Attachment 13, Appendix Fourteen, included in Section J.

C.4.3 Create Artifact Folders

The Contractor shall create an artifact folder for each item that cannot or should not be scanned or delivered to the official electronic file wrapper, in accordance with the Front End Processing Manual, Attachment 13, included in Section J.

An artifact is an item that cannot be scanned (i.e. CD, model, video tape etc.) or should not be scanned, such as:

• Documents marked as “Trade Secrets,” “Proprietary Material,” “Material under Protective Order,” “Information disclosure statements marked as Confidential”, and “Material Submitted under MPEP 724.02” and delivered in a sealed envelope should be placed in an artifact folder. If an open envelope is received and marked as confidential, the Government Representative will determine whether the envelope should be re-sealed or the contents scanned and delivered.

• A U.S. patent grant (bound in a cover with an official seal) that a reissue applicant may have surrendered as part of a reissue application or as returned mail of U.S.

Patent grants.

• Bound documents in general: books and magazines.

• In all applications except provisional, non-patent literature (NPL) and foreign references (FOR) that contain gray scale, color, fine lines, screen shots, computer-generated images, and photographs.

The Contractor shall validate that the artifact number captured for an application does not already exist in PALM.

The Contractor shall create and affix a barcode label to each artifact folder in the upper left hand corner to enable tracking within the USPTO’s PALM system throughout its lifecycle. Once the artifact folder is created the Contractor shall place the artifact inside the artifact folder. The Contractor shall initialize each artifact folder in PALM in accordance with the Instructions for Front End Processing Manual, Attachment 13, included in Section J.

Each folder shall contain only one item that cannot be scanned (i.e. CD, model, and video tape) or should not be scanned. See chart below for designation and descriptions. Each barcode label consists of ten characters as follows:

Positions 1 – 8 are numeric and represent the application number;

Position 9 is alphabetic and indicates the type of artifact;

Position 10 indicates the order of the sets of artifacts of a particular type, with A being the first set received of an artifact of the particular type, B being the second set received of an artifact of that same type, in this example, “12345678CA” where the “C” represents a set of color documents or photographic drawings, and “A” would represent the first set received of that type of artifact.

The Contractor shall determine the type of artifact from the table below:

Table C.4.3-1

Artifact Type Descriptions

Designation Description

C Set of color documents or photographic drawings

S CD(s) containing the “file copy” version of a sequence listing

P CD(s) containing a computer program listing

U CD(s) with content unspecified

F Microfilm

V Video tape

M Model

B Bound documents

X Confidential information disclosure statement or other documents marked as “Proprietary,” “Trade Secrets,” “Subject to Protective Order,” “Material Submitted under MPEP 724.02,” etc.

Z Other (such as oversized documents, floppies, DVDs, NPL, FOR, exhibits, Mini-CD)

T Tables on CD

C.4.4 Perform Quality Assurance (QA) of Web-Based Submissions

The current Web-Based electronic filing system used by the USPTO is called EFS Web which allows the applicant to attach .pdf files and select the document description associated with the files. The system then converts the .pdf files to .tif which are delivered to the official electronic file wrapper. The delivery of EFS Web documents to the official electronic file wrapper occurs outside of the scope of this contract.

The USPTO will send to the Contractor, electronically, a daily report entitled, EFS Web Load Report, as identified in the Reports and Deliverables Table, Attachment 6, located in Section J, which includes all Web-based submissions delivered to the official electronic file wrapper on the previous day. The report will contain application serial number(s), document date(s), document code(s), page count(s), and package identification number(s).

The Contractor shall review the images of each submission listed in the EFS Web Load Report to ensure that the document description selected by the applicant accurately describes the content of the document in official electronic file wrapper. If the document description does not accurately describe the content of the document, the Contractor shall correct the document description in accordance with the EFS Web QC Manual (Quality Assurance of EFS-Web Submissions), Attachment 14, provided in Section J.

The Contractor shall review the image to ensure the quality of each image. The Contractor shall determine if the image requires correction in accordance with instructions provided in the EFS Web QC Manual (Quality Assurance of EFS-Web Submissions), Attachment 14, provided in Section J.

USPTO systems are designed to load all drawings for design applications that are described by the applicant as drawings – only black and white line drawings (DRW) or drawings – other than black and white line drawings (DRW.NONBW) to the Supplemental Complex Repository for Examiners (SCORE) and create a SCORE placeholder sheet in the official electronic file wrapper.

USPTO systems are designed to load all drawings for other types of applications that have a document code of DRW.NONBW to SCORE and create a SCORE placeholder sheet in the official electronic file wrapper.

When the Contractor’s EFS-Web QC operator encounters a document that potentially has color/grey-scale content, they will flag the document for further review in the USPTO’s EFS Support Web system. If a document with color/grey-scale content is found in the EFS Support Web system, the Contractor will use the EFS-Web PDF to create a PDF of the drawings for loading into SCORE. Each document that is reviewed will generate a single count to CLIN #001F.

The Contractor will use the SCORE load module to load the drawings into SCORE. The Contractor will use the PDF file name used by the applicant unless it is necessary to create a drawing-only PDF. If the Contractor creates a drawing-only PDF, the operator will append “_QC” to the end of the file name. For example “My_great_idea.PDF” should be named “My_great_idea_QC.PDF.”

Each document that is manually loaded into SCORE will generate a single count to CLIN #001H.

The Contractor will provide supporting documentation to the USPTO on a daily basis. A new report titled “SCORE Load Module” will be delivered to the USPTO share folder for access at any time. The location of the USPTO share folder will be provided upon contract award. The report will include the following information: Application Number, PTO filing date, Doc Code, Score module received date and Score module complete date. The file name will be the SCORE module complete date.

The Contractor shall provide electronically, on a monthly basis, an Excel spreadsheet entitled, EFSW SCORE Breakdown Report, as identified in the Reports and Deliverables Table, Attachment 6, located in Section J, which provides a report showing the breakdown of SCORE sheets versus actual print and scan for EFS Web.

The following table provides a historical perspective of the percentage of errors by error type found during quality assurance of EFS Web submissions. These historical percentages are provided for informational purposes only and do not constitute a commitment from USPTO that these will be actual volumes and percentages in the future. Historically approximately 10% of the documents reviewed required correction.

Table C.4.4-1

Percentage of Errors by Error Type Identified During Quality Assurance (For the 10% of documents that require correction the percentages of those document breakdown as follows)

Error Type Percentage Doc code is incorrect 51.9% Doc code needs to be split 26.1% Doc codes need to be merged and codes are in consecutive order 8.9% Doc codes need to be merged and codes are not in consecutive order

0.1%

Transfer Request 0.1% Duplicate documents <0.1% Different application number 0.4% Image problem 1.9% Test / Reexamination serial number 4.2% Doc. codes that are not supposed to be in IFW (Fee Address, Credit Card Form, Original Assignee Recordation etc.)

1.2%

Miscellaneous (Issue that doesn't fit in any other categories) 3.7% SPEC (Doc code needs to be changed to SPEC - for new application only)

1.6%

OCR problem <0.1%

C.4.5 Front End Processing of Electronic Documents

The Contractor shall process electronic documents generated or received from sources other than those previously described. The Contractor shall index and deliver these electronic documents generated or received to the official electronic file wrapper in accordance with the Front End Processing Manual, Attachment 13, included in Section J.

These electronic documents include Contractor generated documents, for example but not limited to, Rush, Notice to File Corrected Application Papers (NTF), issued Certificates of Correction, and Published Reexamination Certificates. These electronic documents also include electronic documents received by USPTO, for example but not limited to, foreign priority documents.

C.4.6 SCORE Processing

SCORE is the storage and retrieval repository for documents and files that must be maintained in a format other than image documents. The following are examples of the types of documents and files maintained in SCORE:

• Sequence Listings (text files)

• Search Results (text files)

• ABSS search results

• Other search results, i.e., chemical structure search results (currently only from

STIC-EIC1600)

• Large Tables (text files)

• Computer program listings (text files)

• Drawings (pdf files)

• For design applications

• Color and gray scale drawings for other applications

• All Design Grants and any other Grant that contains color or gray scale drawings

The Contractor must perform the following SCORE processing functions in accordance with and as defined in the Computer Readable Format Transfer Participant Manual, Attachment 15, provided in Section J.

• The Contractor shall initiate the SCORE load process for electronically filed drawings that are not automatically loaded by USPTO systems. Some of these documents may be identified during the Contractor QA of Web Based Submissions. Others will be ad hoc requests. Please refer to Section C.4.4 for instructions on initiating the load process.

Following the load process the USPTO provides a list to the Contractor of the documents loaded to SCORE.

• The Contractor shall initiate the SCORE load process for documents filed in paper that contain color or gray scale.

• The Contractor shall process Computer Readable Form (CRF) transfer requests and review them for compliance and then load acceptable requests into SCORE.

• The Contractor shall investigate and resolve problems with SCORE exports received for Pre-Grant, Grant, and other data processing to the USPTO.

C.4.6.1 SCORE Processing – Score Loading – Corrupted or Missing Documents

The Contractor shall initiate the SCORE load process for electronically filed drawings that are not automatically loaded by USPTO systems. In addition, corrupt or missing SCORE documents are identified by various sources, e.g. examiners, and during PG Pub and Grant processing. The Contractor shall, in accordance with the instructions provided in the Computer Readable Format Transfer Participant Manual, Attachment 15, provided in Section J, accomplish the following steps:

1. Ensure the proper documents are in SCORE.

2. Perform special processing of any drawing load for ad hoc requests within one

(1) business day of receiving the request.

3. Ensure any corrupt SCORE documents are removed from SCORE prior to the loading of corrected documents.

4. Manually perform the load process.

5. Provide weekly and monthly reporting of the number of drawings loaded into SCORE on the FEP Weekly and Monthly Production Reports, as provided in the Reports and Deliverables Table, Attachment 6, located in Section J.

C.4.6.2 SCORE Processing – SCORE CRF Transfer Request

Patent applications that contain bio sequences, may contain a computer readable form (CRF) of the sequence listing. The CRF is used in searching by the examiner and in publishing the application or patent. Instead of filing the CRF directly, the applicant may file a request to have the CRF of another US patent application used as the CRF in the current application (CRF transfer request).

The Contractor shall review the transfer request for compliance. The Contractor must load the compliant CRF Transfer Request(s) into SCORE in accordance with the CRF Transfer Request Participant Handbook, Attachment 15, provided in Section J. CFR Transfer Requests are identified during indexing and/or the QA of Web Based submissions and/or through ad hoc requests received via email.

The Contractor shall review and process each CRF Transfer Request in accordance with the CRF Transfer Request Participant Handbook, Attachment 15, as provided in Section J. If the CRF Transfer Request meets all of the compliance requirements the Contactor shall:

1. Perform the transfer within SCORE to the requested application.

2. Prepare the CRFE document and deliver it to the official electronic file wrapper.

3. Enter CRFE transactions in PALM for CRF Transfer Requests.

If the CRF Transfer Request does not meet all the requirements, the Contractor shall prepare the Sequence Transfer Request Problems form CRF.TRNS.IMP document for scanning into the official electronic file wrapper.

The Contractor shall provide the list of applications with compliant CRF Transfer Requests weekly to the USPTO. This list will be used to validate all transfers and determine if manual export to CRF database is required.

The Contractor shall load all CRF Transfer Requests in the date order received. The USPTO will provide a Transfer Load Tracking Matrix that has data on transfer requests previously processed as a tool to determine and manage load order.

The Contractor shall update the Transfer Load Tracking Matrix. The Contractor shall monitor support mailboxes and respond to internal customer inquiries concerning transfer requests.

The Contractor shall provide monthly and weekly reporting of the number of Computer Program Listings and Tables loaded into SCORE reflecting the number of Transfer requests that were loaded into SCORE and any non-compliant requests that were not loaded into SCORE.

C.4.6.3 SCORE Problem Resolution and On-Demand Exports

The Contractor shall investigate and resolve problems with SCORE exports received for Pre-Grant, Grant, and within other data processing to the USPTO. The Contractor shall first attempt to resolve all problems with SCORE exports received for Pre-Grant, Grant, and other data processing to the USPTO. The Contractor shall report any unresolved problems with SCORE exports to the designated USPTO official.