RFP Amendment 0001 11.22.pdf

AMENDMENT OF SOLICITATION/MODIFICATION OF CONTRACT

1. CONTRACT ID CODE

2. AMENDMENT/MODIFICATION NO.

3. EFFECTIVE DATE

11/22/2019

4. REQUISITION/PURCHASE REQ. NO.

163P2001557

5. PROJECT NO. (If applicable)

1333BJCODE

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

ALEXANDRIA, VA 22313-1450

6. ISSUED BY PROC8825CODE

Office of Procurement US Patent and Trademark Office Attn: MS 6, Office of Procurement P.O. Box 1450 Alexandria, VA 22313-1450

7. ADMINISTERED BY (If other than Item 6)

9A. AMENDMENT OF SOLICITATION NO.

1333BJ20R00151003

CODE FACILITY CODE

8. NAME AND ADDRESS OF CONTRACTOR (No., street, country, state and ZIP Code) (X)

X 9B. DATED (SEE ITEM 11)

11/04/2019

10A. MODIFICATION OF CONTRACT/ORDER NO.

10B. DATED (SEE ITEM 11)

11. THIS ITEM ONLY APPLIES TO AMENDMENTS OF SOLICITATIONS

X XThe above numbered solicitation is amended as set forth in item 14. The hour and date specified for receipt of Offers is extended, is not extended, Offers must acknowledge receipt of this amendment prior to the hour and date specified in the solicitation or as amended, by one of the following methods: (a) By completing items 8 and 15, and returning ____ copies of the amendment; (b) By acknowledging receipt of this amendment on each copy of the offer submitted; or (c) By separate letter or telegram which includes a reference to the solicitation and amendment numbers. FAILURE OF YOUR ACKNOWLEDGMENT TO BE RECEIVED AT THE PLACE DESIGNATED FOR THE RECEIPT OF OFFERS PRIOR TO THE HOUR AND DATE SPECIFIED MAY RESULT IN REJECTION OF YOUR OFFER. If by virtue of this amendment your desire to change an offer already submitted, such change may be made by telegram or letter, provided each telegram or letter makes reference to the solicitation and this amendment, and is received prior to the opening hour and date specified.

12. ACCOUNTING AND APPROPRIATION DATA (If required)

13. THIS ITEM ONLY APPLIES TO MODIFICATION OF CONTRACTS/ORDERS.

IT MODIFIES THE CONTRACT/ORDER NO. AS DESCRIBED IN ITEM 14.

CHECK ONE A. THIS CHANGE ORDER IS ISSUED PURSUANT TO: (Specify authority) THE CHANGES SET FORTH IN ITEM 14 ARE MADE IN THE CONTRACT

ORDER NO. IN ITEM 10A.

B. THE ABOVE NUMBERED CONTRACT/ORDER IS MODIFIED TO REFLECT THE ADMINISTRATIVE CHANGES (such as changes in paying office, appropriation date, etc.) SET FORTH IN ITEM 14, PURSUANT TO THE AUTHORITY OF FAR 43.103(b).

C. THIS SUPPLEMENTAL AGREEMENT IS ENTERED INTO PURSUANT TO AUTHORITY OF:

D. OTHER (Specify type of modification and authority)

E. IMPORTANT: Contractor is not, is required to sign this document and return _______ copies to the issuing office.

14. DESCRIPTION OF AMENDMENT/MODIFICATION (Organized by UCF section headings, including solicitation/contract subject matter where feasible.)

This solicitation amendment contains responses to offeror questions. In addition, this amendment revises the solicitation (in track changes), including the Performance Work Statement, Instructions to Offerors, and Attachment 7 . Lastly, this amendment adds Attachments 4(a ) , 10

, and 11 .

Except as provided herein, all terms and conditions of the document referenced in Item 9A or 10A, as heretofore changed, remains unchanged and in full force and effect.

15A. NAME AND TITLE OF SIGNER (Type or print) 16A. NAME AND TITLE OF CONTRACTING OFFICER (Type or print)

(Signature of person authorized to sign)

15B. CONTRACTOR/OFFEROR 15C. DATE SIGNED

By (Signature of Contracting Officer)

16B. UNITED STATES OF AMERICA 16C. DATE SIGNED

NSN 7540-01-152-8070

Previous edition unusable

STANDARD FORM 30 (REV. 10-83)

Prescribed by GSA FAR (48 CFR) 53.243

Question No.

RFP

Reference Question Response

1 Section L, The summary evaluation criteria include “(a) Quality Control Plan inclusive of resumes of reviewers”.

Question: Can you please clarify if bidders are to submit resumes of all reviewers? If so, are the resumes part of the “NTE 20” page count?

Yes, resumes are required for all reviewers and are included in the 20 page limitation for the Quality Control Plan.

2 Section B, The Government’s estimated volumes and maximum volumes (not to exceed amount) are provided in the RFP.

Question: Can you specify the estimated and maximum volumes by nine

(9) technology centers?

See RFP Attachments 1 and 2.

3 RFP

Section: Vol II, Business Proposal, “In the master buildup for each CLIN, it should be clear which costs are associated with the prime contractor and which costs are associated with subcontractors.”

Question: Should the offeror submit the ‘Master Buildup for each CLIN in their own format, or does the Government intend to provide a template?

Please see Attachment 11 “Search Pricing Template”.

RFP Section L, Page 78

Question: Will the Government please remove the double-spacing submission requirement for the technical volume?

The spacing requirement for the submission is single-spaced. However, the Offeror must comply with all other instructions and conditions for proposal submission. See revisions to Section L “Instructions, Conditions, and Notices to Offerors”.

5 RFP Section L, Page 79

3 RFP Section L, Page 79 “Past Performance shall not exceed ten (10) pages in total, exclusive of all Offeror references. This description must include, at a minimum:

(1) Any prior experience performing any patent related searching and/or examination, including details regarding length of experience and workload.

(2) Experience in managing similar size requirements and performing comparable services. This section shall demonstrate the Offeror’s experience and ability to provide skilled personnel and ability to manage requirements, which are the same, or similar to those addressed in this

RFP.

(3) List of current or previous contracts; (excluded from five (5) page limitation)

Question: Will the Government change the page limitation on item (3) to match the aforementioned (10) pages?

The not-to-exceed page limitation for past performance is 10 pages which includes the minimum description under requirements 1, 2 and 3. Please see revision to Factor C: Past Performance.

6 RFP Section B.2, Page 5

Question: Will the Government guarantee the stated minimum units per year?

There are no stated minimum units set forth in the

RFP.

7 RFP Section B.4.1, page

Question: If there is a search backlog on day one of the contract, can the government clarify how penalties apply, if at all? If they do then how much advance notice of the backlog size will be provided to the contractor?

There will not be a backlog on day one of the contract.

The Offeror will be responsible for the work assigned by the Government.

8 RFP,

Section C.4.1.1, Question: Are abstracts of the references for ABSS Sequence Searching required?

No. Abstracts are not required. Please see revisions to Section C.4.1(h), C.4.1.1(c), C.4.1.4.1(a) and (b) of the solicitation. As a result, Attachment 7 “QASP” is revised.

RFP Section C.4.1.1, Question: Are annotations of the references for ABSS Sequence Searching required?

No. Annotations are not required. Please see revisions to Section C.4.1(h), C.4.1.1(c), C.4.1.4.1(a) and (b) of the solicitation. As a result, Attachment 7 “QASP” is revised.

10 B.3.b, p.6 Question: During transition-in, if workload will be up to 50% of actual tasks, how will the other 50% of searches be handled? Performed by members of government staff, other contractors or held as backlog until completion of transition-in?

The Offeror will be responsible only for the work assigned by the Government as stated within Section B.3.b.

11 B.4.2, p.7 Question: Are you able to disclose the disincentives received by the incumbent contractor by type and frequency?

No.

12 B.5, p.7 Question: Did the previous contract achieve any cost reductions due to efficiencies and risk reduction during any of the option years for the benefit of the government?

No. The previous contract was labor hour driven which is different from the current requirement. The Government is looking for efficiencies and risks reductions.

13 H.2, p.25 Question: Does alternate work off-site from PTO offices include our offices as well as tele-work from employee residence?

Yes. See Section F.3(a) and Attachment 8 “Alternate Work Site Agreement”.

14 H.2, p.25 Question: Is a facility clearance required for our corporate office for work to be performed off-site from PTO offices?

No. There is no requirement for a facility clearance for this requirement. However, the Offeror must comply with PTO-12 Security Processing Requirements – High or Moderate Risk Contracts

15 GFE,b, p. 45 Question: Can you tell us how many desks there are for contractor FTEs on-site at PTO for this contract?

At this time, the Government is unsure of the number of desks that will be available. Please see Section F.3 as to the Government’s intent for the primary place of performance. Also, please see RFP sections C.4.1(a) and Contracts Clauses I: 1352.245-70 Government Furnished Property paragraph b.

16 RFP

Section: Vol I Technical Proposal, Page: 78

Question: In order to provide adequate technical responses and address all areas requested, will the Government please remove the double-spacing submission requirement for the technical volume?

Yes. Please see response to Question #4.

17 RFP

Section: Vol II Business Proposal, Page: N/A

Question: Would the Government like to have the SF 33 and any future amendment acknowledgement placed within Volume II Business Proposal.

Yes. Please see the revision to Section L “Instructions, Conditions, and Notices to Offerors, Proposal Requirements and Volume II Business Proposal, Completed Section K.

RFP

Section:

C.4.4.1 Transition-in, Page: 15

“The Contractor shall incorporate termination dates of existing Contractor performance periods and USPTO planned major project dates.”

Question: Will the government please provide a summary of the current transition out plan from the incumbent and USPTO planned major projects in order to ensure a cohesive plan.

There is no transition-out plan requirement under the previous contract. For this solicitation, project dates are unknown at this time. See revision to Section C.4.4.1.

19 RFP Section C.4.1, pages 11, 13-15 and Attachment

7 (QASP)

The RFP mentions "examiner interview notes (if any)" in multiple places.

Question: Will the contractor have opportunity to "interview" the requester if clarification is needed to fulfill the request properly? For example, if a chemical structure search request is overly broad and producing too many hits, can the contractor request a consultation with the requesting examiner to agree on a narrowed approach?

Yes, the searcher may contact the examiner/requestor for clarification about the scope of the search.

20 RFP Section B.4.1, page

Question: As a follow-on to Question #1, if an examiner interview is appropriate for clarification of the search request, will consideration of the examiner's response time be given for the determination of timeliness? If there is substantial delay in the examiner's response to the interview request, will the timeliness requirement for that request be extended accordingly?

No.

21 RFP Section C.4.1.1, pages 11-12

The RFP states that the final deliverable (For ABSS/Sequences Searches) shall include all of the items noted above and should additionally include the percentage match….

Question: Does this mean that the contractor is expected to analyze the results and provide annotations pertinent to describe why the references are relevant to the search requested (as described above) in addition to the percentage match? Or is a simple list of references sorted by percentage match appropriate?

No analysis or annotations are required. The list of references plus percentage match is sufficient.

22 RFP Section C.4.1.1, Question: Can the USPTO supply examples of expected ABSS/Sequence Search deliverable results?

An example of an ABSS type of search is provided.

Please see Attachment 4a “Sample ABSS Deliverable pages 11-12, and Attachments 4a-4c

Results”. Also, please see Attachments 4a, 4b, and 4c for sequence search request examples.

23 RFP Section I, page 45

Question: Where multiple contractor staff may share an alternative worksite space, can they share a USPTO-supplied desktop or laptop? Or is each USPTO-supplied desktop/laptop limited to only a single, dedicate contractor staff member?

Each Contractor-employee will be issued its owned single, dedicated laptop.

24 Pg. 5 B.2.a Question: Please confirm that the total not to exceed amount is equal to the Fixed unit price multiplied by the maximum volumes given.

The total amount is equal to the Fixed unit price multiplied by the maximum volumes provided in the

RFP.

Pg.11 C.,4.1.1.(c)

Question: Are the standard ABSS searches provided to the contractor with the non-standard sequence search request? Providing the ABSS searches will allow the offeror to meet the 3 day timeframe required by the solicitation.

No. Standard ABSS searches will not be provided to the awardee with Non-Standard Sequence search requests. See RFP section C.4.1.1(c) for the sequence search types.

pg. 12 C.4.1.2 (a)

Question: The final deliverable is stated on pg. 11 as a PDF report with USPTO naming convention and this chemical structure section states the deliverable is entry into the STIC Access database- would delivery be in both formats for all searches or is this a distinction for Chemical searches only?

The contents of the final deliverable for each search type (CLIN) is defined in the appropriate section of the RFP. See C.4.1.1, C.4.1.2, and C.4.1.3.

pg.13 C.4.1.4.1(b)

Question: Is a level 2 ABSS error defined as when all 5 elements are found deficient or when only 1 or more of the 5 elements are found deficient?

When only one (1) or more of the elements are found deficient. C.4.1.4.1(b) has been updated to clarify this.

Pg 14 C4.1.4.2(b)

Question: Is a level 2 Chemical Structure error defined as when all 5 elements are found deficient or when only 1 or more of the 5 elements are found deficient?

When only one (1) or more of the elements are found deficient. C.4.1.4.2(b) has been updated to clarify this.

Pg.20 F.4(b)

Question: When we try and access the below link, we receive an error.

Will the Government please verify if the below link is accessible?

http://ptoweb.uspto.gov/ptointranet/ptosecurity/hspd/hspd_contractor.html

The RFP has been updated to refer to an attachment in lieu of the link. Section F.4. has been updated to reference Attachment 10 instead of the previous url link.

30 Alternate worksite agreement Sections 5 &

Question: Is it the Government's intent for offerors to include all costs within this section into our fixed unit price?

Yes.

Pg. 84 52.212-2 Factor A

Question: QASP- Should the responders past Quality performance under the QCP being proposed be submitted and is this a relevant factor in the RFP evaluation? If a QASP is required submission, will the Government remove the QASP from the page count?

A Quality Assurance Surveillance Plan (QASP) is a government prepared document and should not be provided as part of the submission to the RFP.

Pg.78 Factor A (4)

Question: Is training provided referring to search methodology, quality security or all of the above?

All training pertaining to the requirements in the RFP that the Contractor will provide to their staff should be included.

33 Pg.78 Factor A (3)

Question: To clarify is the requirement privacy protection work procedure or is this referring to IT security?

Yes, the requirement is privacy protection work procedure.

Pg.79 5(c)

Question: To demonstrate technical expertise would detailed search approaches as attachments be accepted with the response?

Yes. However, note that any attachments would be included in the maximum page limit for Factor A.

Pg. 82 paragraph 1

Question: The statement "The business proposal will be reviewed and analyzed in depth, but will note (sic) be rated" means that the business proposal will be evaluated for price fairness and reasonableness but will not be rated as a Factor similar the technical proposal?

The typographical error on page 82, paragraph 1, has been corrected. The business proposal will be evaluated as noted in the RFP and will not be rated.

Pg. 85 Paragraph 3

Question: How will the risk of the Offerors management plan be evaluated?

The USPTO will take into consideration the Offeror’s response to determine if the Offeror has an understanding of the requirements and any potential to cause disruption of schedule or degradation of performance.

37 Pg. 87 Paragraph 1

Question: Could you share how the "independent government cost estimate" would be calculated?

No.

Pg. 25 H.2(a)

Question: Are the costs in this section considered legitimate contract level program management support costs as stated on Pg. 6 sectionB.2.(e)?

Yes.

Factor B, Management plan

Question: For handling peak workloads, will the Government allow the contractor to use searcher staff who also respond to requests from other clients, provided the employee had already passed security processing by the Department's Office of Security?

Yes, as long as the employee meets all of the technical requirements of this contract and also complies with all security requirements.

C2 (i)

Question: If the contract search staff is aware of additional databases and information resources that would either increase search efficiency or improve search quality, is there a mechanism for them to request that resources be evaluated for potential acquisition?

Yes.

C4.1 (h)

Question: Examiner interview notes (if any) are mentioned as being part of the final deliverable. Will the contract searcher be able to clarify a request with an examiner? Would the searcher contact the examiner directly or contact the COR? . Does the “clock” stop while the searcher waits for a response?

Yes, the contract searcher can clarify the scope of the request directly with the examiner/requestor. No, the contract searcher does not have to work through the COR for search scope clarification. No, the clock will not stop while the searcher waits for a response. Please see responses to Questions #19 and #20.

42 #19 III

Quality surveillance process, 4) Timeliness (page 34)

Question: Does the 3- and 5-day turnaround time “clock” stop at the close of business or at 11:59 PM?

11:59 PM

Question: For incumbent contractor what is the number of FTEs onsite at USPTO vs. offsite?

Under the previous contract, the primary place of performance is onsite with limited telework options.

However, the requirements have been revised from the current contract requirements.

44 Question: In-addition to the existing search resources that will be provided by the USPTO can additional relevant resources (provided by the contractor) be used if this improves the quality & timeliness of search?

Yes, if there is no additional cost to the Government.

Over all

We plan to send a response to the RFP in which the contractor (certified 8(a) company) would outsource part of the work to a non 8(a) company based abroad.

Question: Is it compliant with the USPTO’s requirements for this RFP?

While it is the Offeror’s responsibility to choose its subcontractors or teaming partners, work must be performed within the continental United States. Please see Attachment 8 “Alternative Worksite”. However, any proposed alternate worksite has to be approved by the Government. Subcontractors must also comply with PTO-12 Security Processing Requirements – High or Moderate Risk Contracts.

46 Section b – services and prices/costs

Question: Do you confirm that the outcome of this RFP is to grant a single 8(a) company the contract or will the contract be reopened to larger companies if an 8(a) company cannot meet the requirements/volume of the RFP?

This requirement has been approved by the Small Business Administration as an 8(a) small business set-aside and only 8(a) companies may bid on this RFP.

The award will be made to an 8(a).

United States Patent and Trademark Office

SEARCH SERVICES

11/0122/2019

Table of Contents

A Solicitation/Contract Form B Pricing Schedule C Performance Work Statement D Packing and Marking E Inspection and Acceptance F Deliveries or Performance G Contract Administration Data H Special Contract Requirements I Contract Clauses J List of Attachments K Representations, Certifications, and Other Statements L Instructions, Conditions, and Notices to Offerors M Evaluation RFP Attachments…………………………………………………………………………………………………

Attachment 9 - Past Performance Questionnaire………………………………………………….

Attachment 11 - Pricing Template…………………………………………………………………

SECTION A – SOLICITATION/CONTRACT FORM

See cover page.

SECTION B – SERVICES AND PRICES/COSTS

The Government contemplates awarding a single 8(a) firm-fixed-price contract as a result of this solicitation. This award will consist of a base year and four (4) one (1) year options.

B.1 Period of Performance

Base Year (CLINs 0001-0004) May16, 2020 – May15, 2021 Option Year 1 (CLINs 1001-1003) May 16, 2021 – May 15, 2022 Option Year 2 (CLINs 2001-2003) May 16, 2022 – May 15, 2023 Option Year 3 (CLINs 3001-3003) May 16, 2023 – May 15, 2024 Option Year 4 (CLINs 4001-4004) May 16, 2024 – May 15, 2025

B.2 Schedule of Prices

(a) The Government’s estimated volumes (estimates are provided to provide transparency so that offerors are aware of what the anticipated volumes are) and maximum volumes (not to exceed amount) are provided. The following tables specify the maximum obligation of the Government.

CLIN Base Year Description by Search Type

Estimated Volumes

Maximum Volumes Unit Fixed Unit Price

Total Not to Exceed Amount

0001 ABSS 6,500 7,800 each 0002 Structure 2,650 3,300 each 0003 Text 5,300 6,625 each 0004 Transition In

Total Base Year (CLINs 0001 – 0004)

CLIN Option Year 1 Description by Search Type

Estimated Volumes

Maximum Volumes Unit Fixed Unit Price

Total Not to Exceed Amount

1001 ABSS 6,500 7,800 each 1002 Structure 2,650 3,300 each 1003 Text 5,300 6,625 each 1004 Transition Out

Total Base Year (CLINs 1001 – 1003)

CLIN Option Year 2 Description by Search Type

Estimated Volumes

Maximum Volumes Unit Fixed Unit Price

Total Not to Exceed Amount

2001 ABSS 6,500 7,800 each 2002 Structure 2,650 3,300 each 2003 Text 5.300 6,625 each 2004 Transition Out

Total Base Year (CLINs 2001 – 2003)

CLIN Option Year 3 Description by Search Type

Estimated Volumes

Maximum Volumes Unit Fixed Unit Price

Total Not to Exceed Amount

3001 ABSS 6,500 7,800 each 3002 Structure 2,650 3,300 each 3003 Text 5,300 6,625 each 3004 Transition Out

Total Base Year (CLINs 3001 – 3003)

CLIN Option Year 4 Description by Search Type

Estimated Volumes

Maximum Volumes Unit Fixed Unit Price

Total Not to Exceed Amount

4001 ABSS 6,500 7,800 each 4002 Structure 2,650 3,300 each 4003 Text 5,300 6,625 each 4004 Transition Out

Total Base Year (CLINs 4001 – 4004)

Notes:

(a) All volumes and unit pricing is based on a per search request basis. Specifically, a single search request may request multiple embodiments (i.e., multiple claims, sequences, etc. be searched). A second search request submitted subsequently to the posting of the results of a first search request would constitute a separate unit. Offerors are to provide a completed Attachment 11 (Search Pricing Template) for the Base and each Option Year based on the maximum volumes for each search type provided in Section B.2.

(b) CLIN 0001, 0002, 0003 and if options are exercised, CLIN 1001, 1002, 1003, 2001, 2002, 2003, 3001, 3002, 3003, 4001, 4002, and 4003: The estimated volumes for the search types, i.e. ABSS, Structure, and Text, are based on actual Contractor searches performed during FY18. See Attachment 1. These estimated volumes are subject to change. The United States Patent and Trademark Office (USPTO) will notify the Contractor of any changes that will affect the estimated volumes during the course of this contract as the USPTO becomes aware of these changes. For a historical breakdown of text search types by Technology Center (TC) requestor for Fiscal year (FY) 2016 through FY2018. See Attachment 2.

(c) CLIN 0002, and if options are exercised, CLINs 1002, 2002, 3002, and 4002: Structure Search will be used solely when any structure search is conducted, including any search that includes both structure and text searching.

(d) CLIN 0004 (Transition-In) and if Option is exercised, CLIN 4004 (Transition Out): If Offeror does not intend to charge the USPTO, enter “NSP” under the “Fixed Unit Price” column of each specified Period of Performance. For transition-in period, please see Section B.3(b).

(e) Contract-level program management support costs are deemed indirect costs, and are therefore included in the total hourly labor rates for each search type, and encompass support for contract-level management, reporting requirements and related travel and meeting attendance costs associated with the Contractor’s program management staff, as it relates to overall management of the Patent Search program. See Section H.

B.3 Workload Assignments

(a) The United States Patent and Trademark Office (USPTO) will typically assign search requests to the Contractor on a daily basis. A Contracting Officer Representative or Government Point of Contact (POC) will assign the search requests to a designation single point of contact, i.e. Project Manager, etc. The Contractor shall then distribute the work to their staff for completion of the requirements. The daily workload may vary based on the amount of search request source documents received by the Scientific and Technical Information Center (STIC). Additionally, the total search requests received on a daily, weekly and monthly basis may vary based on the amount of search request source documents received by STIC. See Attachment 1 for a historical volumes of STIC Contractor-processed search requests on a weekly basis during FY18.

(b) For the Base Period, the USPTO may employ a “ramp-up or transition-in” period that will entail a rigorous quality review of the Contractor’s deliverables by the USPTO. The “ramp-up or transition-in” period will consist of up to 50% of the typical daily workload. The “ramp-up or transition-in” period will last until the Contractor has demonstrated, to the USPTO, that the final deliverables being delivered meet the USPTO quality standards set forth within Attachment 7 as described in in Section E. It is envisioned that this period may last up to 45 days but may be extended at the USPTO’s option.

B.4 Performance Based Price Adjustments

(a) Price adjustments are designed to assure timely delivery of all final accepted deliverables. As directed by the Government, the Contractor will have a specified period of time to provide the necessary final deliverable. The final deliverables are set forth in Section C.4.1.4. All final deliverables will be accepted in accordance with the review criteria set forth in Section C.4.1.4. Timeliness must be recognized as a vital requirement of this contract.

B.4.1 Determination of Timeliness

The Contractor will be provided with source documents, hereafter referred to as search requests. For ABSS searches, the Contractor will have a maximum of three (3) business days to prepare and deliver the final deliverables, acceptable in accordance with Section C.4.1.4.1, to the USPTO for each assigned search request. For structure and text search requests, the Contractor will have a maximum of five (5) business days to prepare and deliver the final deliverables, acceptable in accordance with sections C.4.1.4.2 through C.4.1.4.3, to the USPTO for each assigned search request. The timeliness period commences on the next business day following the notification of assignment. The timeliness period will include any day (or any portion of a day which will be counted as a whole day) that the USPTO has not been notified that the final deliverable is ready and is posted to the specified location, such as on STIC’s SharePoint website. After the USPTO confirms that the final deliverable has been posted and determines that the final deliverables are acceptable in accordance with section C.4.1.4, the number of days late will be calculated based on the days used by the Contractor to prepare and deliver the final acceptable deliverable compared to the allowed time period maximum for that CLIN. The USPTO will perform up to 100% inspection for compliance with the timeliness for each search results deliverable package.

The following chart summarizes the timeliness requirements set forth in this section:

CLIN (Search Type) Timeliness Requirement ABSS 3 business days

Structure 5 business days Text 5 business days

B.4.2 Timeliness Performance Based Price Adjustments Calculation

(a) The Government will review the Contractor’s timeliness compliance for each deliverable and notify the Contractor of those deliverables which are subject to a reduced invoicing pricing.

(b) Prices listed in the Offeror’s proposal and subsequently incorporated via contract award will be subject to the following timeliness performance based adjustments:

**Contractor performance at this level may lead to non-assignment of work, non-exercise of an option period, termination for default.

B.5 Contractor Initiated Price Reduction

(a) It is anticipated that the Contractor’s cost may decrease during the contract term due to increased efficiencies, more efficient use of technology, and improved risk management based on enhanced understanding of the USPTO’s requirements. At any time during the contract performance, the Contractor may submit a proposal to reduce its contract unit pricing. The USPTO will review the proposal for price reasonableness and may request supporting documentation, if appropriate. If the USPTO determines that the proposed reduced pricing is realistic, the parties will execute a

Timeliness Disincentive When the final deliverable is received N business days late.

The following unit price adjustment will be applied to the unit price for each effected deliverable.

N= 1-2 days 10% reduction of the CLIN price for each untimely deliverable

N= 3-4 days 20% reduction of the CLIN price for each untimely deliverable

N= 5-7 days 30% reduction of the CLIN price for each untimely deliverable **

N= More than 7 days 50% reduction of the CLIN price for each untimely deliverable ** bilateral modification implementing the reduced price. If the Contractor wishes to have reduced prices considered in the USPTO’s determination to exercise or not exercise a contract option, the Contractor shall submit its reduced pricing proposal at least 90 days before the expiration of the current period of contract performance, as applicable.

SECTION C – DESCRIPTION/PERFORMANCE WORK STATEMENT

C.1 General

(a) This Performance Work Statement (PWS) describes USPTO’s requirement for Search Services in support of the Office of the Commissioner for Patents.

C.2 Background

(a) The vision of leading the Nation and the world in intellectual property (IP) protection and policy is driving the USPTO toward the ideal patent and trademark systems for our country and the global economy. The mission of the USPTO is:

“Fostering innovation, competitiveness and economic growth, domestically and abroad by delivering high quality and timely examination of patent and trademark applications, guiding domestic and international intellectual property policy, and delivering intellectual property information and education worldwide, with a highly-skilled, diverse workforce.”

(b) The primary services the agency provides to its stakeholders is processing and disseminating patent and trademark information as described below.

Through the issuance of patents, the USPTO encourages technological advancement by providing incentives to invent, invest in, and disclose new technology worldwide.

Through the registration of trademarks, the agency assists businesses in protecting their investments, promoting goods and services, and safeguarding consumers against confusion and deception in the marketplace.

(c) The examination of patent applications results in the need for prior art searching support. The USPTO currently utilizes a Contractor to assist with prior art searching support.

(d) The USPTO is an organization of approximately 13,000 employees, broken out into specific business units. Those business units include Patents, Trademarks, the Office of the Chief Administrative Officer, the Office of the Chief Communication Officer, the Office of the Chief Information Officer, the Office of the Chief Financial Officer, The Office of Equal Employment and Diversity, the Office of General Counsel, the Ombudsman Office, the Office of Policy and International Affairs, the Patent Trial and Appeal Board and the Trademark Trial and Appeal Board.

(e) The largest of the USPTO business units is the Patents organization. The USPTO’s patent examiners review patent applications and grant patents.

(f) The Patent organizational structure is based on Technology Center (TCs) specializing in major technology categories. Each TC is comprised of Workgroups and each Workgroup is subdivided into Arts Units. Art Unit examiners specialize in specific subsets of technologies, which is referred to as the “art” that they examine. There are approximately 7,900 examiners distributed among nine (9) patent technology centers. The patent examiners are collectively referred to as the Patent Examining Corps.

(g) To appropriately perform the process of examination of patent applications, patent examiners require technology specific information dated earlier than the effective filing date of the patent application. Pre-application dated information, in this context, is referred to as “prior art”. Prior art can include United States (US) patents, foreign patents and related materials, and non-patent literature (NPL), which can be legal materials, journal articles, standards, manuals, books, conference proceedings, films, videos, images, web pages and the like. USPTO’s information need differ from the information needs of many other organizations served by technologically-oriented libraries that typically identify the most recent “state of the art” technology.

(h) An overview of the technologies of the various TCs can be found at https://www.uspto.gov/patent/contact-patents/patent-technology-centers-management. The Scientific and Technical Information Center (STIC) is currently divided into seven (7) Electronic Information Centers (EICs) which corresponds to the specific technologies that supports Patents.

(i) To assist the examiners in their process of examination, the USPTO created the STIC. The STIC provides a variety of services including supplemental searching. STIC has the ability to search in a wide variety of internal sources, journals, books, commercial databases, catalogs of databases, and sequence sources. A sample list of available sources can be accessed through https://www.uspto.gov/learning-and-resources/support-centers/scientific-and-technical-information-center-stic/prior-art. See Attachment 3 for a sample listing of databases and search resources available as of June 2019. The STIC currently has access to 146 databases, including both internal and commercially available external databases, as sources to search for and identify prior art for the widely varied technologies covered by the TCs.

C.3 Objective

(a) The USPTO, Office of the Commissioner for Patents, has a requirement for performing search services for bio-sequences, chemical structures, and general text search services in order to meet the USPTO mission, which is the examination, granting and dissemination of Patents.

(b) The objective of this requirement is to provide the USPTO and its customers with Search Services. A complete understanding of these requirements can only be achieved by thoroughly reviewing this PWS as well as all references and attachments provided in Section J.

(c) The USPTO seeks a highly-qualified team with the technical capabilities and willingness to bring innovative concepts/methodologies and industry best practices to support of the USPTO’s patent examination process.

C.4 Requirement

(a) This section will delineate the requirement for Search Services.

C.4.1 Perform Search Services

(a) This section will provide information relating to the process of examination of patent applications for the requirement of this contract for USPTO. The Contractor shall furnish all necessary personnel, materials and services (except as otherwise provided or specified), to perform the following requirement either on site at the USPTO facilities or at a USPTO approved alternate worksite. The Government has limited space for those Contractor staff who would need to periodically perform work at the Government site. The coordination of the use of the Government space has to be requested through the Contracting Officer Representative (COR).

(b) The USPTO will provide access to all systems and databases as necessary to support the requirements of this contract. The Contractor shall support USPTO by providing expert search services to increase the efficiency and quality of the patent processes.

(c) The Contractor shall perform the following types of searches to support the patent examination process: Automated Biotechnology Sequence Search (ABSS)/Sequence Searches, Chemical Structure Searches, and General Text-Based Searches.

(d) The Contractor searchers shall be knowledgeable and proficient with Boolean logic, proximity and syntactical search functions to search existing databases (commercially available databases and existing in-house databases (see https://www.uspto.gov/learning-and-resources/support-centers/scientific-and-technical-information-center-stic/prior-art)) in order to find relevant non-patent literature and foreign patents.

(e) The Contractor searchers shall be knowledgeable about information sources including in-house and external electronic resources and print reference tools, such as but not limited to, textbooks, manuals, abstracts, dictionaries, encyclopedias and standards. In-house resources include, but are not limited to USPTO Automated Information Services (AIS) tools which examiners use daily to perform their work. Current examples of these tools are: Patent Application Location and Monitoring (PALM)/Central Enterprise Data Repository (CEDR); Patents-End-To-End Docket Application Viewer (PE2E DAV); Examiner’s Automated Search Tool (EAST); Web-based Examiner Search

Tool (WEST); STIC Online Catalog (SOLC), the STIC NPL website, as well as other relevant prosecution tools within the Patent Examiners Toolkit. Documentation and brief overviews may be provided prior to contract start on these in-house resource/tools will be provided by STIC management or delegated personnel. It is expected that the brief overview sessions will be no more than one day in length. Additionally, there are Computer Based Training (CBTs) for EAST and WEST search tools available on the USPTO’s web site (see https://www.uspto.gov/learning-and-resources/support-centers/public-search-facility/public-search-facility#heading-3). The Contractor shall identify and select appropriate electronic and print resources, including selecting from available in-house and vendor databases. The Contractor shall be proficient in their knowledge of the in-house and external database search commands and subject specific protocol (e.g., chemical structures, DNA sequence or classification schemes).

(f) The Contractor shall be responsive to database and resource changes and evolution when developing, formulating, and executing search strategies in order to efficiently target the relevant prior art to meet the requirements of the search request. The Contractor shall apply technical search knowledge in all technology areas and subject area expertise to the search function as this is imperative for building a foundation of effective strategies and search techniques to address the overall information.

(g) The USPTO provided search databases are subject to change and the Government will provide notification to the contractor when a change has or will occur in a search database. The USPTO will not hold any non-compliance errors for any deficiency found during inspection until 30 days after the notification of a change in the database has been issued to the Contractor.

(h) Search requests are submitted by examiners and other USPTO staff via e-mail or through STIC’s website. The content of the search requests include instructions on the type of search to be conducted, the context and breadth of the search to be conducted, and include supporting documentation, claims or other parts of a patent application and, if available/appropriate, details of prior search conducted by the requestor/examiner (only applicable for text searches).

The COR or Government POC will assign the searches to be performed under these requirements to the Contractor.

Typically, this will be a single notification every business day. The Contractor shall complete the search set forth in the search request and post the final deliverable within the set period. The final text/structure search deliverable shall consist of the Contractor’s search history, examiner interview notes (if any), the list of the search results (wherein the most relevant prior art references are listed first) with the abstract and any appropriate annotations pertinent to describe why the references are relevant to the search requested, i.e. sections of the prior art text or graphic results that are useful in identifying the searched features/limitations, and a list of patent family documents for the foreign patent references in the search results. The final text/structure search deliverable will be in PDF format (or other equivalent format as determined by the USPTO) and have a naming convention to be determined by the USPTO.

C.4.1.1 ABSS/Sequence Searching (CLIN 0001, and if options are exercised, CLINs 1001, 2001, 3001, and 4001)

(a) The ABSS system is utilized to sustain the USPTO's business function of performing prior-art searches of bio-sequences disclosed in patent applications and examined primarily by TC 1600 (Biotechnology). ABSS is an in-house, LAN-based system designed to search electronic sequence listing data submitted in patent applications, and supports searching of molecular sequences using data stored from both applicant submissions and commercial databases of published sequence information.

(b) Through ABSS the following databases can currently be searched: GenEMBL (nucleic acids), N-Genseq (nucleic acids), Issued_Patents_NA (nucleic acids), EST (nucleic acids), Published_Applications_NA (nucleic acids), A-Geneseq (proteins), UniPort (proteins), PIR (proteins), Published_Applications_AA (proteins), and Issued_AA (proteins).

(c) For context, standard sequence searches (full sequence protein vs. protein, nucleic acid vs. nucleic acid, protein vs. nucleic acid, and nucleic acid v. protein) are typically entered by the examiner through an electronic portal and do not require any STIC handling to fulfill the request. These standard searches are not within the scope of the present requirements. Non-standard sequence searches, which are also known as specialized, ABSS searches are requested by the examiners through an e-mail to STIC or through STIC’s website. These requests can include fragment, substitution, and fusion searches. See Attachment 4 “Sequence Search

Samples” for samples of non-standard ABSS search requests”. Conducting ABSS searches requires following the instructions on the search request. These specialized sequence searches are within the scope of this contract. The Contractor shall conduct a search on the requested specialized search in the appropriate ABSS databases and provide the results of that search to the Government. The final deliverable shall include all of the items noted above and should additionally include the reference citation and the percentage match of any sequences searched with each relevant prior art document included. In addition to delivering the search results, the Contractor shall enter needed data into a STIC Access Database or equivalent, such as searcher’s name and databases searched.

C.4.1.2. Structure (Chemical) Searching (CLIN 0002, and if options are exercised, CLINs 1002, 2002, 3002, and 4002)

(a) The Contractor shall perform chemical structure searches, to sustain the USPTO's business function of performing prior-art searches of chemical structures present in patent applications, examined primarily by TCs 1600 and 1700. Structure search requests may be limited solely to a chemical structure(s) or may be a combination of text with a chemical structure(s). See Attachment 5 “Structure Search Sample” for examples of chemical structure search requests. The Contractor shall perform a chemical structure search on the requested chemical structures using the appropriate search database(s). The Contractor search shall include the appropriate sources of prior art including US patents, foreign patents and related materials, and non-patent literature (NPL), which can be legal materials, journal articles, standards, manuals, books, conference proceedings, films, videos, images, web pages, and any other disclosure relevant to the context and breadth of the search request. For example, Scientific and Technical Information Network/Chemical Abstract Services (STN/CAS) structure searching may be used for small molecules and polymer structure searches. The Contractor shall document the search performed including the search strings used and the tools/databases searched in their search history. The Contractor shall deliver this documentation electronically to the Government as part of their final deliverable including the items noted above in the Search Requirements section. In addition to delivering the search results, the Contractor shall enter needed data into a STIC Access Database or equivalent, such as searcher’s name and databases searched.

C.4.1.3 Text (General) Searching (CLIN 0003, and if options are exercised, CLINs 1003, 2003, 3003, and 4003)

(a) The Contractor shall perform general searches to supplement searches performed by the examiner during the process of examination of patent applications in all TCs. The Government will assign the search request containing the context and breadth of the search to be performed and, if available, a search history of a search performed by the requestor. The Contractor shall select the appropriate databases to be searched based on the technology and context and breadth of the search requested. The Contractor shall conduct a search to identify and locate the prior art that meets the context and breadth of the request. The search shall include the identification of appropriate sources of prior art including foreign patents and related materials, and non-patent literature (NPL), which can be legal materials, journal articles, standards, manuals, books, conference proceedings, films, videos, images, web pages, and any other disclosure relevant to the context and breadth of the search request. The context and breadth of the search requests may vary from those containing very specific descriptions with a narrow focus to those containing a general description with a general state of the art being requested to be searched. See Attachment 6 “Text Search Samples” for examples of text (general) search requests with search results.

(b) The Contractor shall document the search they performed including the search strings used and the tools/databases searched in their search history. The Contractor shall deliver this documentation electronically to the Government along as a final deliverable, which includes the items noted above in the Search Requirements section. In addition to delivering the search results, the Contractor shall enter needed data into a STIC Access Database or equivalent, such as searcher’s name and databases searched.

C.4.1.4 Review Criteria and Acceptance

(a) The Government will review the Contractor provided final deliverables to determine whether the Contractor’s deliverables meet the specified quality metrics. See Attachment 7 “Quality Metrics”. The quality metrics will be measured by random search evaluations as defined in the QASP. These evaluations will include a Government search expert reviewing the final deliverables to determine whether the context and breadth of the Contractor’s search was appropriate, whether the field of search (i.e. the database(s) searched) was appropriate, whether the most relevant search results (prior art) were provided, and whether the examiner interview notes (if any) are appropriate. The Government will track compliance rates on a monthly and yearly basis and provide feedback to the Contractor.

C.4.1.4.1 ABSS Searching Review Criteria

(a) There are two (2) metrics associated with ABSS search result deliverables. A level 1 error for ABSS will be assessed when (1) the Contractor failed to perform a search commensurate with the context and breadth of the search request (i.e., where the correct fragments, substitutions, and fusions were not searched);. and (2) the most relevant prior art was not included in the search results and the Government reviewer found relevant prior art that reasonably should have been found based on the search request and examiner interview notes (if any). The latter errors may result from a data source being missed by the Contractor, or the Contractor performing an overly narrow search, . or the Contractor failing to appreciate the relevance of a reference which was identified in their search.

Only one (1) ABSS level 1 error will be assessed per ABSS search reviewed. The ABSS level 1 error rate will be expressed as a percent and will be calculated as follows:

E1ABSS = (the number of ABSS searches reviewed which contained a level 1 ABSS error / the total number of ABSS searches reviewed) * 100. The Contractor shall maintain an ABSS level 1 compliance rate of at least 98%.

(b) A level 2 error for ABSS will be assessed when (1) the context and breadth of the Contractor’s search was clearly not commensurate with the search request and the Government review did not find more relevant prior art than the prior art provided by the Contractor (i.e., a requested sequence fragment was not searched); (2) the field of…