Attachment 39 - Transition Plan Framework.docx

USPTO

Patent Data and Document Management

RFP # 1333BJ20R00151004

Transition Plan Framework The USPTO is making this Transition Plan Framework available to advance understanding of the Patent Data and Document Management (PD&DM) Contract Transition Requirement. The information contained within this document is only general guidance. It is intended to give Offerors general information and a general understanding of the transition requirement. Accordingly, Offerors are expected to provide a level of detail beyond that contained within this document. General statements such as the Offeror understands, the Offeror can or will comply with the requirements, standard procedures will be used, well known techniques will be used, or paraphrasing the Transition Plan Framework in whole or part will not satisfy this requirement.

The purpose of a Transition Plan is to layout, in general terms, the tasks and activities that must take place to effectively and efficiently transfer duties/responsibilities from the expiring Patent Data Capture (PaDaCap) Contract. This Transition Plan Framework advocates the importance of coordination and cooperation among transition stakeholders: new Contractor(s), the United States Patent and Trademark Office (USPTO) and the predecessor (incumbent) Contractor. This is achieved by (1) defining expectations, (2) describing transition roles and responsibilities, (3) providing guidance on transition processes and procedures, and (4) recommending a sequence of transition events from the USPTO’s perspective. This framework provides a means to manage a successful PD&DM Contract transition by describing the essential activities to prepare for, execute, and track transition. Throughout this this document, all references to Contractor(s) shall refer to the awardee(s) of this re-compete, the new Contractor(s), transitioning into performance under the contract. For the purposes of this document the predecessor Contractor refers to the Contractor responsible for transitioning out.

Offerors shall provide a Transition Plan in accordance with the framework outlined below and in accordance with the requirements set forth in the Request for Proposals (RFP) and Statement of Work (SOW). The transition plan will be incorporated into the award.

As a part of the response to the RFP, each Offeror shall provide a Transition Plan that addresses all of the items described in this Transition Plan Framework. The Transition Plan should demonstrate that the Offeror fully understands the requirements described in the SOW and the steps necessary to ensure the continuous flow of operations from the predecessor Contractor to the new Contractor(s) while maintaining the deadlines and quality requirements described in the SOW. Any Transition Plan that fails to fully and adequately address all areas of the Transition Plan Framework may be viewed as an indication that the Offeror does not have a full understanding of the requirements set forth in the SOW.

Due to the mission critical nature of the requirements performed under this contract, the USPTO will continuously and comprehensively evaluate the work product produced by the Contactor(s) during the transition period. Additionally, due to limitations of USPTO systems and the sequential and batch nature of the deliverables produced under this contract, the USPTO cannot accept partial deliverables from multiple Contractors. Therefore, work products produced by the Contractor(s) will not be placed into USPTO systems or disseminated to the public until such time the USPTO is confident of the Contractor(s)’ ability to meet and maintain all work timelines and quality standards.

EXPECTATIONS

The Contractor(s) and predecessor Contractor must be keenly aware of the Transition Schedule. The USPTO is committed to supporting the Contractor(s) and predecessor Contractor through transition; however, it is up to all Contractors to execute the transition before the PaDaCap contract expires. The Contractor(s) and predecessor Contractor must begin planning and transitioning early and have detailed plans, resources, and processes in place to execute transition as soon as the new PD&DM contract is awarded. The full transition should be complete no later than March 01, 2023, but the offeror may propose a more accelerated timeline.

ROLES AND RESPONSIBILITIES

a) Contracting Officer (CO): The CO is the only member authorized to obligate the agency’s funds. The CO, with advisement from Legal Counsel and Lead Transition Sponsor (LTS), will be responsible for approving the phase-in/phase-out plan. Furthermore, the CO is responsible for resolving any disputes that may arise from the transition plan and during the transition period.

b) Contracting Officer’s Representative (COR): An individual designated and authorized in writing by the CO to perform specific technical or administrative functions.

c) Lead Transition Sponsor (LTS): Patents will have an LTS and may designate other supporting Transition Sponsor (TSs). The TSs will serve as spokespersons for Patents during the transition period and are accountable for transition oversight. Additionally, TSs will be the primary interface and partner with the Contractor(s) and predecessor Contractor Lead Transition Managers (LTMs).

d) Lead Transition Manager (LTM): The Contractor(s) and predecessor Contractor shall each appoint, in writing, an LTM. The Contractor(s) may also designate other supporting Transition Managers (TMs). The TMs shall: (1) lead the planning, management, and transition of services of their respective employer; (2) execute, track and report transition activities; and (3) escalate, when necessary, issues to the TSs and CO. Therefore, the TMs must have strong management, communications and interpersonal skills and be a recognized leader within their respective company.

a. All communication between the LTM of the Contractor(s) and predecessor Contractor shall be directed through the LTS or the TS and not pass directly between the Contractor(s) and predecessor Contractor.

GUIDANCE ON TRANSITION PROCESSES AND PROCEDURES

a) Beginning at contract award and throughout the entire duration of the contract, the Contractor(s) shall be held to the required levels of timeliness and quality as outlined in the SOW.

a. When deficiencies are noted in deliverables the Contractor(s) shall correct and resubmit the deliverables in accordance with the SOW.

b) The Contractor(s) and predecessor Contractor shall ensure their transition plans include contingencies to mitigate potential issues and barriers to success.

c) The Contractor(s) and predecessor Contractor shall employ sufficient numbers of properly trained resources in order to meet the identified transition goals.

d) Effective and consistent transition metrics should be established and agreed upon by the transition team described above.

TRANSITION PLAN CONTENT

The USPTO expects the Transition Plan to follow the framework outlined below. In this framework, obtaining an Authority to Operate (ATO), Front End Processing (FEP), and Pre-Grant Publication (PG Pub) and Post Allowance processes have separate transition periods. The Transition Plan should assume an award for start-up to begin February 01, 2021. If necessary, the dates of the transition will be adjusted based on the actual award date of this contract.

Each Offeror must provide a Transition Plan that details their approach to achieve the Offeror’s expected maximum capacities within the USPTO’s expected timeframes. The Offeror’s expected maximum capacities are the percent of the estimated volumes set forth in the Pricing Template that the Offeror anticipates being able to produce on or before the end of the USPTO’s maximum expected transition time period. The Offeror’s expected maximum capacity for FEP may be different from the Offeror’s expected maximum capacity for PG Pub and Post Allowance. The Offeror’s expected maximum capacities may be less than 100% of the estimated volumes set forth in the Pricing Template. However, the Offeror’s expected maximum capacities should align with one of the volume tiers set forth in the Pricing Template. The USPTO will consider any offer that contains an Offeror’s expected maximum capacity that is less than the lowest volume tier of 25% of the estimated volume unsatisfactory.

The Contractor(s)’ system/applications must have a valid ATO (signed off by the USPTO) prior to going into operation and processing live patent data which includes unpublished patent application information. The process to obtain an ATO takes six months or more and the ATO must be obtained before the Contractor(s) can begin processing live patent data. More information on these IT security requirements can be found in Section H.1: Information Technology (IT) Security Implementation.

The Offeror’s shall provide a work breakdown schedule with milestones (or similar method) to show how they anticipate meeting the requirements to receive an ATO.

For FEP, the USPTO’s maximum expected transition period is fourteen (14) months from receiving an ATO. However, the offeror may propose a shorter timeframe. The USPTO may work with the Contractor(s) to adjust their timeline and expected maximum capacity for FEP in order to better meet the needs of the USPTO.

The Transition Plan for FEP processing shall entail:

For PG Pub and Post Allowance processes (including Post Issuance Processing), the USPTO’s maximum expected transition period is nineteen (19) months from receiving an ATO. However, the offeror may propose a shorter timeframe. The USPTO may work with the Contractor(s) to adjust their PG Pub and Post Allowance timeline and expected maximum capacity in order to better meet the needs of the USPTO.

The Transition Plan for PG Pub and Post Allowance processes (including Post Issuance Processing) shall entail:

· A start-up period during which the Contractor(s) shall acquire all space and equipment, hire and train essential personnel, obtaining all necessary security clearances, and develop any needed processes and systems. The USPTO will provide sample documents to the Contractor(s) that can be used develop their processes and tools. The sample documents are comprised of previously processed data, not live patent data. The USPTO is willing to provide feedback on the quality of any deliverables derived from the sample documents that the Contractor (s) wish to share with the USPTO. The startup period should occur during the time needed to receive the ATO;

· Subsequent to the Contractor(s) receiving an ATO, the USPTO will provide a test batch of live patent applications (including applications for PG Pub processing and applications for Post Allowance processing) for the Contractor(s) to fully process. This live batch will also be processed by the predecessor Contractor to ensure that the final deliverables can be used. Upon receipt of the deliverables from the test batch, the USPTO will determine whether the deliverables meet the criteria in the contract. If the deliverables are not deemed acceptable then the USPTO will notify the Contractor(s) of any required corrections. Once the Contractor(s) is able to produce acceptable deliverables from the test batch, the Contractor(s) will begin receiving a percentage of new PG Pub and Post Allowance work. At this point, the predecessor Contractor will no longer be processing a duplicate of the new work;

· The Predecessor Contract will begin tapering off production while the Contractor(s) incrementally performs increasing amounts of work, which will be inspected, evaluated and accepted for conformance to USPTO requirements in the SOW. The rate of increase of the Contractor(s) work will depend on the Contractor’s capacity and timeliness as well as the results of the USPTO’s quality inspections. The Transition Plan must include how the Contractor will ramp-up to their expected maximum capacity during the transition period;

· If the predecessor Contractor receives one of the awards, the predecessor Contractor will begin processing under the new award as soon as they receive an ATO; and

· The transition period will end when all new PG Pub and Post Allowance work is being performed by the Contractor(s) and all new PG Pub and Post Allowance work ceases to be assigned under the preceding contract.

The Contractor(s) and the predecessor Contract shall work simultaneously. The Contractor(s) shall ramp up production as the predecessor Contract ramps down. This approach insures there will be no gap in requirements, nor any reduction in workflow timeliness or the quality of work product provided to the USPTO.

Throughout the transition timeline, the Contractor(s)’ work will be inspected and evaluated for conformance to the USPTO requirements in the SOW. Work products produced by the Contactor(s) will be loaded into USPTO systems and disseminated to the public once the USPTO is confident the quality meets the requirements specified in the contract.

The USPTO expects the Assessment and Authorization (A&A) process to take six (6) months or more. A&A must be completed prior to the Contractor(s) receiving unpublished application data from the USPTO. While the Contractor(s) is working through the A&A process the USPTO expects the Contractor(s) to be working towards successful completion of the Transition Plan in order to facilitate receipt of exports with live data from the USPTO once the A&A has been completed and an ATO has been achieved.

Once the Contractor(s) completes the A&A process, the USPTO will commence exporting live data to the Contractor(s). Prior to the Contractor(s) completing the A&A process, only limited test data will be made available to the Contractor(s) due to system constraints and security and confidentially concerns. The Contractor(s) must ensure the A&A process is given the highest priority and taken very seriously. The Contractor(s) must demonstrate consistent progress toward completion of this process and that they are fully complying with and following the USPTO’s Cyber Security team’s instructions.

PREDECESSOR CONTRACTOR RESPONSIBILITIES

If the predecessor Contractor is awarded one of the contracts, the transition period will entail the Contractors acquiring any needed space and equipment, acquiring an ATO, hiring and training any needed personnel, and developing any needed processes. The predecessor Contractor’s workload will be adjusted to accommodate for multiple awards.

The predecessor Contractor shall work in good faith with the Contractor(s) to minimize any negative impacts on patent pendency and patent quality to ensure a smooth transition to the Contractor.

The predecessor Contractor should provide sufficient experienced personnel during the start-up and transition period to ensure that the requirements called for by their contract are maintained at the required levels of proficiency.

CONTRACTOR(S) RESPONSIBILITIES

The Contractor(s) should notify the USPTO of any concerns, potential problems or known issues, early in the start-up and transition phases, in order to mitigate barriers to success.

The Contractor(s) shall have key personnel on board during the start-up phase and determine the nature and extent of start-up activities required by the Contract. The Contractor(s) should work in good faith with the predecessor Contractor to capture lessons learned and best practices to ensure a seamless transition.

The Contractor(s) shall develop a training plan that will enable them to begin performance, as described above, for each phase of work described in the SOW. This plan shall be submitted in response to the RFP.

As a part of the response to the RFP, all Offerors must provide a Transition Plan. The predecessor Contractor’s Transition Plan shall include transitioning to any new requirements found in this SOW. All Offerors shall include consideration of the following:

· Contractor Team / Key Personnel

· Identify transition team, roles and responsibilities

· Identify POCs by phase of work: i.e., FEP, PG Pub, Post Allowance/Post Issuance

· Management points of contact

· IT personnel

· Cyber security personnel

· Accounting/Invoicing Points of Contact

· Timelines and milestones for achieving each

· Assessment and Authorization (A&A) Process

· IT security controls

· Privacy controls

· Timelines and milestones for achieving Authority To Operate (ATO)

· Facility

· Proposed location

· Acquisition strategy

· Considerations of work environment

· Build out plan

· Security considerations

· Explain how and when your organization will achieve the ability to process full contract volumes after award – to include potential facility location, outfitting in the necessary timeframe, and risk assessment strategy – without reliance on subleasing or otherwise obtaining the incumbent’s facilities

· Timelines and milestones for achieving each

· Systems and Equipment

· Security (physical and cyber)

· Compliance with USPTO specifications

· Requirements gathering and development of software and workflow tools to accomplish all tasks as outlined in the SOW

· Beyond capture of text, provide specific discussions pertaining to the processing, capture and publication of complex work (i.e. tables, chemistry, math, DNA and drawings)

· Development of and documentation of all operating procedures as outlined in the SOW

· Acquisition and deployment of all required hardware and software

· Explain how your organization will acquire, configure, and implement patent specific automation to address FEP, PG Pub, Post Allowance/Issuance or a combination thereof without assuming control of the automation currently in place, and owned by, the incumbent PaDaCap contractor

· Explain how your organization will manage the simultaneous accreditation and implementation processes to mitigate transition risk

· Explain how your organization will develop the systems, processes, and domain expertise necessary to produce publication-ready tables, chemistry, math, DNA, and drawings

· Explain how your organization will identify, develop, and maintain SOPs for each step of the effort to include updating processes to reflect DCBs

· Explain how your organization will establish General Security, Data Security, Risk Mitigation, Human Security (background checks) and Facility Security in compliance with FISMA guidelines

· Timelines and milestones for achieving each

· Hiring Plan

· Number of employees to be hired, with descriptions of necessary skills and abilities

· Methods of hiring and recruiting

· Methods of screening employees for suitability and submitting documentation for Government background investigations, including but not limited to:

· Fingerprinting employees

· Completing necessary forms

· Contractor employee entry of data into eQIP

· Compliance with all other requirements defined in Section H - SECURITY PROCESSING REQUIREMENTS of the SOW for a MODERATE RISK contract as well as any other FISMA/NIST requirements pertaining to contract employee suitability.

· Timelines and milestones for achieving each

· Explain how and when your organization will achieve the ability to process full contract volumes at required quality levels after award without retaining incumbent personnel

· Explain how you will train your workforce to include patent knowledge, USPTO technology and vendor workflow systems, USPTO publication business rules, and quality measures

· Training Plan

· Methods used and approach to obtaining knowledge of

· Patent knowledge, i.e. rules, regulations, procedures and guidelines as they relate to all the tasks described within the SOW

· USPTO business rules specifically as they pertain to publication of patent documents

· USPTO systems, i.e. PALM; PRE-EXAM, DAV/eDRS, Patents End to End

· Software and workflow tools

· Methods for documentation of all of the above

· Methods for development of training for all of the above

· Methods for delivery of training for all of the above

· Methods for insuring training is successful for all of the above

· Timelines and milestones for achieving all of the above

· Continuity of Operations (COOP) Plan

· Method to ensure performance of USPTO mission essential functions

· Method to ensure backup and protection of data

· Plan to avoid or reduce disruptions to operations

· Measures in place to protect essential facilities, equipment, records, and other assets, in the event of a disruption

· Timelines and milestones for achieving all of the above

· Phase In of Work

· Contractor outline of concerns

· Identify any gaps in USPTO provided process and procedures

· Transition Schedules

· Projected annual and weekly volumes

· Contract transition start and end date

· Obtain ATO

· Contract years

· Percent of work per CLIN

USPTO RESPONSIBILITIES

After contract award(s), the USPTO will hold a post award kick-off meeting to ensure the Contractor(s) understands the goals and objectives of the contract and the expectations of the USPTO during the start-up, testing, transition and full production periods.

During the post award kick-off meeting, the USPTO will provide the Contractor(s) with a list of representatives to be included in email communications with the CORs based on the subject matter. All communications regarding work processes and instructions shall be in accordance as described above in the section entitled Roles and Responsibilities.

The USPTO will hold regularly scheduled meetings each week, or more frequently as required, to answer Contractor(s) questions, receive status updates, address areas of concern, update milestones, etc. It is anticipated that separate meetings for each process area, FEP, PG Pub and Post Allowance will most likely be necessary, particularly early in the transition process.

The USPTO will conduct similar meetings with the predecessor Contractor to ensure a smooth transition of the contract.

Once the USPTO has approved the Transition Plan as submitted by the Contractor(s), the USPTO will monitor progress of all work towards meeting the milestones in the Transition Plan.

TIME PERIODS

The start-up period (estimated to be six (6) months or more) is defined as the period required for the Contractor(s) to obtain an ATO. During the start-up period, the Contractor(s) shall also begin standing up their entire operation, including obtaining facilities and any needed equipment, hiring and training personnel, obtaining all necessary security clearances, and developing any needed processes and systems, in preparation of beginning the transition period of the transition plan. These start-up activities will be expected to be completed in accordance with the Transition Plan submitted by the Offerors and should occur within the maximum transition periods outlined therein or as further defined by the USPTO.

The transition period, which immediately follows the start-up period, is the period where work products are produced by the Contractor(s). The work products will be evaluated against the criteria specified within the SOW and the criteria found in the Inspection and Acceptance section. Any deficiencies will be noted and reported to the Contractor(s).

CONTRACT TERMINATION

During the transition period, work produced by the Contractor(s) will be evaluated against the criteria specified within the SOW and the criteria found in the RFP and contract’s Inspection and Acceptance section. The Contractor(s) are expected to meet all quality and timeliness criteria as specified throughout the SOW and RFP. In accordance with RFP Clause 52.249-8 Default (Fixed-Price Supply and Service)(APR 1984), the contract may be terminated for the following reasons, including but not limited to, failure to achieve and maintain the levels of production as established in the accepted transition schedule, failure to achieve milestones, failure to make timely and satisfactory progress on A&A process, failure to obtain and maintain ATO, and/or failure to meet the quality and timeliness requirements defined in the SOW and RFP.