Attachment 43 - Surveillance Plan.docx

Patent Data and Document Management (PD&DM)

Surveillance Plan

INTRODUCTION

The United States Patent and Trademark Office (USPTO) is a cutting-edge organization dealing with intellectual property issues around the world and serves the economic interests of America for more than 200 years. Our mission is to grant patents and register trademarks to the general public and business entities, whereby, providing inventors exclusive rights over their discoveries. It is an effort that continues to contribute to a strong global economy, to encourage investment in innovation and to cultivate an entrepreneurial spirit for the 21st century. The USPTO is headquartered in Alexandria, Virginia, and has over 11,000 employees, including engineers, scientists, attorneys, analysts, and IT specialists all dedicated to accomplishing the USPTO mission, vision, strategic goals and guiding principles.

The USPTO seeks to acquire Patent Data and Document Management (PD&DM) Services which will encompass, but is not limited to, 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.

CONTRACT TYPE AND REQUIREMENTS

Patent Data and Document Management (PD&DM) Services will be provided via a Firm-Fixed-Price Contract. The following are summary descriptions as prescribed within the Statement of Work (SOW) for PD&DM:

Front-End-Processing (FEP)

· Index and scan all paper documents

· Retrieve paper documents from designated locations

· Maintain an inventory of paper documents for potential retrieval until such time they are scheduled for destruction

· Create artifact folders

· Perform Quality Assurance and correct web based submissions

· Provide customer support by taking corrective action associated with indexing problems, missing documents, and image quality

Pre-Grant Publication (PG-Pub)

· Convert and compose pending utility and plant applications for weekly publication in image and text file formats

Post Allowance

· Convert and compose all allowed applications for weekly issuance of patent grants in image and text file formats

· Perform Quality Control of documents within the official electronic file wrapper for each allowed application

· Send notifications to patent examiners requesting resolution either due to a quality issue or due to documents submitted after allowance that require their action

· Mail notices to applicants to resolve quality issues or in response to documents submitted after allowance

· 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

· Process all documents/correspondence received after allowance

· Ensure all allowed applications proceed to grant in a timely manner

· Assign patent numbers for the weekly issue based upon the issue schedule provided by the USPTO

· Assemble printed patent grants received from the USPTO Patent Printing Contractor

· Prepare and mail abandonment notices

· Maintain an inventory of artifact folders associated with allowed applications

· Convert and compose Reexamination and Patent Trial and Appeals Board (PTAB) certificates for daily issuance

· Create the daily electronic Official Gazette

· Create the weekly electronic Official Gazette

Post Issuance

· Convert and compose approved requests for C of C in image file format

· Convert and compose miscellaneous Patent certificates

· Recapture Patent Grant due to C of C

SURVEILLANCE PLAN OBJECTIVES

The objective of this Surveillance Plan (SP) is to give reasonable assurance that efficient methods and effective cost controls are being used.

SURVEILLANCE PLAN ROLES AND RESPONSIBILITIES

The following section details all of the Roles and Responsibilities for successful execution of the Surveillance Plan. This includes both USPTO’s and the contractor’s (if applicable) personnel.

USPTO Personnel Contracting Officer (CO) The Contracting Officer (CO) has overall responsibility for the administration of all USPTO contracts. The USPTO CO is part of the USPTO’s Office of Procurement and is the only individual authorized to take actions on behalf of the Government to approve, amend, modify, or deviate from the contract terms, conditions, requirements, specifications, details, and/or delivery schedules. Within that authority, the CO has the ability to delegate to the Contracting Officer’s Representative (COR) for the everyday administration of the contract. The CO shall:

1. Ensure compliance with contracting requirements

1. Issue all modifications against the contracts

1. Negotiate and issue contract modifications

1. Resolve contractor claims and disputes

· Issue cure notices (notification that unless unacceptable performance is corrected, the Government may terminate the contract for default, in accordance with FAR 49.607)

· Issue show-cause letters (following a cure notice, requesting facts bearing on the case)

· Terminate contracts Contracting Officer’s Representative (COR) The USPTO COR is responsible for the day-to-day coordination of the USPTO contract. The USPTO COR is part of the USPTO contract management team.

In implementing the SP, the COR responsibilities include managing Quality Assurance (QA) activities to ensure compliance and completeness by:

1. Overseeing the quality aspects of the project

1. Serving as the technical liaison with the Contractor Quality staff

1. Responsible for the final inspection and acceptance of all reports and deliverables

1. Other such responsibilities as may be specified in the contract.

Technical Advisor A Technical Advisor (TA) is an individual who is an expert in a particular field of knowledge who provides detailed information and advice to the COR and, if necessary, CO. The TA may assist in the creation of the Performance Requirements Summary (PRS) and may monitor and be the first recipient of all deliverables. Additionally, the TA will aid the COR and CO to troubleshoot and resolve contract technical issues. The TA is not authorized to change any terms and conditions of this contract.

Contractor Personnel Program Manager

1. Shall be available to meet with the COR and/or TA upon request to present deliverables, discuss progress, exchange information and resolve emergent technical problems and issues. These meetings shall take place at USPTO facilities and/or via WebEx.

1. Shall ensure Contractor employees understand and abide by USPTO established rules, regulations and policies concerning safety and security.

1. Shall ensure all scheduled status reports and deliverables are provided to the CO, COR and/or Alternate COR (ACOR) via electronic mail or by secure file transfer as required in the USPTO Technical References listed in Section J.

1. Shall ensure all appropriate Contractor personnel participate in ad hoc and regularly scheduled technical and/or operational status meetings with the USPTO.

1. Shall be responsible for keeping the CO, COR and/or ACOR informed about Contractor status throughout the performance period of the contract, and ensure Contractor activities are aligned with USPTO objectives.

1. Shall review the status and results of Contractor performance with the CO, COR and/or ACOR.

THE SURVEILLANCE PROCESS

There will be adequate Government surveillance of contractor performance conducted by COR, ACOR and TA. To ensure efficient methods and effective cost controls are being used, the COR, ACOR and CO will employ a surveillance approach that includes:

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