RFPAmend1.docx

Amendment 1: DOC52PAPT1600014 Request for Proposal (RFP) – USPTO Full Classification Services

TABLE OF CONTENTS

SECTION 3 – CONTRACT CLAUSES 29

SECTION 4 – EXHIBITS 50

SECTION 5 – SOLICITATION PROVISIONS 51

SECTION 1 – SCHEDULE OF SUPPLIES OR SERVICES

1.1 SCHEDULE

The schedule provides for a two (2)-year ordering period and four (4) two (2)-year option periods where delivery orders may be placed against the IDIQ contract(s). The basic ordering period is March 1, 2017 – February 28, 2019. Four (4)-two (2) year option periods are included as follows:

Option Period 1: March 1, 2019 – February 28, 2021 Option Period 2: March 1, 2021 – February 28, 2023 Option Period 3: March 1, 2023 – February 28, 2025 Option Period 4: March 1, 2025 – February 28, 2027

The Contractor must obtain an Authority to Operate (ATO) from the USPTO prior to March 1, 2017 (see 2.4.4) or the USPTO may terminate the contract. Additionally, the Contractor must maintain an ATO throughout all contract periods.

Performance under delivery orders or associated options may extend beyond the ordering period above. Delivery orders will be incrementally funded and subject to the terms of any Continuing Resolutions.

The below represents the price schedule for this contract. The Government’s guaranteed minimum, and maximum and estimated quantities are provided. These estimated quantities are based on current filing projections. In the event of multiple awards, each contractor will receive no less than the guaranteed minimum indicated below. Please note that the estimated and maximum quantities are overall totals, not per contract totals.

Base Period – March 1, 2017 – February 28, 2019

(Document Cite Reference)

Initial Classification of Patent Applications USPC Routing and CPC Expert (2.4.1)

175,000*

580,000*

880,000*

EA

0001A (Optional)

Initial Classification of Patent Applications CPC Expert (2.4.1.1)

20,000*

85,000*

120,000*

0002A

300,000***

320,000

EA

Option Period 1 – March 1, 2019 – February 28, 2021

(Document Cite Reference) Min.

Est.

200,000

635,000

975,000

1001A

Initial Classification of Patent Applications CPC Expert (2.4.1.1)

23,000

95,000

140,000

1002A

300,000***

EA

Option Period 2 – March 1, 2021 – February 28, 2023

(Document Cite Reference)

215,000

700,000

1,080,000

2001A

Initial Classification of Patent Applications CPC Expert (2.4.1.1)

25,000

105,000

160,000

2002A

300,000***

EA

Option Period 3 – March 1, 2023 – February 28, 2025

(Document Cite Reference)

230,000

775,000

1,200,000

3001A

Initial Classification of Patent Applications CPC Expert (2.4.1.1)

28,000

120,000

175,000

3002A

300,000***

EA

Option Period 4 – March 1, 2025 – February 28, 2027

(Document Cite Reference)

250,000

850,000

1,300,000

4001A

Initial Classification of Patent Applications CPC Expert (2.4.1.1)

30,000

130,000

200,000

4002A

300,000***

EA

* The volumes for the base year may need to be adjusted depending on the “ramp-up” up and “phase-in” periods set forth in 1.2 and the time needed for the Contractor to complete their Certification and Accreditation (See Sections 2.4.4 and PTO-24)

** It is anticipated that the USPTO will move away from routing by USPC during the course of this contract and as such, optional CLINs #001A and #002A are included which may be exercised at any time during the associated term. At which time, the volumes for CLIN #001 (# represents the contract period that this change occurs) will be moved to CLIN #001A and the pricing for CLIN #001A will take effect. In addition, the USPTO will no longer need the services provided by CLIN #002 (# represents the contract period that this change occurs) and the USPTO may either terminate CLIN #002 or transition to CLIN #002A. The guaranteed minimums, estimates, and maximums listed in CLIN #001 and CLIN #002 are aggregate totals of CLIN #001 plus #001A and #002 plus #002A, respectively, for the period. In the event that CLIN #002 is terminated, the USPTO will not be obligated to meet the minimum volume set forth for CLIN #002 in the contract period that the termination occurs. The Contractor will be notified at least 60 days prior to these changes.

***The estimate provided for CLIN #003 is for the total number of documents estimated for the performance period. Delivery orders will be awarded based on the selection process detailed in 2.4.3.B. For purposes of responding to this RFP, a unit price (price per document) shall be provided. Contractors awarded CLIN #003 will have an opportunity to further discount this unit price when bidding for the specific reclassification project(s).

1.2 WORKLOAD ASSIGNMENTS

For the Base Period for CLINs 0001/1A and 0002/2A, the USPTO may employ a “ramp-up” period that will entail a rigorous quality review by the USPTO. The “ramp-up” period will consist of up to 200 applications per CLIN per day. The “ramp-up” period will last until the Contractor has demonstrated that the work products being delivered will meet the USPTO quality standards set forth in Section 4. It is envisioned that this period will last up to 3 months.

After the “ramp-up” period, the USPTO may employ a “phase-in” period, which will also entail a rigorous quality review by the USPTO. The “phase-in” period will have substantially more applications assigned per CLIN per day, up to 50% of the anticipated workload. The “phase-in” period will last until the Contractor has demonstrated that the work products being delivered will continue to meet the USPTO quality standards set forth in Section 4. It is envisioned that this period will last 3 months.

After the “phase-in” period, the Contractor will be expected to have the capacity to handle all of the allotted applications. After the “phase-in” period, or after a determination by the USPTO that a “phase-in” period is not required, the USPTO will continue to monitor the quality of the work products and will assign the workloads to meet the needs to the agency.

During all phases, including full implementation which occurs after any potential “ramp-up” or “phase-in” periods, the USPTO will assign the applications typically on a daily basis. The daily workloads may vary based on the availability of application source documents.

If multiple awards are made for CLINs 0001/1A and 0002/2A, the USPTO will issue delivery orders by considering the Contractor’s price, quality, timeliness, and capacity. The workload and hence the estimated quantities listed above may vary over the life of the contract. The USPTO anticipates maintaining an inventory and distributing applications to the Contractor in a means to reduce substantial daily fluctuations in workload. However, some daily fluctuations will inherently occur.

If multiple awards are made for CLIN 0003-4003, each contractor will have the opportunity to bid on each reclassification project (or a small group of reclassification projects) as they become available. The projects will vary in size and can be as small as less than 200 documents to more than 10,000 documents. The USPTO may group together several small and/or related projects into a single larger project for bidding purposes. For each new reclassification project, the USPTO will provide each Contractor with an estimated document count for the project, the classification scheme, any available definitions, any special guidance (if appropriate), and the maximum number of batches that the deliverables can be broken up into. The USPTO will set a deadline (usually 8 days) for the Contractor to provide the USPTO with a unit cost per document, a tentative delivery schedule for the batches, and a fixed final delivery date for the project. The USPTO will award a delivery order for the new reclassification project based on competition. The price, fixed final delivery date, and potentially any quality review determinations made by the USPTO from prior projects will be considered. The Government will usually notify the Contractors whether they have been awarded the new reclassification project or not typically within 8 days from the deadline. Additional details of the delivery order award process are set forth in 2.4.3.

1.3 PERFORMANCE BASED PRICE ADJUSTMENTS

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 2. All final deliverables will be accepted in accordance with the review criteria set forth in Section 2.5. Timeliness must be recognized as a vital requirement of this contract.

1.3.1 Determination of Timeliness

For CLINs 0001/1A and 0002/2A, the Contractor will be provided with source documents, hereafter referred to as applications, and any necessary file formats for the final deliverable. The Contractor will have a maximum of 29 calendar days, hereafter referred to as “the 29-day period” to prepare and deliver the final deliverables (individual applications), acceptable in accordance with Section 2.5, to the USPTO for each assigned application. The 29-day period starts on the day that the USPTO first notifies the Contractor that the applications are available for download via a VPN or other viable means and will include any day (or any portion of a day which will be counted as a whole day) that the USPTO has not received the final deliverable at the website, i.e. the posting of the final deliverable at the secure web site, from the Contractor except where otherwise indicated. After the USPTO receives the final deliverable and determines that the final deliverables are in accordance with Section 2.5, the number of days late will be calculated based on the days taken by the Contractor to prepare and deliver the final acceptable deliverable compared to the allowed 29-calendar day maximum. The USPTO will perform up to 100% inspection for compliance with the 29-day period for each application.

The timeliness determination of CLIN 0003-4003 deliverables is detailed in 2.4.3. The chart in 1.3.2 will also be used for CLIN 0003-4003.

1.3.2 Timeliness Performance Based Price Adjustments Calculation

The Government will review the Contractor’s compliance with the timeliness period for each deliverable for the appropriate CLIN. The Contractor will need to adjust the invoices in accordance with the chart below for each final deliverable being received by the USPTO during the invoice period for which the Contractor failed to deliver the final acceptable deliverable within the timeliness period for the appropriate CLIN. This applies to any phase in and ramp up period.

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

Timeliness

Disincentive

When the final accepted deliverable is received __ calendar days late.

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

1-5 days

10% reduction of the CLIN price for each untimely deliverable

6-10 days

20% reduction of the CLIN price for each untimely deliverable

11-15 days

30% reduction of the CLIN price for each untimely deliverable **

16-20 days

40% reduction of the CLIN price for each untimely deliverable **

More than 21 days

50% reduction of the CLIN price for each untimely deliverable **

**Contractor performance at this level may lead to non-assignment of work, non-exercise of an option period, termination for default, or non-selection as a future Awardee.

1.4 CONTRACTOR INITIATED PRICE REDUCTION

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, but not more frequently than every three (3) months, the Contractor may submit a proposal to reduce its contract pricing. The USPTO will review the proposal for price reasonableness and any potential unbalancing, and may request supporting documentation if appropriate. If the USPTO determines that the proposed reduced pricing is realistic and not unbalanced, the parties will execute a 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 45 days before the expiration of the current period of contract performance, as applicable.

SECTION 2 – PERFORMANCE WORK STATEMENT

2.1 PURPOSE

The United States Patent and Trademark Office (USPTO), Office of the Commissioner for Patents, seeks to award a contract(s) for assigning routing classification in the United States Patent Classification (USPC), full “expert” level classification in Cooperative Patent Classification (CPC) of patent applications, and reclassification projects in order to meet the USPTO mission which is the examination, granting and dissemination of Patents and Trademarks.

2.2 BACKGROUND

Patent classification systems categorize patent and other documents according to the technical features of their content. Patent classifications are used as a way to efficiently locate relevant prior art documents which are related to an invention. There are a variety of classification systems used worldwide.

The USPTO is organized into Technology Centers (TC), which consists of Group Art Units (GAU) that are in part organized by the United States Patent Classification (USPC) system. New unexamined patent applications are forwarded to the GAUs based on the classification of the application. The USPTO currently uses the USPC for the routing of new unexamined patent applications.

The USPC system has approximately 145,000 categories (i.e., subclasses) that are used for classification.

It is anticipated that the USPTO will move away from routing by USPC during the course of this contract. The replacement for USPC routing is currently under development.

In 2010, the USPTO entered a bilateral agreement with the European Patent Office (EPO) to develop a joint classification system, called the Cooperative Patent Classification system (CPC). CPC is aligned with the International Patent Classification (IPC) structure and follows internationally accepted standards to facilitate data exchange and work-sharing. CPC became effective in January, 2013. CPC is collaboratively managed and maintained, with the USPTO and EPO patent examiners consulting and working together on changes to the classification scheme and definitions.

Overview of the Cooperative Patent Classification System (CPC)

1) CPC is normally based on the IPC, but with further subdivisions. There is a small percentage of CPC which deviates from the current IPC.

2) CPC is based on the same sections A-H which exist in the IPC, although with a further section Y for indexing classifications.

3) CPC classification rules include warnings and notes found in the schedules which advise users how to classify into the schedule. Some of these warnings may relate to differences between CPC and the IPC, e.g. they may indicate that certain areas of the IPC are not used and users will be advised which groups are being used. Other warnings relate to how documents are classified. The Contractor is expected to follow these warnings and notes unless advised otherwise by the Government. Errors may be assessed if the most current CPC warnings and notes are not followed.

4) CPC also has definitions for most subclasses and some groups which the Contractor is expected to consult.

5) CPC may change monthly. USPTO will provide Contractor with updated CPC schedules and definitions as often as on a monthly basis. Once the Contractor receives updates from the Government, the new CPC information shall be used at the later of an effective day set by the USPTO or within four (4) weeks of receipt.

Expert classification under CPC requires that all claimed subject matter that is potentially novel and unobvious in the opinion of the expert be classified as invention information classification symbols along with any potentially novel and unobvious constituents (subcombinations) of the claimed subject matter. Furthermore, any unclaimed subject matter in the disclosure that is potentially novel and unobvious in the opinion of the expert must be classified as invention information classification symbols. The expert classifier designation also requires classification, as additional information, of content in a patent document for which such additional information classification symbols are required, either in the CPC scheme, definitions, or specific guidance provided by the Government.

2.3 SCOPE

The Contractor shall furnish all necessary personnel, materials and services, (except as otherwise provided or specified) to perform the following Performance Work Statement at the Contractor’s facilities. On occasion and as specified by the COR with a minimum advance notice of 48 hours, Contractor representative(s) may be required to meet Government personnel at the USPTO headquarters in Alexandria, VA.

For CLINs 0001/1A-4001/1A and 0002/2A-4002/2A, the USPTO will provide applications containing the following documents: abstract, drawings, specification, claims, supplemental patent application documents, i.e. sequence listings, etc. Initially, the application contents will be provided in image format (.tif). See Exhibit A for a sample initial application file. However, at some point during the performance of the contract, the format may change to another format, such as text or xml. Some of the documents listed may not be present in all applications, i.e. not all US utility applications contain drawings, sequence listing, etc. The USPTO will also provide templates in xml and Excel format for the final deliverables that will be necessary for the accomplishment of the requirements of this contract. See Exhibit B for a sample xml CLIN 0001 deliverable.

The Contractor will have access to, or be provided copies, of the following documents/data, where appropriate:

· USPC index, schedules and definitions

· Examiner’s Handbook to the U.S. Patent Classification System

· Examiner Handbook on the Cooperative Classification System

· International Patent Classification (IPC) Guide

· USPC GAU Classes Arranged Numerically (CAN) report

· Corrections to USPC that may appear elsewhere in USPC schedules and definitions

· CPC scheme and definitions (xml)

Other guidance documents and resource materials may be provided during the performance of the contract by the USPTO in order to assist the Contractor in performing the requirements of the contract.

These documents/data may be found on the USPTO’s classification web site, www.cpcinfo.org, or provided by the USPTO to the Contractor.

For each new reclassification project under CLIN 0003-4003, the USPTO will provide each Awardee with an estimated document count for the project, the classification scheme, any available definitions, any special guidance (if appropriate), and the maximum number of batches that the deliverables can be broken up into. The USPTO will also provide templates in electronic format for the final deliverables.

2.4 REQUIREMENTS

The following is a description of the contractual responsibilities and deliverables required by the USPTO under this contract. The objective of the contract is to provide classification (and other related) support based on an “expert” classifier designation. The Contractor shall be capable of performing the work across the entire breadth of USPC and CPC technical subject areas under this contract.

For CLIN #001, the Contractor will be required to perform the following tasks: (a) select a single primary routing USPC classification; (b) perform a full CPC expert classification; (c) perform an offensive material review; and (d) select an appropriate figure for publication.

For CLIN #002, the Contractor will be required to perform the following tasks: (a) select a single primary routing USPC classification; (b) perform an offensive material review; and (c) select an appropriate figure for publication.

For CLIN #003, the Contractor will be required to perform reclassification services for documents into revised/new CPC schemes.

The USPTO will provide an xml template to be completed for the final deliverables for CLIN #001/1A and #002/2A along with instructions. The USPTO will provide an Excel or equivalent template to be completed for CLIN #003 along with instructions.

For CLINs #001/1A and #002/2A (# represents the contract period), the Contractor will have a maximum of 29 calendar days to prepare and deliver final deliverables acceptable in accordance to 2.5 to the USPTO for each application. Deliverables under CLIN CLINs #001/1A and #002/2A will be considered final upon receipt. Quality reviews of the deliverables under section 2.5 will be conducted at least monthly. The 29-day period starts on the day that the USPTO first notifies the Contractor that the application is available for downloading via a VPN or other viable means. The 29-day period will continue to run, and will include any day (any portion of a day will be counted as a whole day), until the USPTO receives the final deliverable, considered acceptable in accordance with Section 2.5, via the VPN or other viable means. The number of days late will be calculated based on the days taken by the Contractor to prepare and deliver the final deliverable compared to the allowed 29-calendar day maximum. All final deliverables will be reviewed at least monthly in accordance with the criteria set forth in Section 2.5.

Upon receipt of each application from the USPTO for CLINs #001/1A and #002/2A, the Contractor must review the application to determine if it is sufficient to fulfill the requirements for the CLIN, i.e. establishing a routing classification in USPC and/or fully classifying in CPC, and other related tasks as set forth below. Any application that is deemed insufficient should be promptly brought to the Contracting Officer’s Representative (COR)’s attention. If the Contractor notifies the USPTO within three (3) business days of when the Contractor has been supplied with the application, and the COR agrees that the application is insufficient, a new 29-day period will be started on the day that the USPTO provides a new or corrected application. If the USPTO is notified beyond three (3) business days from when the Contractor has been supplied with the application, the 29-day period will be suspended from the day the USPTO receives notification and will restart the day that USPTO provides a new or corrected application available to the Contractor. If the COR disagrees with the Contractor request for a corrected/new application, the COR will promptly notify the Contractor, along with any appropriate guidance.

For CLIN #003, the Contractor shall perform document reclassification which is the process of assigning classifications to documents as a result of a revision project. A revision project is one in which classes, subclasses, main groups, and/or subgroups are added to or deleted from a classification scheme(s) resulting in a modified scheme bringing about the need for movement of documents from previous classifications to new classifications.

For CLINs #001/1A and #002/2A the final deliverable is considered to be the completed tagged xml information which shall be electronically delivered by placing a single file per application, which can be submitted in a zipped up batched tar file, on a Contractor provided server at the Contractor’s facility. The USPTO will administer this server and retrieve the electronic files daily using the Contractor provided communications channel. For CLIN #003 the final deliverable is considered to be the completed Excel or equivalent document which shall be submitted via e-mail to the COR.

If requested by the COR, status reports shall be provided by the Contractor. Such reports may include estimates of caseload capacity or any other information that could reasonably be needed by the USPTO to ensure that the needs of the Government are and will continue to be met.

2.4.1 CLIN 0001, 1001, 2001, 3001, and 4001: Initial Classification of Patent Applications for Routing in USPC and Full CPC Classification in CPC at the Expert Level

The Contractor will provide the following:

A. ROUTING CLASSIFICATION IN USPC

The Contractor shall provide a single USPC routing classification (a.k.a. Primary or PR classification) for each assigned application. When determining the PR, one must first identify the “controlling claim.” The controlling claim is identified by performing an ordered sequence of tests until one (1) claim successfully satisfies the conditions of one (1) of the tests. That claim is the controlling claim, and the class in which the controlling claim is classified is the PR class. There must be common subject matter in all the claims in order to apply the first two (2) tests. If there is no common subject matter between the claims, or there is common subject matter only between some of the claims, the first two (2) tests must be skipped and the sequence of tests should begin with test three (3). The sequence of tests performed to identify the controlling claim is listed below.

1. Is there a claim that is more comprehensive than the other claims?

2. Is there a claim directed to a superior statutory category of subject matter than the other claims?

3. Is there a claim directed to a more superior type of subject matter than the other claims?

4. Are the claims classified in “chemical” classes related to each other as genus and species classes?

5. For claims classified in different classes, which class is superior in the listing “Classes within the USPC System Arranged by Related Subject Matter”?

Test 1- Comprehensiveness generally refers to the combinatorial extent of the claimed subject matter, that is, the more comprehensive of two (2) claims reciting common subject matter is the claim that comprises the largest combination of subject matter. The presence or number of claimed subcombinations doesn’t usually change the comprehensiveness of a claim. It is essential when comparing the comprehensiveness between two (2) claims that they recite at least some common subject matter. If claims contain no common subject matter their relative comprehensiveness cannot be determined.

Test 2- When the claims have common subject matter and are equally comprehensive one must apply the second test, i.e., the category of subject matter test. If there is a claim directed to a category of subject matter that is superior to categories of subject matter in the other claims that claim will be the controlling claim.

The different categories of subject matter and their order of superiority are:

1. Process of using a product of manufacture (2), e.g., using a fuel or radio transmitter

2. Product of manufacture, e.g., a fuel or radio transmitter

3. Process of making product (2), e.g. an oil refining process

4. Apparatus to make a product (2), e.g., machine, tool, etc.

5. Materials used to make a product (2)

Test 3- In the event the test of comprehensiveness and the test for superior category of subject matter fail to identify a controlling claim, or there is no common subject matter in all the claims such that these tests cannot be used, the test for superior types of subject matter is invoked. The types of subject matter, in their order of superiority are:

1. Relating to maintenance or preservation of life

2. Chemical subject matter

3. Electrical subject matter

4. Mechanical subject matter

(a) Dynamic (relates to moving things or combinations of relatively moving parts)

(b) Static (stationary things or parts)

Test 4- Up to this point it was possible to determine the PR class without having to perform any substantive classification. However, if the first three (3) tests fail to identify a controlling claim some additional classification of claims may be required to use either the fourth or fifth tests. According to test four (4), if the classes in which the claims are classified are both chemical and related as genus and species classes, the controlling claim is the one classified in the species class.

Test 5- When none of the previous tests succeed in identifying a controlling claim one must turn to test five (5), the order of listing in the Classes Arranged by Related Subject Matter (CABRSM), as a last resort. In cases where the claims are classified in more than one (1) class, there is no common subject matter between the claims, the claims are the same type of subject matter, and the classes the claims are classified in are not related as genus/species chemical classes, one must determine the classes that cover the claims and then look up each class in the CABRSM. Whichever class appears first CABRSM, starting from the top and moving to the end of the document, will be designated the class of the PR.

Exceptions-

(a) Where special agreements between Groups are in effect, such as for high-temperature superconductivity applications and for certain biotechnology areas, these agreements override all other considerations. These special agreements will be provided after award to the selected vendor(s).

(b) Where the historical placement of patents having particular claimed disclosure has been contrary to written definitions and notes, the historical placement overrides all other considerations, except the special agreements mentioned above, and controls placement of like subject matter until corrective reclassification is affected.

(c) Classification definitions (particularly the search notes and lines with other classes) must be read for possible exceptions to the tests discussed in 1–5 above, inasmuch as disclosures in a given area of technology may have required deviation from these procedures. Any deviation will be mentioned, and explained, in a modern class definition.

Additional guidance is provided in the Examiner Handbook to the U.S. Patent Classification System (http://www.uspto.gov/page/examiner-handbook-us-patent-classification-system) and in the guidance document in Exhibit C.

The Contractor will be required to meet the acceptance criteria set for in section 2.5.1 below. The Contractor will be provided the Classes Arranged Numerically (CAN) report. The CAN report sets forth the USPC classification ranges that are assigned to each Group Art Unit (GAU). The PR supplied by the Contractor must be sufficiently accurate such that the application would be routed to the correct GAU (i.e. the PR classification falls within the CAN report classification range for the correct GAU). The CAN report may have updates/changes over the course of the contract. The Contractor will be provided any updated mapping report and will be given 30 days from the time USPTO notifies the Contractor, to adjust to any changes in the CAN mapping report for purposes of review under the acceptance criteria. During this 30 day transitional period, both the new and old CAN report ranges will be deemed acceptable for review purposes.

The USPTO acknowledges in very rare instances that some patent applications are very extraordinary and making a single classification decision is sometimes very difficult. For example, only an informal disclosure or unintelligible disclosure is present. The COR should be contacted to provide guidance in these very rare instances.

B. FIRST INVENTION INFORMATION CLASSIFICATION

The Contractor shall select the appropriate CPC first invention information classification symbol and designate it as the CPC First classification. This first classification should be the CPC symbol which most adequately represents the invention(s). The first invention classification symbol shall be included in the final deliverable and specified as such (i.e. first invention information).

The Contractor will be required to meet the acceptance criteria set for in sections 2.5.2 (CLINs #001).

C. INVENTION INFORMATION CLASSIFICATION

The Contractor shall review and analyze each application’s content and shall classify any invention information in CPC. Invention information is technical information in the total disclosure of a patent document (for example, description, drawings, claims) that represents an addition to the state of the art. The invention information is determined in the context of the state of the art, using guidance provided by the claims of the patent document, with due regard given to the description and the drawings. “Addition to the state of the art” means all novel and unobvious subject matter specifically disclosed in a patent application, which subject matter does not represent part of the prior art, i.e., the difference between the subject matter in a patent application and the collection of all technical subject matter that has already been placed within public knowledge. Specific guidance for assigning inventive classification symbols may be provided by the USPTO for certain technologies during the contract. All invention classification symbols shall be included in the final deliverable and specified as such (i.e. invention information). See IPC Guide, Section VIII: http://www.wipo.int/export/sites/www/classifications/ipc/en/guide/guide_ipc.pdf

The Contractor will be required to meet the acceptance criteria set for in section 2.5.3 and 2.5.5 below.

D. ADDITIONAL INFORMATION CLASSIFICATION

The Contractor shall review and analyze each application’s content and shall classify any additional information in CPC. Additional information is non-trivial technical information which does not in itself represent an addition to the state of the art but might constitute useful information for a searcher looking for such information. The additional information complements the invention information by identifying, for example, the constituents of a composition or mixture, or elements or components of a process or structure, or use or applications of classified technical subjects. Specific guidance for assigning additional classification symbols may be provided by the USPTO for certain technologies during the contract. All additional classification symbols shall be included in the final deliverable and specified as such (i.e. additional information). See IPC Guide, Section VIII: http://www.wipo.int/export/sites/www/classifications/ipc/en/guide/guide_ipc.pdf

The Contractor will be required to meet the acceptance criteria set forth in section 2.5.3 and 2.5.4 below.

E. REPRESENTATIVE FIGURES

For each application, the Contractor is required to select one (1) or two (2) representative figures for use in publication of the application and includes such in the final deliverable. Ordinarily, a single figure will be selected for printing. The figure should be illustrative of or helpful in understanding the claimed invention and must not be one that is labeled prior art. The Contractor shall select the figure that best represents the invention. If there is no appropriate figure available, an appropriate designation (such as “none”) shall be selected. The representative figure shall be included in the final deliverable.

The Contractor will be required to meet the acceptance criteria set forth in section 2.5.4 below.

F. OFFENSIVE MATERIAL REVIEW

The Contractor shall review each application for offensive material that may affect an application’s publication and notify the COR if such material is found via email no later than submission of the final deliverable. Applications that are identified as containing subject matter considered to be offensive must still be submitted as a final deliverable in accordance with the requirements of the CLIN.

The Deputy Commissioner for Patent Examination Policy has issued the following guidance on reviewing applications for offensive material.

Offensive material is defined in the dictionary as unpleasant, disgusting, revolting, repugnant, causing resentment or anger or insulting. Examples are:

Material suggestive of terrorist activity (e.g., a figure of a plane colliding with a building or methods of delivery of toxins to the Government or general public); graphic sexual illustrations or descriptions; applications obviously devoid of statutory subject matter (e.g., unabomber’s manifesto); or applications which include derogatory comments concerning the Government.

The Contractor will be required to meet the acceptance criteria set forth in section 2.5.4 below.

G. FINAL DELIVERABLE

For each final deliverable, the Contractor will provide to the Government the following data:

· Application serial number

· The routing classification in USPC

· The first Invention Information classification CPC symbol with a first invention identification

· All Invention Information CPC classifications with an invention information identification

· All Additional Information CPC classifications with an additional information identification

· The representative figure(s) (or an indication “none” as appropriate)

2.4.1.1 CLIN 0001A, 1001A, 2001A, 3001A, and 4001A: Full CPC Classification in CPC at the Expert Level

It is anticipated that the USPTO will move away from routing by USPC during the course of this contract. At which time, the volumes for CLIN #001 will be moved to CLIN #001A and the pricing for CLIN #001A will take effect for the remainder of the contract including any remaining option period(s) (# represents the contract period which the change occurs). The Contractor will be notified at least 60 days prior to this change.

The requirements for CLIN #001A are the same as CLIN #001 EXCEPT for the requirement to provide a USPC routing classification as outlined in 2.4.1(A) above. Additionally, the determination of the CPC first classification may be changed from the CPC symbol which most adequately represents the invention(s) set forth in 2.4.1(B) above to the CPC classification which results from the “controlling claim” analysis set for in 2.4.1(A) above.

For each final deliverable, the Contractor will provide to the Government the following data:

· Application serial number

· The first Invention Information classification CPC symbol with a first invention identification

· All Invention Information CPC classifications with an invention information identification

· All Additional Information CPC classifications with an additional information identification

· The representative figure(s) (or an indication “none” as appropriate)

2.4.2 CLIN 0002/2A, 1002/2A, 2002/2A, 3002/2A, and 4002/2A: Initial Classification of Patent Applications for Routing

It is anticipated that the USPTO will already have full classification in CPC for some new incoming applications. As such, the USPTO does not need to have these applications classified in CPC by the Contractor. However, the USPTO may still needs to have a routing classification, a representative figure selected, and an offensive material review performed.

2.4.2.1 CLIN 0002, 1002, 2002, 3002, and 4002: Initial Classification of Patent Applications for Routing in USPC

The requirements for CLIN #002 are the same as CLIN #001 EXCEPT for the requirement to provide a full CPC classification as outlined in 2.4.1 B, C, and D above.

For each final deliverable, the Contractor will provide to the Government the following data:

· Application serial number

· The routing classification in USPC

· The representative figure(s) (or an indication “none” as appropriate)

2.4.2.2 CLIN 0002A, 1002A, 2002A, 3002A, and 4002A: Initial Classification of Patent Applications for Routing in CPC

It is anticipated that the USPTO will move away from routing by USPC during the course of this contract. At which time, the USPTO will no longer need the USPC routing classification provided by CLIN #002 (# represents the contract period that this change occurs) but the USPTO may still require the services of routing via a single CPC first classification, along with selection of a representative figure selected and an offensive material review performed. When the USPTO moves away from routing by USPC, the USPTO may either terminate CLIN #002 or transition from CLIN #0002 to CLIN #002A. The Contractor will be given notice at least 60 days prior to the termination of CLIN #002 or transition from CLIN #002 to CLIN #002A. If the USPTO chooses to terminate CLIN #0002, the USTO will not be obligated to meet the minimum volumes set forth in Section 1 for CLIN #002 in the contract period that the associated services are deemed unneeded.

The requirements for CLIN #002A are the same as CLIN #002 EXCEPT the routing classification will be a single CPC first classification. Additionally, the determination of the CPC first classification may be changed from the CPC symbol which most adequately represents the invention(s) set forth in 2.4.1(B) above to the CPC classification which results from the “controlling claim” analysis set for in 2.4.1(A) above.

The Contractor will be required to meet the acceptance criteria set forth in section 2.5.1 (CLIN #002A).

For each final deliverable, the Contractor will provide to the Government the following data:

· Application serial number

· The CPC first classification

· The representative figure(s) (or an indication “none” as appropriate)

2.4.3 CLIN 0003, 1003, 2003, 3003, and 4003: Document Reclassification

The Contractor shall perform document reclassification services which is the process of assigning classifications to documents as a result of a revision project. A revision project is one in which classes, subclasses, main groups, and/or subgroups are added to or deleted from a classification scheme(s) resulting in a modified scheme bringing about the need for movement of documents from previous classifications to a new classifications.

Revision projects in the utility classes will be undertaken in the CPC system.

Revision projects in the plant (PLT) and design (D) classes will not be undertaken in the CPC classification system, although it is possible that documents associated with CPC revision efforts might contain a small number of plant or design patents.

A. Reclassification Services

The Contractor shall be tasked under this CLIN to provide reclassification services for published documents which currently have a CPC classification symbol in an area which is undergoing scheme revision or other reclassification needs. The Government will select the documents to be reclassified after factoring in family information. The selected documents may include non-English language documents, i.e. Japanese, Korean, etc. Use of an English language translation for reclassification purposes will be acceptable for non-English language documents.

B. Delivery Order Award Process

Each Contractor that is awarded a contract that includes CLIN 0003-4003 will have the opportunity to bid on each new reclassification project (or a small group of reclassification projects) as they become available. For each new reclassification project, the USPTO will provide each Contractor with an estimated document count for the project, the classification scheme, any available definitions, any special guidance (if appropriate), a deadline for response, and the maximum number of batches that the deliverables can be broken up into. A batch is a subset of the total documents encompassed by the reclassification project that are to be submitted to the USPTO for review, acceptance, and payment. The maximum number of batches for each reclassification project will vary depending on the document count encompassed by the project and possibly the complexity of the project. For example, a small project having only a few hundred documents may be limited to a single batch while a 20,000 document project may be allowed to have a maximum of a dozen batches. Controlling the maximum number of batches will enable the USPTO to manage the quality review resources needed to oversee the project.

The Contractor will provide the USPTO with a unit cost per document (at which the Contractor will be paid for actual number of documents as specified in a delivery order), a tentative delivery schedule for the batches, and a fixed final completion date for the project by the deadline. The deadline will typically be 8 days from the date that the Contractor receives the above information. The delivery schedule shall contain a tentative schedule of the delivery date of each batch (not to exceed the maximum number of batches set forth by USPTO) being submitted to the USPTO and the number of documents in each batch. The number of documents in each batch may vary and the Contract may schedule less than the maximum number of batches dictated by the USPTO. For multiple batch projects, the Contract may wish to start with a smaller batch to ensure their work meets the required quality standard (see Section 2.5.8) before a substantial portion of the documents are completed for submission. When considering the tentative delivery schedule the Contractor should take into account that the quality review process performed by the USPTO on each batch will take approximately three (3) weeks. It is recognized that the Contractor may need to adjust the batch delivery schedule (not the project completion date) over the course of the project based on such thing as a change in workforce or the results of the quality review conducted by the USPTO. The Contractor should keep the USPTO informed of such changes. The fixed final completion date for the project cannot be changed by the Contractor unless the change is approved by the USPTO.

The USPTO will review the submissions from each Contractor and select an Awardee for the reclassification project. The USPTO will selection the Awardee based on a best value determination. This determination will take into account the unit cost, the proposed delivery schedule, including the fixed final delivery date, and potentially any quality review determinations made by the USPTO from prior projects. The USPTO will usually notify the Contractor whether they have/have not been awarded the reclassification project within 8 days from the submission deadline.

C. Project Management

The USPTO will issue discrete delivery orders for each reclassification project assigned to the Contractor under this CLIN.

The Contractor may be required to attend status meetings as requested by the USPTO on an as needed basis, but no more than biweekly basis. These meeting may be conducted via teleconference, videoconference, or in person as appropriate.