Draft PWS and Draft Performance Metrics Attachment 1.pdf

United States [Electronic Business Center] Patent and Trademark Office Performance Work Statement

Form # USPTO-OP-022 (08/2020) Page 1 of 23

Requirement Title: Electronic Business Center (EBC)

1. Background

(a) The United States Patent and Trademark Office (USPTO) is the federal agency for granting U.S. patents and registering trademarks. The strength and vitality of the U.S.

economy depends directly on effective mechanisms that protect new ideas and investments in innovation and creativity. The continued demand for patents and trademarks underscores the ingenuity of American inventors and entrepreneurs.

(b) Within the Patents business unit, the Office of Patents Stakeholder Experience (OPSE) assists external stakeholders as they journey through the U.S. patent system and patent application process. OPSE works with Patents’ external stakeholders to ensure they find it clear, consistent, and intuitive to do business with Patents, and for Patents personnel to be empowered and equipped with the knowledge and skills necessary to meet stakeholders' needs. OPSE’s work emphasizes reducing barriers and burdens so that all innovators have the knowledge, understanding and resources needed to navigate the Patents system and processes with ease.

(c) The Patent Electronic Business Center (EBC) provides comprehensive technical support and electronic filing assistance to external stakeholders utilizing the USPTO's electronic patent systems, platforms, and tools. This support covers submitting and reviewing electronic patent applications via Patent Center, along with managing applications that have already been filed.

(d) The EBC proudly services the intellectual property (IP) community with extended hours of operations during which it provides technical assistance on a wide range of support topics related to these systems and tools.

2. Purpose

(a) The USPTO’s OPSE requires support for the EBC processing activities. The EBC provides technical support services to external Patent stakeholders who file or access patent information electronically or use other EBC website features and external Trademark stakeholders using the Trademark filing system for identity (ID) verification.

(b) The USPTO anticipates awarding a single labor hour contract.

3. Description of Work to be Performed

(a) The EBC provides, but is not limited to, technical support for customer submission and access issues as well as technical support for the various USPTO Patent e-Commerce systems and the Trademark filing and ID verification systems. Patent eCommerce systems include, but are not limited to, Patent Center and Priority Document Exchange (PDX). Trademark filing and ID verification systems include paper and electronic ID verification, and the attorney sponsorship tool. Substantive patent or trademark examination, prosecution or legal

Form # USPTO-OP-022 (08/2020) Page 2 of 23 issues are beyond the scope of this technical support. At any time through the life of this requirement, system support may be subject to change.

(b) Technical support includes, but is not limited to, assisting users with account management and authorization for the designated eCommerce and Trademark systems. This encompasses tasks such as managing customer numbers, performing ID verification, and supporting various multifactor authentication methods, including Mobile Authenticator, email, and voice.

(c) The Contractor shall provide technical support to external Patents and Trademark stakeholders for USPTO's electronic systems. Services include, but are not limited to, responding to external stakeholder inquiries via phone and email regarding patent and trademark filings, accessing electronic information, and providing operational support for e-commerce and electronic filing systems, including user account and access management.

(d) The Contractor shall provide technical support to stakeholders who file or access patent applications and related information, submit trademark ID verification electronically or by paper or utilize other USPTO website features.

(e) Prior to commencement of services, all Contractor personnel shall sign and return a Non- Disclosure Agreement (NDA) to the Contracting Officer Representative (COR). See Attachment 1.

(f) The Contractor shall provide to the Contracting Officer (CO) and designated COR via email, within two (2) calendar days after award the name and contact information of a Point of Contact

(POC).

4. Scope

(a) The Contractor shall furnish qualified personnel, materials, supplies, transportation and other items necessary to perform the work within this requirement.

(b) Over the life of the contract, the Contractor must maintain a sufficiently staffed and qualified workforce to ensure uninterrupted performance of all requirements identified in this Performance Work Statement (PWS). The Contractor shall have an effective streamlined approach for backfilling vacancies resulting from attrition, voluntary separation, or other causes, as well as staffing any new positions. All vacant positions shall be filled within 30 calendar days of vacancy. The Government shall not be billed for any period for vacant positions.

4.1 Patent Electronic Systems

The Contractor shall:

1. Provide technical support services to external stakeholders from 9:00AM to 8:00PM, Eastern Time (ET), Monday through Friday independent of the Federal Government being open, closed, or early release and Saturday and Sunday as needed.

2. Provide technical support services to external Patent stakeholders. Historically, Form # USPTO-OP-022 (08/2020) Page 3 of 23 approximately 99% of all Patent applications are filed electronically, and these external stakeholders receive their support from the EBC. Technical support services are available to external stakeholders who file or access patent information electronically or use other EBC website features. These other EBC website features include, but are not limited to:

a. Customer number processing and data changes;

b. Customer number uploads processing;

c. Patent Center Bibliographic data changes support;

d. User account authorization (or equivalent) processing and recoveries;

e. Provision of support for multifactor access to eCommerce systems;

f. Verification of documents for accuracy and completion, for eCommerce systems;

g. Secure identification methods, e.g., Mobile Authenticator, etc.;

h. Electronic filing of, and access to, patent application information using eCommerce systems;

i. Provide external stakeholders with general filing information and assistance using eCommerce systems;

j. Investigate and analyze user issues with ecommerce systems by utilizing multiple browsers to recreate or walk through the system(s) issue(s) with the user and reviewing said issue(s); in addition, provide documentation and screenshots of users’ issue(s) to facilitate real-time resolution for users, and if unable to resolve, escalate through the appropriate internal USPTO mechanisms for further investigation and resolution;

k. Monitor and respond to incoming traffic for all EBC’s support email inboxes;

l. Capture incoming user information and other pertinent data (e.g., Customer Number, Gen Stats, and EBC Data warehouse) utilizing Customer Relationship Management (CRM) system(s) and tool(s) as well as any of EBC’s databases;

m. Produce EBC reports, listed in the Schedule of Deliverables, including but not limited to, monthly filing reports for the USPTO and ad hoc operational reporting;

n. Transfer external stakeholder issues to the appropriate USPTO external stakeholder support organizations outside of the EBC by referring or transferring stakeholders directly to another support organization when necessary; and

Form # USPTO-OP-022 (08/2020) Page 4 of 23

o. Review and analyze customer satisfaction survey results to identify trends and pain points in order to recommend and/or implement corrective actions;

p. Provide technical support for the Right Fax system (central USPTO fax system).

3. Support internal USPTO staff by communicating operational information and issues, external stakeholder inputs, providing testing support of new releases and any potential issues for eCommerce systems, and supporting external stakeholder interactions with eCommerce initiatives, etc. Testing capacity may vary on a weekly basis which may have impacts if there are critical issues requiring senior agents to respond. Testing support will be performed onsite at the Contractor’s facility and may be during off-hours. Additional duties include, but are not limited to:

a. Complete test cases and testing preparation (such as environments, test data, etc.)

prior to the start of any testing activity.

b. Attend internal USPTO testing meetings as necessary to support the effort.

c. Perform the tests and provide the results to the Government’s POC(s)

• During the estimated testing down time periods or delays, available equivalent full-time employee (FTE) hours can be leveraged by the Government to assist with other eCommerce project efforts.

d. Provide User Acceptance Testing (UAT) testing support of new releases.

• Provide support to UAT according to testing schedule and coordinate the schedule depending on forecasted call volume.

• Perform the tests and provide the results to the Government’s POC(s).

e. Provide testing and verification of internal system processes related to the Patents

Center.

• Testing will be performed in pre-production environments Formal Qualification

Testing/Production Validation Testing (FQT/PVT) and post-production release.

f. Perform Quality Control Activities.

4. Assist the eCommerce staff with special projects as directed by the EBC’s Government POC(s).

5. Track project performance and processes; document/record information, action items, task assignments, and other information presented at meetings and/or presentations.

6. Develop, manage and maintain all EBC documentation, including but not limited to standard operating procedures (SOPs), process flows, training guides, frequently asked questions, and update knowledge bases, including knowledge packs with relevant solutions

Form # USPTO-OP-022 (08/2020) Page 5 of 23 and articles, with the goal of providing high-quality, up-to-date, and consistent technical support by all technical support agents, as well as facilitating the training and onboarding of new hires so that inexperienced Contractor staff can be better prepared to perform all necessary work in the performance of this requirement as stated herein to external customers.

7. Scan and store documents processed by the EBC, where documents include but are not limited to:

a. Patent Electronic System Verification Form

b. Request for Customer Numbers (CN) - Scan and Store

c. Request for CN Data Changes - Scan and Store

d. Request to Update a Patent Cooperation Treaty (PCT) Application with a Customer Number - Scan and Store

e. Request for Patent Center identity proofing of notarized forms – Scan and Store

8. Provide onsite storage of hard copies of forms processed by the EBC for the duration of contract performance. When applicable, send hard copies of forms to Government off-site storage for retention. Manage retrieval of onsite and offsite storage of all customer completed forms.

9. Ensure that formal team lead support is available during the EBC hours of operation from 9:00 AM to 8:00 PM, ET, Monday through Friday.

10. Provide project assistance to the management of the Office of Information Technology for Patents (OITP) in support of changes to eCommerce systems in accordance with USPTO initiatives. Other support activities may also be provided that involve the development of standard operating procedures for Patent Center. This project assistance work is to be performed by three (3) dedicated FTEs. The assistance will include, but is not limited to, the following activities:

a. Requirements capture and documentation

b. Process mapping and development

c. Action item capture, tracking, and follow up

d. Meeting coordination and documentation

e. Development of SOPs – e.g., call trees and process flow for the EBC

f. Training materials developing and distribution to support customer

Form # USPTO-OP-022 (08/2020) Page 6 of 23

g. Support of USPTO fillable forms including form updates and testing

h. General “project” support

i. Content Management – update web pages and PDFs, e.g., quick start guides

j. Assist with demonstrations/presentations for various outreach events

k. Perform Quality Control activities

11. Perform project management as necessary to support EBC activities.

12. Provide Call Recording Quality Monitoring activities as follows:

a. EBC Management will monitor a minimum of 100 voice recording calls per month and include a completed scorecard for each call.

b. For each monitored call, management will pull all corresponding tickets for quality review from the Customer Relationship Management (CRM) system.

c. Each Agent will receive feedback on the calls monitored within a week from review. If there is an issue or emergency the Agent will receive feedback immediately.

d. Ad Hoc monitoring will take place in addition to the minimum number of calls monitored per month. This could include monitoring by other leadership, staff, etc.

e. Review meetings will be held monthly with the EBC Government staff.

13. Provide PDF fillable form support for eCommerce systems. This support will include, but is not limited to:

a. Edit text on forms

b. Ensure accessibility compliance

c. Make fillable and savable

14. EBC Automated Survey

a. External callers will be offered an opportunity to complete a survey regarding the completed EBC call using the current customer satisfaction survey system designated by the Government POC(s).

b. The survey will consist of a number of questions to be determined by the

Government POC(s).

Form # USPTO-OP-022 (08/2020) Page 7 of 23

c. Survey results will be used to measure quality of service, knowledge, and customer satisfaction.

d. Survey results will be provided monthly.

e. A minimum of 5% of the total monthly call volume is required to meet the target number of replies to reflect overall customer number satisfaction. The expectation is to offer surveys to roughly 25% of all callers in order to achieve the 5% response target.

f. Each Agent will receive feedback on their calls that are monitored within a week from review. If there is an issue or emergency the Agent will receive feedback immediately.

15. Patent Additional Surge Support Plan Optional Contract Line Item Number (CLIN)):

a. Patent Surge Support must be authorized by the Patent Government POC(s) via the COR. To the maximum extent practicable, the Patent Government POC(s) will provide one (1) business day or 24 hours advance notice for surge support.

b. In support of any predetermined new e-Commerce initiative, EBC agents will provide additional customer service (Surge support) by working two (2) additional hours per shift under one of two conditions:

• Call volume increases 75% above the average call volume for the period.

• Under the direction of the EBC’s Government POC(s) with simultaneous notification via COR.

c. When Patent Surge support is initiated by the EBC’s Government POC(s), the corresponding hours can be leveraged by the government and allocated to other surge-related eCommerce project efforts.

4.2 Trademark Electronic Systems

The Contractor shall:

1. Provide technical service support from 9:00 AM ET to 5:00 PM ET, Monday through

Friday independent of the Federal Government being open, closed, or early release and Saturday and Sunday as needed.

2. Support internal USPTO staff by communicating operational information and issues, communicating customer inputs, supporting customer interactions with ecommerce initiatives, etc.

3. Provide technical service support to external Trademark customers for Trademark electronic filing systems, specifically the Trademark paper ID verification process required for electronic trademark filing. Trademark customers verifying their identities

Form # USPTO-OP-022 (08/2020) Page 8 of 23 by mailing a paper notarized form to EBC will receive their support from the EBC.

Technical service support extended to customers who use the paper ID verification process to access Trademark filing systems or other Trademark applications requiring a verified ID is to include but not be limited to:

a. Monitor Trademark mailboxes and respond to external stakeholder emails pertaining to paper ID verification issues; manage related external stakeholder information and contribute to EBC reports, listed in the Schedule of Deliverables, including monthly filing reports for the USPTO overall, and ad hoc operational reporting;

b. Respond to phone calls from external stakeholders pertaining to filing issues, including the Trademarks ID verification process;

c. Process incoming calls from other USPTO external support organizations pertaining to the Trademarks paper ID verification process, providing responses to the external stakeholder(s), and providing the referring support organizations follow-up information as appropriate;

d. Direct external stakeholder issues to other USPTO external stakeholder support organizations either by referring external stakeholders directly to other USPTO organizations or by contacting other organizations and then providing responses back to the external stakeholders as appropriate;

e. Trademark filing system support for the paper version of the ID verification process;

f. Provide support for calls and emails related to processing status updates for paper ID verification;

g. Support access to other Trademark applications requiring a verified ID for the paper version of the ID verification process;

h. Participate in “Call Recording Quality Monitoring activities” as described above;

i. Participate in the “EBC Automated Survey” as described above.

4. Assist the eCommerce and/or Trademarks internal USPTO staff as directed by the EBC’s Government POC(s) with special projects.

5. Track project performance and processes; document/record information, action items, task assignments, and other information presented at meetings and/or presentations, etc.

6. Develop, manage and maintain all Trademark documentation related to Trademark paper ID verification, including but not limited to SOPs, process flows, training guides, frequently asked questions, and update knowledge bases, including knowledge packs with relevant solutions and articles, with the goal of providing high-quality, up-to- date, Form # USPTO-OP-022 (08/2020) Page 9 of 23 and consistent customer service by all call center agents, as well as facilitating the training and on-boarding of new hires so that inexperienced staff can perform all necessary work in the performance of this requirement as stated herein to external customers.

7. Scan and store paper Request for Trademark ID verification documents processed by the EBC.

8. Provide onsite storage of hard copies of forms processed by the EBC for the duration of contract performance. When applicable, send hard copies of forms to Government off-site storage for retention. Manage retrieval of onsite and offsite storage of all external stakeholders’ completed forms.

9. Ensure that formal team lead support is available during the EBC hours of operations from 9:00 AM to 8:00 PM, ET, Monday through Friday.

10. Processing of paper Trademark ID verification forms, to include verifying sufficiency of paper Trademark ID verification forms and request the proper RBAC authorization and role for the submitter.

11. Trademark Additional Surge Support Plan (Optional CLIN):

a. Trademark Surge Support must be authorized by the Trademark Government POC(s) via the COR. To the maximum extent practicable, the Trademark Government POC(s) will provide one (1) business day or 24 hours advance notice for surge support.

b. In support of any predetermined Trademarks ID verification initiative, EBC agents will provide additional customer service (Surge support) by working surge hours.

Contractor will schedule personnel across the work shifts as required, to provide surge support coverage to best meet call volume requirements and the needs of the USPTO under one of two (2) conditions:

• Call volume increases 75% above the average call volume for the period.

• Under the direction of the EBC’s Government POC(s) with simultaneous notification by COR.

c. When Trademark surge support is initiated by the EBC’s Government POC(s), the corresponding hours can be leveraged by the Government and allotted to other surge-related Trademark project efforts.

4.3 Optional Surge Support

(a) The Government reserves the unilateral right to exercise Optional CLINs 0005 and 0006 and if option exercise, 1004 and 1005, 2004 and 2005, 3004 and 3005, 4004 and 4005 and 5004 and 5005.

Form # USPTO-OP-022 (08/2020) Page 10 of 23

(b) Optional CLINS will be invoked at the Government’s discretion through a written modification issued by the Contracting Officer. The Government will provide the contractor 7-days’ notice prior to exercising the option.

5. Deliverables

(a) Customer support deliverables will be provided on an ongoing basis. Special projects deliverables and any ad hoc reports shall be delivered to the COR and the designated Government POC(s) that requested the deliverable. Electronic form compatible with Microsoft suite is required. These will be provided in accord with mutually agreed upon due dates recorded in the tasking document for that project.

(b) The Government shall have five (5) working days to complete the review of each deliverable and accept or reject the deliverable by giving written notice to the contractor. Any corrections will be made by the contractor and a Final document delivered within five (5) working days unless an extension of the corrections process is requested and mutually agreed upon.

(c) If the Government fails to complete the review within the review period, the deliverable will become acceptable, unless an extension of the review period is requested and mutually agreed upon. In the event of rejection of any deliverable, the contractor will be notified in writing by the Government POC(s), the COR, or the Contracting Officer, giving the specific reason(s) for the rejection. The contractor will have five (5) working days to correct the rejected deliverable and return it to the individual who provided the rejection notice. The contractor will be allowed one resubmission of deliverables.

PWS

Section

Deliverable

Delivery Dates

Delivery Format

3(e) NDA (Attachment 1) Prior to commencement of services

Via email agreed upon Microsoft suite of tools as designated by the COR/Government POC

3(f) Contractor POC Two (2) business days after award.

Via email agreed upon Microsoft suite of tools as designated by the COR/Government POC

6(a) Kick-off Meeting & Minutes Meeting: No later than five (5) business days after award

Minutes: Two (2) business days after Kickoff Meeting

Meeting via Teams with CO, Contract Specialist, COR and designated Government POC(s)

6(b) Periodic or ad-hoc Meeting; As Required Meeting via Teams with CO, Contract Specialist, COR and designated Government POC(s)

Form # USPTO-OP-022 (08/2020) Page 11 of 23

6(c) Agenda(s); Minutes As Required Via email agreed upon using Microsoft suite of tools as designated by the COR/Government POC

6(d) Patents EBC Monthly Report Monthly – 15th of each month by 5pm

Via email agreed upon using Microsoft suite of tools as designated by the COR/Government POC

6(d) Trademarks EBC Monthly Report

Monthly – 15th of each month by 5pm

Via email agreed upon Microsoft suite as designated by the COR/Government POC

6(d) Combined EBC Report Monthly – 15th of each month by 5pm

Via email agreed upon Microsoft suite of tools as designated by the COR/Government POC

6(d)

Performance Metrics with respects to any Training, Outreach, Demonstration, etc. in the Knowledge Transfer Section

10th of each month Via email agreed upon Microsoft suite of tools as designated by the COR/Government POC

6(d) Overall Monthly Program Status Report -Status of Tasks -Planned Activities -Management Issues -Other Sections as needed by COR or Contractor Program Manager

10th of each month Via email agreed upon Microsoft suite of tools as designated by the COR/Government POC

6(d) Ad-hoc Report As Required Via email agreed upon Microsoft suite of tools as designated by the COR/Government POC

6(f) USPTO-specific and specialized training

As Required Via email, submission of completion agreed upon format

8(a) Quality Control Plan Presented at Kick-off meeting

If changes, updates within three (3) workdays after Kick-off meeting

Meeting via Teams with CO, Contract Specialist, COR and designated Government POC(s)

11 Transition Out Phase out support activities

Via email agreed upon Microsoft suite of tools as designated by the COR/Government POC

Form # USPTO-OP-022 (08/2020) Page 12 of 23

12 Transition Plan If requested by

USPTO, 30

workdays prior to contract conclusion, provide a transition plan for all deliverables, products and materials.

Via email agreed upon Microsoft suite of tools as designated by the COR/Government POC

14(d)(1) AWS (Attachment 3) Within ten (10) business days after receipt

Via email

16.1(e) Key Personnel resumes (substitution)

As Required; Via email agreed upon Microsoft suite of tools as designated by the COR/Government POC

6. Administrative Requirements

(a) The Contractor shall attend a Kick-Off Meeting with the Contracting Officer (CO), the Contracting Officer’s Representative (COR), and other designated POCs no later than five (5) business days after the date of award. The kick-off meeting will be chaired by the CO to discuss the technical and order objectives of this requirement and any concerns. The Contractor shall keep meeting minutes inclusive of action items for either party and forward a finalized copy to the CO and COR in Microsoft Word or Excel via email approval within two (2) business days after the meeting is held, or as otherwise directed.

(b) The Contractor shall be available to meet on an ad-hoc basis with the COR and/or any designated USPTO POC upon request. The Contractor will schedule, attend and actively participate in project status meetings that are considered relevant and significant to the task requirements. On occasion, the Contractor shall present deliverables, discuss progress, exchange information and resolve emergent technical problems and issues. Upon request by the direction of the COR and/or USPTO-Appointed Official, the Contractor shall provide meeting agendas no later than two (2) hours prior to the schedule meeting.

(c) For any meeting held by the USPTO, the Contractor shall capture meeting minutes in Microsoft Word or Excel. The Contractor shall summarize relevant and significant discussion/action items from the meeting for either party. Within two (2) business days after any meeting, the Contractor shall distribute via email the minutes and action items list to the meeting attendees (or appropriate distribution list as agreed to and directed by the COR and/or designated

USPTO POC.)

(d) The Contractor shall provide monthly (as designated in the deliverable chart) and ad hoc (as required) status reports to the COR and designated Government POC(s) in Microsoft Word via electronic mail. Monthly reports shall be provided by 5 pm, Eastern Time (ET), Alexandria, Form # USPTO-OP-022 (08/2020) Page 13 of 23

Virginia to the COR, CO and designated Government POC via electronic mail. Ad hoc reports may be required at an earlier time based on need. The submission of the monthly reports is subject to change based on USPTO need.

(e) The status reports shall include a summary of all Contractor work performed, including an assessment of technical progress, schedule status, preliminary findings, preliminary recommendations, any Contractor concerns or recommendations for the previous period. The monthly status report shall identify all Contractor employee names, phone numbers and office numbers. In coordination, the Contractor, COR and/or USPTO POC shall agree to the date of submission and data to be presented in the ad hoc report. The content of the report is subject to revisions as needed to meet mission requirements.

(f) With the exception of USPTO-specific and specialized training not obtainable outside the USPTO (i.e., USPTO IT Security, patent examination process class, etc.), USPTO will not provide or pay for training, conferences or seminars to Contractor personnel in order for them to perform their tasks. The Contractor shall certify in writing to the COR that its employees, in performance of the contract, have completed any USPTO-specific and specialized training as required. Certification of completed USPTO-specific and specialized training shall be submitted to the COR electronically via email in an agreed upon format.

7. Pricing Schedule

(a) Offerors shall complete Attachment 4 “Pricing Matrix”. Offerors are strongly encouraged to provide additional discounts and price reductions from their contract price list. In completing Attachment 4, Offerors are to determine what labor categories are needed to support the following task areas inclusive of Optional surge support as outlined in Section 4 of this requirement for the base and all options.

Base Period CLIN Description 0001 Transition In 0002 EBC Support -Patents 0003 EBC Support - Trademarks 0004 Transition Out

Optional 0005 EBC Surge Support - Patents 0006 EBC Surge Support - Trademarks

Option 1

1001 EBC Support -Patents 1002 EBC Support - Trademarks 1003 Transition Out

Form # USPTO-OP-022 (08/2020) Page 14 of 23

Optional 1004 EBC Surge Support - Patents 1005 EBC Surge Support - Trademarks

Option 2

2001 EBC Support -Patents 2002 EBC Support - Trademarks 2003 Transition Out Optional 2004 EBC Surge Support - Patents 2005 EBC Surge Support - Trademarks

Option 3

3001 EBC Support -Patents 3002 EBC Support - Trademarks 3003 Transition Out

Optional 3004 EBC Surge Support - Patents 3005 EBC Surge Support - Trademarks

Option 4

4001 EBC Support -Patents 4002 EBC Support - Trademarks 4003 Transition Out

Optional 4004 EBC Surge Support - Patents 4005 EBC Surge Support - Trademarks

Option 5

5001 EBC Support -Patents 5002 EBC Support - Trademarks 5003 Transition Out Optional 5004 EBC Surge Support - Patents 5005 EBC Surge Support - Trademarks

Form # USPTO-OP-022 (08/2020) Page 15 of 23

8. Quality Control Plan (QCP)

(a) The Contractor shall develop and maintain an effective quality control program and written standards to ensure services are performed in accordance with (IAW) this requirement, applicable laws and regulations, and best commercial practices. The Contractor shall develop and implement procedures to identify, prevent, and ensure non-recurrence of defective services with special emphasis placed on those services listed in this PWS. The Contractor’s quality control program is how the Contractor assures itself that the work complies with the requirement of the contract. The QCP must be presented at the kick-off meeting between the Government and the Contractor for approval.

9. Quality Assurance Surveillance Plan (QASP)

(a) The Contractor’s work will be reviewed and inspected by the USPTO COR and delegated Government POC, who has final approval and acceptance, in accordance with the Government’s QASP, provided as Attachment 2.

10. Knowledge Transfer

(a) As the USPTO completes the existing efforts with the assistance of the incumbent Contractor, it desires to preserve the knowledge that the Contractor has amassed over the duration of the effort. The Contractor shall provide the minimum staff appropriate to perform necessary transition and knowledge transfer of this contract, as applicable. The Contractor shall collaborate and cooperate with the Government and existing Contractor(s) to effectively ramp up support and execute the required services.

(b) The Contractor shall provide ongoing knowledge transfer and best-effort training of all SOPs to the USPTO Government staff. Reporting of this activity will be included in the Monthly Status Report. These are activities that are required as part of this PWS that needs to consistently be performed in order to prevent the loss of valuable information and to build the in-house capability of Government staff.

(c) The Contractor shall provide cross-training/collaboration between team members and Government personnel to ensure appropriate depth of coverage.

11. Phase-Out Support

(a) The Contractor shall provide phase-out support at the completion of the contract, to include unencumbered access to the operations and maintenance team. The phase-out activities shall include, but are not limited to, a briefing, and all documentation provided by the Contractor to describe the status of all activities and deliverables required in the contract. The deliverables to be included shall consist of deliverables in both complete and incomplete phases, documentation for any actions being performed for operations/maintenance or support to include all known software issues, status of software problem reports, known workarounds, all other documentation, and any other electronic data applicable to the contract at no additional increase

Form # USPTO-OP-022 (08/2020) Page 16 of 23 in cost to the USPTO. The Contractor may be required to provide no less than five (5) working days of prior to the completion of the contract. Phase-out support shall start no later than five (5) working days prior to the completion of the contract.

12. Transition Plan

(a) If requested by USPTO, 30 workdays prior to contract conclusion, provide a transition plan for all deliverables, products and materials. The Contractor shall coordinate with the COR and the potential new vendor to implement the Transition Plan according to the COR’s direction. The Contractor shall coordinate with the COR on transition activities. The Contractor shall attend COR facilitated meetings related to transition planning and support such as plan of the day meetings, as well as those monitoring and collaborating on training and knowledge transfer.

USPTO anticipates facilitating regular meetings during the transition period, which would include representatives of the transition teams from both the current and incoming contractors.

During the transition period, the Contractor shall be responsible for meeting the requirements of PWS until the end of the transition period.

(b) Transition Plan Requirements:

• In a government designated location (SharePoint or folder) provide all SOPs, workarounds, training material and applicable work products for centralized access.

• Fully support transition-out, to include identifying, developing and providing supporting documentation and maintain schedule milestones.

• Perform contract requirements during the transition-out process.

• Conduct detailed overview sessions with the new Contractor as directed by the

Government to provide visibility and insight into the support services.

• Ensure all deliverables, products, licenses, designs, data, documentation, tests, user research notes, source code, configuration settings and files, and materials developed throughout this requirement are provided to USPTO.

• Provide assistance to the COR and potentially another vendor to ensure the applications, systems, databases, platform, and environments are tested and fully operational.

• As part of a close-out form, provide a detailed inventory of all files, materials, etc. that will be submitted along with detailed instructions to seamlessly set up the websites, applications, databases, systems, platform, etc. At that time, all files, materials, boxes, etc. shall be clearly labeled, packaged and indexed according to the inventory.

• The transition could be with a new vendor located up to 100 miles from USPTO campus and will more than likely not have USPTO connectivity during transition. Transition plan should include recommendations to transition when the Contractor is not co-located, and Information technology (IT) must be utilized.

Form # USPTO-OP-022 (08/2020) Page 17 of 23

13. Period of Performance

(a) The period of Performance will consist of a twelve (12) month base period with four (4), twelve (12) months option periods

Base Period June 15, 2026 – June 14, 2027 Option Period 1 June15, 2027 – June 14, 2028 Option Period 2 June 15, 2028 – June 14, 2029 Option Period 3 June 15, 2029 – June 14, 2030 Option Period 4 June 15, 2030 – June 14, 2031 Option Period 5 (52.217-8; 6-month extension)

June 15, 2031 – December 14, 2031

14. Place of Performance

(a) The primary place of performance is expected to be off-site at the Contractor’s facility or at an Alternate (telework) Work Site (AWS).

(b) The Contractor shall also provide full-time, on-site support at the USPTO Alexandria Campus to perform all required paper document support functions. The Contractor is responsible for determining and assigning the appropriate number of FTE necessary to fulfill the onsite support.

(c) The Contractor personnel whether at the Contractor’s facility or at an approved AWS are required to work during agency closures such as late arrival or inclement weather. The USPTO may request the Contractor staff to be available for virtual meetings with USPTO staff via MS Teams or similar application or teleconference when directed by the CO, COR, or POC.

(d) Alternate (telework) Work

(1) AWS must be approved by the COR. The Contractor shall be responsible for any costs/expenses associated in making its staff alternate worksite ready. To be eligible to telework, the Contractor and subcontractor employees must complete and sign an Alternate Worksite Agreement which includes acknowledgement that they have read and agree to the Office of Chief Information Officer (OCIO) Rules of the Road and Alternate Worksite Safety Guidelines. See Attachment 3 “Alternate Worksite Agreement”. The alternate worksite agreement must be provided to the COR within ten (10) days business after receipt.

(2) The Contractor shall establish duty hours and policies for Contractor Personnel that will ensure all services specified within the contract are provided. Planned leave of personnel shall be coordinated two weeks (14 business days) in advance.

(e) The following additional requirements must also be met:

(1) All authorized telework shall be conducted solely on USPTO authorized systems, devices, and baseline configurations over USPTO approved remote access systems and access technologies.

Form # USPTO-OP-022 (08/2020) Page 18 of 23

(2) All authorized telework shall only access USPTO networks and systems within the system boundary from the approved telework location set forth in the Telework Agreement.

(3) All authorized telework shall only access USPTO networks and system via Virtual Private Network (VPN) or other connection authorized by the USPTO.

(4) No data shall be transferred for any reasons to systems or devices outside of the authorized secure system boundary of the USPTO.

(5) Telework and telework access outside of the United States and legally authorized United

States territories WILL NOT be authorized for any reason. This shall be construed to include all means of telecommunication’s access to the USPTO system and supporting infrastructure as well.

(6) The telework location must be approved by the COR.

(7) The Contractor shall be responsible for any costs/expenses associated in making its staff telework ready.

(8) At no time shall any USPTO provided equipment be permitted outside of the United

States and legally authorized United States territories.

(9) Circumstances may require the Contractor to provide services outside normal duty hours.

Any alternative hours outside of the Contractor’s employee’s current work schedule must be mutually agreed upon and will require approval by the CO, COR and the Contractor. If requested to work other than normal business hours to fulfill requirements, this may require an adjustment to the Contractor’s employee’s current work schedule. No overtime is allowed.

15. Contracting Officer and Contracting Officer Representative

(a) The Contracting Officer is the only person authorized to make any changes, or approve any changes in the requirements of this BPA order, and notwithstanding any provisions contained elsewhere in this BPA, the said authority remains solely in the CO. In the event the Contractor makes any changes at the direction of any person other than the CO, the change will be considered to have been without authority and no adjustment will be made in the BPA order price to cover any increase in costs occurred as a result thereof.

The Contracting Officer (CO) is:

Kelly Gustafson Contracting Officer Office of Procurement US Patent and Trademark Office 600 Dulany Street Alexandria, VA 22314 Phone #: (571)-270-7463 Email: kelly.gustafson@uspto.gov

The Contract Specialist (CS) is:

Denise Sanders mailto:kelly.gustafson@uspto.gov

Form # USPTO-OP-022 (08/2020) Page 19 of 23

Contract Specialist Office of Procurement US Patent and Trademark Office 600 Dulany Street Alexandria, VA 22314 Phone #: (571) 272-2797 Email: denise.sanders@uspto.gov

The COR is:

Arthur Banks Office of Patent Financial Management US Patent and Trademark Office 600 Dulany Street Alexandria, VA 22314 Phone #: (571) 272-7275 Email: arthur.banks@uspto.gov

The Alternate COR (ACOR) is:

Lissette Villafan Office of Patent Financial Management US Patent and Trademark Office 600 Dulany Street Alexandria, VA 22314 Phone #: (571) 272-8986 Email: Lissette.villafan@uspto.gov

The Alternate COR (ACOR) is:

Shellie Eaton Office of Patent Financial Management US Patent and Trademark Office 600 Dulany Street Alexandria, VA 22314 Phone #: (571) 272-5146 Email: shellie.eaton@uspto.gov

(b) The COR may be changed at any time by the USPTO without prior notice to the Contractor, but notification of the change, including the name and contact information of the successor COR, will be promptly provided to the Contractor by the CO in writing.

16. Special Requirements

16.1 Key Personnel

mailto:arthur.banks@uspto.gov mailto:Lissette.villafan@uspto.gov mailto:shellie.eaton@uspto.gov

Form # USPTO-OP-022 (08/2020) Page 20 of 23

(a) The Contractor shall assign to this contract the following key personnel. The below key personnel shall serve as the primary liaisons between all parties to ensure coordinated execution and successful contract performance:

Labor Category

• One (1) Program Manager (PM) (full time; to be named at Award)

• Four (4) Team Leads (4) (full time; to be named at Award)

(b) Program Manager:

(1) The Contractor’s PM is defined as the person who is responsible for the management of performance of the contract and must meet the minimum qualifications as listed in paragraph (b)(3) below.

(2) The Contractor’s PM shall ensure that Contractor employee possess adequate qualifications and proficiencies at no additional cost to the Government. The Contractor’s PM shall monitor daily throughput of the Contractor’s work and will notify the COR/Government POC(s) of problems and concerns as soon as practical. The Contractor’s PM shall ensure the smooth functioning of the services required under the contract which includes planning, executing, and controlling projects as indicated within this requirement.

(3) The Contractor’s PM must have demonstrated the ability to lead a program similar in size and complexity. USPTO’s minimum qualifications for this position includes the following:

• A minimum of five (5) years of experience effectively managing similar size/type contracts and/or projects. The PM shall have experience in planning, setting deadlines, assigning responsibilities, leading and directing the work to others, and monitoring Project completion, as well as allocating people and resource where necessary.

(c) Team Leads:

(1) The Contractor’s Team Leads is defined as the persons who are responsible for overseeing individuals assigned. The Contractor’s Team Lead is responsible for providing back-up support when the PM is unavailable. The Contractor Team Lead provides oversight, training, and provide support during escalation process. The Contractor’s Team Lead must meet the minimum qualifications as listed in paragraph (c)(2) below.

(2) The Contractor’s Team Leads must have demonstrated the ability to effectively manage and oversee day-to-day contract operations. Responsibilities includes, but are not limited to, delegating and monitoring work assignments, problem solving, providing staff training and professional development, and ensuring clear and timely communication among team members, the Contractor and Government management. The USPTO’s minimum qualifications for these positions include the following:

• A minimum of five (5) years of experience managing similar size/type contracts and/or projects including leading personnel to ensure successful contract execution.

(d) The Contractor shall identify key position personnel in their proposal. During the first ninety

(90) days of performance, the Contractor shall make no substitutions of key personnel unless the

Form # USPTO-OP-022 (08/2020) Page 21 of 23 substitution is necessitated by illness, death, or termination of employment. The Contractor shall notify the Contracting Officer within fifteen (15) calendar days after the occurrence of any of these events and provide the information required by paragraph (c) below. After the initial 90-day period, the Contractor shall submit the information required by paragraph (c) to the Contracting Officer at least fifteen (15) calendar days prior to making any permanent substitutions.

(e) The Contractor shall provide a detailed explanation of the circumstances necessitating the proposed substitutions, complete resumes for the proposed substitutes, and any additional information requested by the CO. Proposed substitutes should have comparable qualifications to those of the persons being replaced. The CO will notify the Contractor within fifteen (15) calendar days after receipt of all required information of the decision on substitutions. If a proposed substitution is determined not acceptable, the Contractor will propose another substitution within fifteen (15) calendar days after receiving the CO’s decision.

16.2 Skills Required to Perform this Task

(a) Overarching qualifications required for the subject matter expert includes, but are not limited to the following:

15.2.1 Knowledge of contact centers core functions, duties and responsibilities

15.2.2 Knowledge of and experience in utilization of Customer Relationship Management (CRM) systems

15.2.3 Ability to effectively communicate in efforts to provide expert technical support, troubleshooting and issue resolution to a diverse community of users

15.2.4 Knowledge of core computer proficiency

15.2.5 Knowledge with operating systems, such as Windows, Chrome, etc.

15.2.6 Knowledge of diagnosing, replicating and resolving technical issues

15.2.7 Knowledge of troubleshooting of computer functions, peripherals, and connectivity

15.2.8 Ability to navigate multiple systems, applications and platforms

15.2.9 Knowledge of testing systems and features before deployment

15.2.10 Knowledge of digital literacy

16.3. Hours of Operations

(a) Normal hours of operations are Monday through Friday (except federal holidays) as shown in the chart below:

EBC Support (Patents) 9:00 AM to 8:00 PM, ET Trademark Support 9:00 AM to 5:00 PM, ET

(b) In support of the Optional Surge Support CLIN, the Government will establish the hours of operation later during the performance of this contract as mission requirements arise. However, the Contractor may be required to provide support outside of normal operating hours.

Form # USPTO-OP-022 (08/2020) Page 22 of 23

(c) The Contractor must submit requests to the COR to obtain badges and remote access to USPTO systems for support staff. Remote access requests shall be submitted in the format directed by the COR.

16.4 Government Holidays

(a) The following legal holidays are observed by the USPTO. Holidays falling on Saturday are observed on the Friday preceding the holiday while those holidays falling on Sundays are observed on the Monday following the holiday.

New Year’s Day January 1 Martin Luther King’s Birthday Third Monday in January President’s Day Third Monday in February Memorial Day Last Monday in May Juneteenth June 19 Independence Day July 4 Labor Day First Monday in September Columbus Day Second Monday in October Veteran’s Day November 11 Thanksgiving Day Fourth Thursday in November Inauguration Day As Applicable every 4th year Any other day Designated by Federal Statue, Executive Order, or Presidential Proclamation

(b). The USPTO’s observed federal holidays are found and updated on the OPM website.

16.5 Government Furnished Equipment

(a) The Government will provide the equipment, supplies, and services specified as Government Furnished Property (GFP) in this contract. Government property shall be used only in the performance of the functions and tasks required in this contract. The Contractor is expected to utilize provided USPTO workstations throughout the performance of this order. The following will be provided:

• Desktops or Portable Laptops (issued at the discretion of the government)

• Monitor(s); as determined by the COR and Government POC(s)

• Headset

• Access to appropriate USPTO personnel and program documentation as required;

• Access to remote log‐in via secure facilities;

• USPTO will provide PTONet accounts, key fobs and Secure External Access System

• Access to relevant information detailed in this solicitation.

• PIV Card

• RSA SecurID Soft Token (RST)

(b) The Contractor personnel shall be subjected to all USPTO rules and regulations. The Contractor shall be responsible for costs associated with loss and/or replacement of mishandled

Form # USPTO-OP-022 (08/2020) Page 23 of 23 property. The Contractor shall exercise due diligence in the use, storage and protection of materials provided by the Government, and shall assure that these items are returned to the COR prior to departure under this requirement.

(c) Contractors performing under this contract must have a PIV card to log-in to the USPTO network. In the event the issuance of the PIV card is delayed after background clearance and sponsorship, the Contractor…