Final SOW.pdf

STATEMENT OF WORK

1.0 General

1.1 Background

(a) The United States Patent and Trademark Office (USPTO) is headquartered in Alexandria, Virginia, and has over 13,000 employees who are dedicated to accomplishing the USPTO’s mission, vision, strategic goals, and guiding principles. Within the USPTO, the Office of Patent Examination Policy establishes patent examination and documentation policy standards for the Commissioner of Patents. The Office also develops new rules, practices, and procedures; reviews and revises the Manual of Patent Examining Procedures; and trains examiners on legal issues.

The Office of Patent Examination Policy is made up of three (3) divisions: Office of Petitions, Office of Patent Legal Administration, and Manual of Patent Examining Procedure (MPEP) Staff.

(b) The Office of Patent Legal Administration (OPLA) drafts regulations and develops practices for the examination of patent applications, as well as assisting in the implementation of these new regulations and practices. OPLA's staff drafts, reviews, and revises regulatory notices that are published in the Federal Register, Official Gazette, or both, monitors public comments, and formulates Frequently Asked Questions (FAQs). To reflect changes in law, rules, procedures, and policies, OPLA recommends updates to the Manual of Patent Examining Procedure (MPEP) as well as the forms used by the Patent Examining Corps (Corps) and external customers. OPLA, also, prepares and delivers training to the Patent Corps.

(c) OPLA involves working with complex and specialized areas of patent law. As a result, OPLA requires patent legal subject matter experts to advise and assist on matters related to the drafting of regulations and developing policies for examination of patent applications through the implementation of new regulations and practices.

2.0 Objective

The objective is to procure professional, experienced patent legal advisory support to the Office of Patent Legal Administration (OPLA).

3.0 Scope of Work

(a) The Contractor shall provide support services to assist OPLA with patent policy examination support. The Contractor personnel shall have expertise and experience in the administration of patent law through the review, analysis, and dissemination of patent examination policy used to issue patents for inventions in the various arts.

3.1 Requirements

3.1.1 Policy Advisory and Assistance Support

(a) The Contractor’s personnel shall provide a Program Manager and Subject Matter Experts (SME’s) to assist in reviewing current USPTO policy, suggesting areas of policy that should be considered for revision, and developing the USPTO’s Office of Patent Legal Administration policy and guidance. The Contractor’s personnel shall assist in establishing patent examination and documentation policy standards. This includes helping to develop new rules, practices, and procedures and document patent application submission standards. The Contractor’s personnel shall also provide support in the evaluation of all aspects of the patent application handling process available prior to examination, during examination, and after close of prosecution.

(b) The Contractor’s personnel shall possess a working knowledge and understanding of the USPTO’s Patents polies and the rules and regulations for prosecuting reissue applications and reexamination proceedings and strong communication skills. All communication is considered to be privileged and sensitive.

(c) In addition to 3.1.1(a) and 3.1.1(b), the Contractor's personnel duties shall include the following:

• Assist in the development and implementation of laws such as done for the America Invents Act (AIA) and help formulate accompanying rules.

• Research and draft memoranda of law on issues relating to the implementation of new regulations and practices related to patent policy upon requests.

• Recommend suggested changes as a result of altered patents rules and procedures.

• Review and recommend revisions to the Manual of Patent Examining

Procedures (MPEP) as well as assist in developing other user or procedure manuals and training materials related to patent policy.

• Assist in coordinating or developing training or sessions to communicate changes in patent policy to USPTO personnel, patent applicants, and patent practitioners.

• Work with USPTO legal advisors as liaisons to affected Technology Centers and business areas to address legal inquiries and collaborate on practice changes resulting from rule changes, court decisions, and unusual or change circumstances.

• Assist in managing updates to forms used by patent examiners and members of the public to reflect changes made in guidance and policy.

• Assist in the development and deliverance of training materials to the examiners and public to aid in understanding how to apply new laws and policies as well as how to implement new procedures.

• Research legal questions, such as those with issues of first impression and/or complex factual issues, that arise from inquiries from the public or within USPTO analysis, evaluate options and potential outcomes, which may result from differing options.

Communicate results to stakeholders.

• Participate in projects, as required, ensuring timely milestones and the completion of overall projects within the specified deadlines imposed by OPLA.

• Draft petition decisions which address factual situations and/or legal questions of first impression that will require the USPTO to establish new policy that may be litigated by the practitioner.

• Assist in the preparation of decisions on Pre-Grant petitions concerning Pre-Grant Publication.

• Provide on campus lectures via video, teleconference, or live as well as provide associated lecture material to audiences having patent examination backgrounds on an as required basis.

• Review and provide comments on operational protocols, including processes and procedures, governance, reporting, documentation, and audit process, as required.

• Provide advice to OPLA on potential disputes arising from Pre-Grant petitions and patents related agreements.

• Complete any mandatory on campus USPTO training via web-ex, in person, etc. within the designated work hours under this requirement at no additional cost to the Government. Report completion to the COR/Government POC via email.

(d) The Contractor shall notify the Contracting Officer Representative (COR) of one (1) main Contractor representative or point of contact (POC) to handle all communication upon award via email within two business (2) days after receipt of contract award. The Contractor POC may be the designated Program Manager.

(e) The Program Manager shall manage daily operations of the contract. The Contractor’s Program Manager shall ensure the smooth functioning of the services required under the contract which includes planning, executing, and controlling projects as indicated within this requirement. The Program Manager shall act as the corporate representative with authority to make commitments on behalf of the company in all administrative and technical matters related to this contract. The Program Manager shall be responsible for the supervision and direction of all company personnel assigned to this contract. The Program Manager shall be available for day-to-day requests from the COR or Alternate COR. If the Program Manager is out of the office for more than a week, the Contractor shall notify the COR / ACOR /Government POC with an alternate designated, acting Program Manager.

4.0 Deliverables

(a) The Contractor shall provide monthly status reports by the seventh business day of the month detailing activities, tasks, or projects completed or outstanding during the month, number of hours worked per task, dates of performance, or any other pertinent information as determined by the COR. The content of the report is subject to revision as needed to meet mission requirements.

(b) Deliverables and the associated schedule are below. All deliverables shall be submitted electronically by email to the COR along with the Government Point of Contact (POC) compatible with Microsoft Office (MS) 2021 (or new versions) and are subject to the Government’s review and approval. All deliverables shall comply with Section 508 of the Rehabilitation Act of 1973 (29 U.S.C § 794 (d).)

(c) If a deliverable is found to be unacceptable, the Government will notify the Contractor in writing or by email of the non-acceptance accompanied by a detailed explanation of the non-acceptance of the deliverable. The Contractor shall have ten (10) business days to correct or arrive at an acceptable solution with the Government POC with communication to the COR.

Deliverable SOW Section Due Date Recipient/Format

1 Kick-off Meeting 12(a) 10 business days after award.

Contracting Officer, Contract Specialist, COR, and Government POC via MS Teams.

2 Kickoff Meeting Minutes

12(a) Due two (2) business days after the Kickoff Meeting is held.

Contracting Officer, Contract Specialist, COR, and Government POC via email.

3 Periodic Meeting 12(b) As needed. With the COR and/or Government POC via MS Teams.

4 Patent Policy 3.1.1(a) – (c) Upon the Contract’s Government POC for

Examination Support start through the Contract’s end date.

OPLA

5 Contractor’s POC 3.1.1(d) Provide Contractor’s main POC by day of award.

COR: Via email

6 Monthly Status Reports 4(a) Due the seventh business day of the month.

COR and/or designated Government Point of Contact in Microsoft Suite format.

7 Mandatory Training 3.1.1 As Required. COR and/or Government POC:

Report completion of mandatory training via email.

5.0 Surveillance Process

Adequate Government surveillance of Contractor performance will be conducted by the COR and Government POC for the Base and if exercised, all Options including optional quantities. To ensure efficient methods and effective cost controls are being used, the COR and the Government POC will employ a surveillance approach that includes:

Surveillance Activity

Frequency/ Schedule

Description

Monthly and ad hoc reports Monthly/ As required

100% inspection of every report conducted by the Government POC with recommendation of acceptance or rejection to the COR. If rejected, the Contractor shall have ten (10) business days to correct or arrive at an acceptable solution with the Government POC with communication to the COR.

Periodic meeting As needed Mandatory attendance and participation of Contractor personnel. The Government POC will observe Contractor performance and solicit feedback from project stakeholders.

Deliverable quality reviews:

• Updating and revisions to the Manual of Patent Examining Procedures (MPEP) and other procedure manuals.

• Drafting of petition decisions.

• Researching and drafting memoranda of law.

In accordance with (IAW) the Project

Schedule

100% inspection of deliverables conducted by the Government POC and other designated Government personnel. Metrics include quality, timeliness, and conformance to requirements of submitted deliverables.

Work with USPTO legal advisors as liaisons for affected Technology Centers and Business Areas.

As Needed The Government POC will collect feedback from project stakeholders regarding the Contractor’s responsiveness to emails, phone calls, timeliness, and quality of deliverables.

Responsiveness to Training and Lecture feedback such as patent policy.

As Needed The Government POC will collect feedback from project stakeholders regarding the Contractor’s responsiveness and the effectiveness of training sessions, lectures, training, and lecture material.

Invoices Monthly 100% inspection of invoices. Invoices submitted IAW PTO-37 and requirements in SOW Billing Section 9.

6.0 Period of Performance

Base Period: July 1, 2025 – June 30, 2026 Option Period 1: July 1, 2026 – June 30, 2027 Option Period 2: July 1, 2027 – June 30, 2028 Option Period 3: July 1, 2028 – June 30, 2029 Option Period 4: July 1, 2029 – June 30, 2030

7.0 Government Holidays

(a) The following legal holidays are observed by this Government agency. Holidays falling on Saturdays are observed on the Friday preceding the holiday, while those holidays falling on Sundays are observed on the Monday following the holiday.

Government Holiday Date New Year’s Day January 1 Birthday of Martin Luther King, Jr. Third Monday in January Washington’s Birthday Third Monday in February Memorial Day Last Monday in May Juneteenth National Independence Day

June 19

Independence Day July 4 Labor Day First Monday in September

Columbus Day Second Monday in October Veterans Day November 11 Thanksgiving Day Fourth Thursday in November Christmas Day December 25 *Any other day designed by Federal Statue, Executive Order or Presidential Proclamation

(b) The Contractor shall comply with the aforementioned Government holidays and any other day designated by Federal Statute, Executive Order, or Presidential proclamation; therefore, the Government offices are closed to the Contractor’s staff on the day(s) these holidays are observed. In addition, on-site work shall not be required of the Contractor when Federal employees are released from work early due to inclement weather conditions or emergencies or when Federal offices are closed due to inclement weather conditions or emergencies (status available at http://www.opm.gov/status/). The COR will notify the Contractor when early release of Federal employees has been authorized.

8.0 Place of Performance

The primary place of performance shall take place onsite at the following address:

United States Patent and Trademark Office Office of Patent Legal Administration 600 Dulany Street Madison West, Rm #TBD Alexandria, VA 22314

(a) The primary place of performance is expected to be onsite. However, the Contractor may perform all functions and requirements outlined in this requirement at an alternative worksite with COR approval, and will be considered on a case-by-case basis. An alternative work site can be a single corporate facility or a Contractor employee’s approved site (i.e. home office). See Section 14.0 “Alternate Work Site”. Information Technology (IT) Security Rules of the Road apply (Attachment 1).

No travel is required as part of this requirement. Any lectures and training shall be performed via Microsoft Teams, video, or live on the USPTO campus.

9.0 Billing Hours

(a) The Contractor shall only invoice for hours expended on required deliverables. The Contractor shall submit along with the monthly invoice a summary of hours expended and projects supported. See Clause PTO-37 for additional invoice requirements.

(b) The Contractor’s proposed labor rates for each labor category shall be fully burdened. A fully burdened rate is inclusive of: wages, overhead, general and administrative expenses, and profit for each category of labor.

(c) No overtime is authorized.

10.0 Contract Administration

http://www.opm.gov/status/)

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

The Contracting Officer’s Representative (COR) for this award is:

COR: TBD

Phone number: TBD E-mail: TBD

The Government POC will be appointed at the Kickoff Meeting.

(b) The COR may be changed at any time by the Government without prior notice to the Contractor, but notification of the change, including the name of the successor COR, will be promptly provided to the Contractor by the Contracting Officer in writing. The notification will be accomplished through a unilateral modification.

11.0 Key Personnel

(a) The Contractor’s Program Manager 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 (c) below.

The Contractor’s Program Manager is the only employee who will be considered to be Key Personnel.

(b) The Program Manager shall possess in-depth knowledge of day-to-day operations, contract requirements, and workflow processes. The Contractor’s Program Manager (PM) shall ensure that Contractor employees possess adequate qualifications and proficiencies at no additional cost to the Government. The Contractor’s Program Manager shall periodically monitor daily throughput of the Contractor’s work and will notify the COR/ ACOR/ Government POC of problems and concerns as soon as practical.

Contractor employees selected as Subject Matter Experts (SME) shall possess adequate qualifications and proficiencies. These Patent legal SME’s shall be capable of advising and assisting on matters related to the regulations and policies for examination of patent applications. The Patent Legal SME’s shall be:

• Capable of drafting new patent examining regulations and practices.

• Experts on the Manual of Patent Examining Procedures (MPEP).

• Capable of drafting petition decisions.

• Capable of researching and drafting memoranda of law.

• Capable of developing training materials and present lectures on Patent Legal topics such as patent policy.

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

(1)At least ten (10) year’s experience efficiently managing similar size/type contracts and/or projects.

The Program Manager shall have experience in planning, setting deadlines, assigning responsibilities, leading and directing the work, and monitoring project completion, as well as allocating people and resources where necessary. A bachelor’s degree shall offset four (4) years of experience. A master’s degree shall offset six (6) years of experience.

mailto:Stacy.Berger@uspto.gov

(d) Upon Contractor awareness of a change or a pending change of the Program Manager, the Contractor shall notify the CO within five (5) business days of the change.

(e) The Contractor shall provide a detailed explanation of the circumstances necessitating the proposed substitution, complete resumes for the proposed substitutes, and any additional information requested by the Contracting Officer. Proposed substitutes shall have comparable qualifications to those of the person being replaced. The Contracting Officer will notify the Contractor within fifteen (15) calendar days after receipt of all required information of any substitution decision. The contract will be modified to reflect any approved changes of the Program Manager.

12.0 Meetings

(a) The Contractor shall attend a kick-off meeting with the CO, COR, and/or Government POC not later than ten (10) business days after date of award. The purpose of the kick-off meeting, which will be chaired by the COR, is to discuss technical and contracting objectives of this statement of work and address any concerns. The COR identifies actions, who closes out the actions, and the estimated date for closeout of actions. 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 COR, CO, and other Government personnel, as appropriate, may meet periodically with the Contractor to review the Contractor's personnel performance and discuss any problems or concerns, if any, being experienced by the Contractor.

(c) The Contractor shall be required to attend other meetings as required.

(d) The meetings addressed above (a) through (c) will be held at the Government’s facility and will be at no additional cost to the Government. The Contractor shall attend meetings as scheduled in person, via phone, or MS Teams by the COR or other designated USPTO official personnel.

13.0 Government Furnished Equipment/Space

(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 task required in this contract. The following may be provided:

Universal Laptops (issued at the discretion of the Government)

(b) Local: The Contractor shall work locally on Government equipment and will be provided a laptop for remote access.

(c) The Government will provide the equipment and services to give network access to systems supported under the SOW and to Contractor staff requiring access to the USPTO network.

(d) The Contractor personnel shall be subject to all USPTO rules and regulations.

14.0 Alternate (telework) Work Site

(a) An Alternate Work Site must be approved by the COR. The Contractor shall be responsible for any costs/expenses associated in making its staff alternate worksite ready. The Contractor’s staff must have a signed Alternate Work Site Agreement. See Attachment B “Alternate Worksite Agreement”. The alternate worksite agreement must be provided to the COR within ten (10) business days after receipt.

(b) The Contractor shall establish duty hours and policies for Contractor Personnel that shall ensure all services specified within the contract are provided.

(c) In the event of early dismal, late arrival, inclement weather or any unforeseen event or act and USPTO is provided the option to telework, any on-site Contractor Personnel may be requested to work episodic or situational telework. In such a case, the Contractor will be notified by the COR. Contractor personnel shall be subject to all USPTO telework rules and regulations.

(d) Any Contractor Personnel that is alternate worksite ready is required to work during Agency closures or late arrival for events such as inclement weather.

(e) The Contractor’s employees shall complete annual IT Security Training and follow the USPTO Rules of the Road when using USPTO automation resources.

15.0 Personal Identify Verification (PIV) Card Usage

(a) Contractor Employees performing under this contract must have a PIV card to log-in to the USPTO network. A temporary username/password credentials will be granted until a PIV card is issued. The Contractor’s employees must come to USPTO Headquarters to pick up PIV cards. The USPTO will not pay direct travel/transportation costs to a USPTO location for PIV card issuance, re-issuance, PIN changes, or reset of a PIV card.

(b) Additional information Homeland Security Presidential Directive 12 (HSPD-12)/Personal Identification Verification (PIV) badge policy can be found in Attachment C.