Request for Proposals No. 1333BJ20R00151004.pdf

SOLICITATION, OFFER, AND AWARD 1. THIS CONTRACT IS A RATED ORDER UNDER DPAS

(15 CFR 700)

RATING

2. CONTRACT NUMBER 3. SOLICITATION NUMBER

1333BJ20R00151004 SEALED BID (IFB)

X NEGOTIATED (RFP)

4. TYPE OF SOLICITATION 5. DATE ISSUED

06/26/2020

6. REQUISITION/PURCHASE NUMBER

150P2001120

CODE 1333BJ

Office of Procurement US Patent and Trademark Office PO Box 1450-Mail Stop 6 600 Dulany St.,MDE, 7th Floor

ALEXANDRIA, VA 22313-1450

7. ISSUED BY 8. ADDRESS OFFER TO (If other than Item 7)

NOTE: In sealed bid solicitations "offer" and "offeror" mean "bid" and "bidder".

SOLICITATION

12:00:00 p.m. 08/10/2020 (Hour) (Date)

CAUTION - LATE Submissions, Modifications, and Withdrawals: See Section L, Provision No. 52.214-7 or 52.215-1. All offers are subject to all terms and conditions contained in this solicitation.

9. Sealed offers in original and ____________ copies for furnishing the supplies or services in the Schedule will be received at the place specified in item 8, or if handcarried, in the depository located in ______________________________________________________ until ________________ local time _________________

10. FOR

INFORMATION

CALL:

A. NAME

Mark Motta, Contract Specialist AREA CODE

NUMBER

270-0828

EXT.

B. TELEPHONE (NO COLLECT CALLS) C. E-MAIL ADDRESS

mark.motta@uspto.gov

11. TABLE OF CONTENTS

(X) SEC. DESCRIPTION PAGE(S) (X) SEC. DESCRIPTION PAGE(S)

PART I - SCHEDULE PART II - CONTRACT CLAUSES

X A SOLICITATION/CONTRACT FORM 1 X I CONTRACT CLAUSES 77-87

X B SUPPLIES OR SERVICES AND PRICES/COSTS 4-5 PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACH

X C DESCRIPTION/SPECS./WORK STATEMENT 6-50 X J LIST OF ATTACHMENTS 88-101

X D PACKAGING AND MARKING 51 PART IV - REPRESENTATIONS AND INSTRUCTIONS

X E INSPECTION AND ACCEPTANCE 52-55

X K REPRESENTATIONS CERTIFICATIONS AND OTHER

STATEMENTS OF OFFERORS

102-114

X F DELIVERIES OR PERFORMANCE 56-60

X L INSTRS., CONDS., AND NOTICES TO OFFERORS 115-122X G CONTRACT ADMINISTRATION DATA 61-64

X M EVALUATION FACTORS FOR AWARD 123-128X H SPECIAL CONTRACT REQUIREMENTS 65-76

OFFER (Must be fully completed by offeror)

NOTE: Item 12 does not apply if the solicitation includes the provisions at 52.214-16, Minimum Bid Acceptance Period.

In compliance with the above, the undersigned agrees, if this offer is accepted within _______________________ calendar days (60 calendar days unless a different period is inserted by the offeror) from the date for receipt of offers specified above, to furnish any or all items upon which prices are offered at the price set opposite each item, delivered at the designated point(s), within the time specified in the schedule.

12.

13. DISCOUNT FOR PROMPT PAYMENT (See Section 1, Clause No. 52.232-8)

10 CALENDAR DAYS(%)

0.00 %

20 CALENDAR DAYS(%)

0.00 %

30 CALENDAR DAYS(%)

0.00 %

CALENDAR DAYS

NUMBER

PERCENTAGE

0.00

14. ACKNOWLEDGEMENT OF AMENDMENTS (The offeror acknowledges receipt of amendments to the SOLICITATION for offerors and related documents numbered and dated):

AMENDMENT NO. DATE AMENDMENT NO. DATE

15A. NAME AND

ADDRESS OF

OFFEROR

CODE FACILITY 16. NAME AND TITLE OF PERSON AUTHORIZED TO SIGN

OFFER (Type or Print)

15B. TELEPHONE NUMBER

AREA CODE NUMBER EXT.

15C. CHECK IF REMITTANCE ADDRESS IS

DIFFERENT FROM ABOVE - ENTER SUCH

ADDRESS IN SCHEDULE.

17. SIGNATURE 18. OFFER DATE

AWARD (To be completed by Government)

19. ACCEPTED AS TO ITEMS NUMBERED 20. AMOUNT 21. ACCOUNTING AND APPROPRIATION

10 U.S.C. 2304(c) ( ) 41 U.S.C. 253(c) ( )

22. AUTHORITY FOR USING OTHER THAN FULL AND OPEN COMPETITION: 23. SUBMIT INVOICES TO ADDRESS SHOWN IN (4 copies unless otherwise specified)

ITEM

CODE24. ADMINISTERED BY (if other than Item 7) CODE 1333BJ

OFFICE OF FINANCE

US Patent and Trademark Office Office of Finance - Box 17 Washington, DC 20231

25. PAYMENT WILL BE MADE BY

26. NAME OF CONTRACTING OFFICER (Type or print)

(Signature of Contracting Officer)

27. UNITED STATES OF AMERICA 28. DATE

IMPORTANT - Award will be made on this Form, or on Standard Form 26, or by other authorized official written notice.

AUTHORIZED FOR LOCAL REPRODUCTION

Previous edition is unusable

STANDARD FORM 33 (REV. 9-97)

Prescribed by GSA - FAR (48 CFR) 53.214(c)

(noon)

United States Patent and Trademark Office

PATENT DATA and DOCUMENT MANAGEMENT

Request for Proposals (RFP)

1333BJ20R00151004

06/26/2020

TABLE OF CONTENTS

SECTION A – SOLICITATION/CONTRACT FORM……………………………………………………………………………………1

SECTION B – SERVICES and PRICE/COSTS…………………………………………………………………………………………….4

SECTION C – STATEMENT OF WORK……………………………………………………………………………………………………6

SECTION D – PACKAGING AND MARKING………………………………………………………………………………………….51

SECTION E – INSPECTION AND ACCEPTANCE…………………………………………………………………………………….52

SECTION F – DELIVERIES/PERFORMANCE………………………………………………………………………………………….56

SECTION G – CONTRACT ADMINISTRATION DATA…………………………………………………………………………….61

SECTION H – SPECIAL CONTRACT REQUIREMENTS……………………………………………………………………………65

SECTION I – CONTRACT CLAUSES………………………………………………………………………………………………………77

SECTION J – LIST OF ATTACHMENTS………………………………………………………………………………………………….88

SECTION K – REPRESENTATIONS, CERTIFICATIONS, AND OTHER STATEMENTS OF OFFERORS…………102

SECTION L – INSTRUCTIONS, CONDITIONS, AND NOTICES TO OFFERORS………………………………………..115

SECTION M – EVALUATION FACTORS FOR AWARD………………………………………………………………………….123

ATTACHMENTS…………………………………………………………………………………………………….Uploaded Separately

SECTION B – SERVICES and PRICE/COSTS

B.1 GENERAL

The United States Patent and Trademark Office (USPTO) Patent Data and Document Management (PDDM) contract is a firm-fixed-price contract for the indexing and scanning of all paper filed documents, the quality review of all electronically filed documents—that collectively form the official electronic file wrapper—, and the patent data capture and composition of patent applications for publication and patent grant issuance.

The scope of work under this RFP is described in Section C – Statement of Work.

The North American Industry Classification System (NAICS) code associated with this contract is 511199 – All Other Publishers.

B.2 PERIODS OF PERFORMANCE AND VOLUME ESTIMATES

Contract Line Item Numbers with volume estimates are included in Attachment 40 – Pricing Template for the following Periods of Performance:

Base Year 2/1/2021 – 1/31/2022

Option Year 1 2/1/2022 – 1/31/2023

Option Year 2 2/1/2023 – 1/31/2024

Option Year 3 2/1/2024 – 1/31/2025

Option Year 4 2/1/2025 – 1/31/2026

Option Year 5 2/1/2026 – 1/31/2027

Option Year 6 2/1/2027 – 1/31/2028

Option Year 7 2/1/2028 – 1/31/2029

Option Year 8 2/1/2029 – 1/31/2030

Option Year 9 2/1/2030 – 1/31/2031

Offerors shall provide a fixed unit price for each CLIN listed in Attachment 40 – Pricing Template for the base year and all option years in the Offeror’s business proposal. Proposed fixed unit prices shall be fully burdened.

B.3 CONTRACT TYPE AND STRUCTURE

The USPTO may award up to two firm-fixed-price stand-alone contracts from this RFP.1 If the USPTO makes only one award, the contractor must perform 100% of the volumes. The Pricing Template, Attachment 40, identifies the separate volume percentages by unit pricing tiers. The unit pricing tiers are 25%, 45%, 65% and 100%. The contractor assigned volume percentage may be any percentage above 25% but is subject to the corresponding unit pricing tier. For example, if a contractor is assigned 30% of the volumes, the USPTO will apply the 25% unit pricing. If a contractor is assigned 50% of the volumes, the USPTO will apply the 45% unit pricing.

If two awards are made, before each option year, the USPTO will notify the contractors, consistent with any contract notice requirements, of the assigned percentage of volumes for that forthcoming option year. As shown in the Pricing Template, the percentages of volumes will be assigned via the exercise of optional CLINs. The USPTO may unilaterally

1 The USPTO reserves the right to make less than two awards if deemed in the USPTO’s best interest to do so. For example, the USPTO may determine the price premium is too high to make two awards.

exercise these optional CLINs throughout the life of the contract in accordance with Optional CLIN and Task Clause in RFP Section H.2. Therefore, contractor workloads may vary (i.e., move up or down) or stay the same for each period of the contract. The USPTO will strive to notify the contractors of their assigned volume percentage as early as possible before the subsequent option year. The USPTO does not anticipate assigned volume percentages to vary significantly from year-to-year, i.e., the USPTO anticipates incremental moves upward or downward.

Contractor(s) must first satisfy start-up and transition requirements as described throughout the RFP before they can begin working on volumes.

Contractor(s) will utilize CLINs 0006A and 0007A from the time of award until an Authority to Operate (ATO) is obtained and other start-up requirements are met. Once the contractor has obtained ATO and successfully processed test batches, the USPTO will assign equal to or above 25% of the volumes to each contractor. However, the USPTO reserves the right to exercise the options for any quantity of volumes, up to and including 100% of volumes, for a contractor in the event the other contractor is not able to obtain ATO or successfully test batches, or if a contractor loses ATO during the performance of the contract.

B.4 HISTORICAL PRODUCTION VOLUMES

Historical volumes are provided for informational purposes and do not constitute a commitment from USPTO that these will be actual volumes and sizes in the future. All historical volume information is provided in Attachment 4, entitled Crosswalk of CLINS to SOW and Historical Volumes and as well as in Attachments 5a—5d, located in Section J.

B.5 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, the Contractor may submit a proposal to reduce its contract volume pricing. The USPTO will review the proposal for price reasonableness and may request supporting documentation, if appropriate. If the USPTO determines that the proposed reduced pricing is reasonable, 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 90 days before the expiration of the current period of contract performance, as applicable.

SECTION C – STATEMENT OF WORK

C.1 OBJECTIVE

The objective of this contract is to provide the United States Patent and Trademark Office (USPTO) and its customers with indexing and scanning of all paper documents filed and quality review of electronically filed documents that collectively form the official electronic file wrapper and to provide patent data capture and composition of patent applications for publication and patent grant issuance.

A complete understanding of the Patent Data Capture requirements can only be achieved by thoroughly reviewing this Statement of Work (SOW) as well as all references and attachments provided in Section J. In addition, Section J includes a Glossary providing a comprehensive list of terms and their definitions as they relate to this requirement.

The Contractor shall perform conversion and composition of patent application data received from various sources. The USPTO meets the statutory requirements of publishing patent applications and granting issued patents using the composed patent application data. Patent application data is reviewed during conversion and composition to ensure compliance with applicable statutes, quality standards and rules as described in accordance with the Technical References attached in Section J.

The USPTO is currently enhancing and developing information technology (IT) replacement tools to be used by all stakeholders throughout the patent filing, publication, examination and grant process. Once fully deployed, the USPTO’s “Patents End-to-End” (PE2E) system will move the USPTO away from image based filing and examination (PDF and TIFF format) and leverage data, text, information and technology by providing stakeholders with improved patent application processing, higher quality data, and integration of processes currently managed across multiple separate systems.

A prime example of a PE2E project that could impact the requirements under this contract would include the proposed changes in the web based Electronic Filing System (EFS Web). Currently applicants submit applications and follow-on papers in .pdf format through EFS Web by attaching them as part of their submission. Ninety-Eight percent (98%) of all patent applications are currently filed electronically in this PDF format. With the move to PE2E, the new patent application filing program, called Patent Center, will allow patent filing, ingest, routing, display, and retrieval of applicant Patent Application submissions in a structured text file format. Patent Center phase 1 was piloted in FY 2017, and the full Patent Center functionality is expected FY 2020. These changes will impact Front End Processing (FEP), specifically Quality Control (QC), customer support and the data capture process for both Pre-Grant Publication and Patent Grant because the applicant supplied text will be of higher quality, modifications to the file content will be captured in text format during the examination process, and the applicant will have access to the text file during prosecution and be allowed to review and update the file as needed, again, all in text format. This will potentially make obsolete the need for rescanning and compilation of information by the Contractor.

Programmatic changes are anticipated over the life of this contract and detailed requirements, including any changes to patent data capture, changes to IT standards, and changes to USPTO policy. Specific timing of the changes are not known at this time. As such, this contract is subject to change during the proposed lifecycle of this contract, including potential de-scoping of work (removal of CLINs and/or reduction in CLIN quantities), based on changing Government requirements. The USPTO will endeavor to maintain open communications with the contractor, to allow for as much time as possible as changes in automation are contemplated. The USPTO will negotiate mutually agreed and reasonable time for implementation of changes as a result of automation. The USPTO will work with the Contractor to allow ample time for testing prior to implementation.

Unless otherwise stipulated, the Contractor must provide all personnel, equipment and space to fulfill the requirements of the contract.

C.2 BACKGROUND

The USPTO is responsible for granting U.S. patents and registering trademarks. In doing this, the USPTO fulfills the mandate of Article I, Section 8, Clause 8, of the Constitution "To promote the Progress of Science and useful Arts, by securing for limited Times to Authors and Inventors the exclusive Right to their respective Writings and Discoveries."

The USPTO publishes pending utility and plant patent applications as mandated in 37 CFR 1.211, 18-months after the earliest effective filing date unless the application has been patented or abandoned, or a request not to publish has been filed. The USPTO first started publishing patent applications in 2001. Through December 2019, the USPTO has published in excess of 5,800,000 patent applications. Applications are posted on the USPTO website each Thursday satisfying the requirement to publish.

The USPTO issues patent grants as mandated in 37 CFR 1.314 for applications that have completed the examination process and have been determined to contain patentable subject matter. Granted Patents are issued weekly and published in the Official Gazette for Patents. The USPTO issued patent number 10,000,000 on June 19, 2018 and through December 2019, the USPTO has issued in excess of 10,520,000 patents.

To view published applications and issued Patents, visit https://www.uspto.gov/patents-application-process/search-patents.

The USPTO issues approved corrections to patent grants through the Certificates of Correction (C of C) process. The USPTO issues approved corrections to patent grants as mandated in 37 CFR 1.322 and 1.323 each week. For additional information related to Certificates of Correction, visit https://www.uspto.gov/patents-application-process/patent-search/authority-files/certificates-correction.

The USPTO processes and maintains all records associated with patent applications in an electronic environment also referred to as the official electronic file wrapper in a Tagged Image File Format (TIFF). Approximately 98% of all newly filed Patent Applications and 92% of papers received after the initial filling of the application, also referred to as follow-on documents, are received via EFS Web and are automatically ingested into the official electronic file wrapper. The 2% of newly filed applications and 8% of follow-on components filed in paper must be scanned into the official electronic file wrapper.

The Office of Data Management (ODM), within the Office of Patent Information Management (OPIM), is responsible for managing multiple mission critical activities to support the patent examination process. ODM oversight and control consists of the following:

• Front-End-Processing (FEP)

• Pre-Grant Publication (PG-Pub)

• Post Allowance

• Post Issuance

Each of these specific areas and Contractor responsibilities are detailed within this SOW. The Contractor shall provide deliverables to the USPTO that are uniform, ready for publication and comply with the SOW requirements and in accordance with attachments provided in Section J. The schedule for providing each of the deliverables is provided in the Production Schedules found in Section F. All delivery dates are expressed in terms of Prior Workdays (PWD). PWD is defined by the number of workdays before publication Thursday (PG-Pub) or issue Tuesday (Grants). Publication Thursday and issue Tuesday are expressed as PWD one (1).

https://www.uspto.gov/patents-application-process/search-patents https://www.uspto.gov/patents-application-process/search-patents https://www.uspto.gov/patents-application-process/patent-search/authority-files/certificates-correction https://www.uspto.gov/patents-application-process/patent-search/authority-files/certificates-correction

The documents provided in Section J as attachments, expound upon processes, procedures, and quality standards for the requirements under this contract. The documents provided contain the most recent instructions. The documents will be updated to reflect changes to processes and procedures as necessary.

The following are the high-level requirements of the SOW:

• FEP

o Index and scan all paper documents o Retrieve paper documents from designated locations o Maintain an inventory of paper documents for potential retrieval until such time they are scheduled for destruction o Create artifact folders o Perform Quality Assurance and correct web based submissions o Provide customer support by taking corrective action associated with indexing problems, missing documents, and image quality

• PG Pub o Convert and compose pending utility and plant applications for weekly publication in image and text file formats

• Post Allowance o Convert and compose all allowed applications for weekly issuance of patent grants in image and text file formats o Perform Quality Control of documents within the official electronic file wrapper for each allowed application o Send notifications to patent examiners requesting resolution either due to a quality issue or due to documents submitted after allowance that require their action o Mail notices to applicants to resolve quality issues or in response to documents submitted after allowance o Monitor applications that require a response and ensure appropriate action is taken upon receipt of the response or upon expiration of the time period for response o Process all documents/correspondence received after allowance o Ensure all allowed applications proceed to grant in a timely manner o Assign patent numbers for the weekly issue based upon the issue schedule provided by the USPTO o Assemble printed patent grants received from the USPTO Patent Printing Contractor o Prepare and mail abandonment notices o Maintain an inventory of artifact folders associated with allowed applications o Convert and compose Reexamination and Patent Trial and Appeals Board (PTAB) certificates for daily issuance o Create the daily electronic Official Gazette o Create the weekly electronic Official Gazette

• Post Issuance o Convert and compose approved requests for C of C in image file format o Convert and compose miscellaneous Patent certificates o Recapture Patent Grant due to C of C

C.3 GOVERNMENT FURNISHED ITEMS & CONTRACTOR FURNISHED ITEMS

C.3.1 Government Furnished Data (GFD)

The USPTO will provide data necessary for performance under the requirements of this contract by means of secure file transfer to the Contractor. The Contractor shall be responsible for meeting IT Security requirements necessary for secure file transfers.

C.3.1.1 Contractor’s Responsibilities - Information Technology (IT) Security Implementation

Contractor and USPTO information systems must meet security requirements. The USPTO developed Security Assessment and Authorization (A&A) procedures to ensure the integrity, confidentiality and the availability of its data and information systems. The Contractor’s system/application must have a valid Authority to Operate (ATO) (signed off by the USPTO Authorizing Official (AO) or designee) prior to going into operation and processing USPTO information.

The ATO process takes approximately six months or more and the ATO must be obtained before the contractor can begin processing live patent data. More information on these IT security requirements can be found in Section H.1: Information Technology (IT) Security Implementation.

The Contractor must also comply with all Security Processing Requirements found in Clause PTO-12 found in Section H of the RFP for a HIGH OR MODERATE RISK contract, as well as any other FISMA/NIST requirements pertaining to contract employee suitability. Meeting these requirements includes but is not limited to:

o screening employees for suitability o submitting documentation for Government background investigations o fingerprinting employees o completing necessary forms o Contractor employee entry of data into eQIP.

Only contractor staff that meet the security requirements may access data related to this contract.

This clause also applies to any subcontractors and/or consultants used by the Contractor.

C.3.1.2 Contractors Responsibilities and Network access to USPTO

Contractors Responsibilities and the type of Network connections allowed are listed in two documents:

1. USPTO CIO Document, entitled “Contractor Access to USPTO”, See Section J, Attachment 1a

2. USPTO CIO Document, entitled “Trusted Internet Connections (TIC)”, Reference Architecture

Document, See Section J, Attachment 2

These documents will explain the various processes and responsibilities the Contactor shall be responsible for to gain access to USPTO and/or to establish a network connection. USPTO requires all direct connections to be Air Gap with no exceptions. All sites must pass USPTO Assessment and Accreditation before access is granted. The various types of networks are listed under the Contractor Access to USPTO, Attachment 1a, Section J and will guide you through the process.

The Contractor, who is considered to be an external partner, shall be required to connect to USPTO through the Trusted Internet Connection (TIC). To review Homeland Security Trusted Internet Connections (TIC) Initiative and receive the full document of the Trusted Internet Connections (TIC), Reference Architecture Document, go to http://www.dhs.gov/trusted-internet-connections and https://www.cisa.gov/sites/default/files/publications/TIC_Ref_Arch_v2.2_2017.pdf or Attachment 2, Section J.

http://www.dhs.gov/trusted-internet-connections https://www.cisa.gov/sites/default/files/publications/TIC_Ref_Arch_v2.2_2017.pdf

C.3.1.3 File Transfer Method

All file transfers shall be performed on approved USPTO certified software for server to server file transfers. Currently, the USPTO has approved Axway Secure Transport – Enhanced Managed File Transfer (MFT) servers and proxies for their file transfers with FIPS 140-2 compliance enable. File sizes should be limited to no more than 20 GB. File sizes larger than 20 GB should be broken down into multiple parts.

Approved sensitive files that are transferred via server to server through the internet will require the AS2 protocol. This is a higher security protocol and has self-tracking built into it.

Authorized internal files (Contractor Access System (CAS) connections) and files transferring over the Internet can transfer HTTPS or SFTP-SSH protocol 2 with FIPS 140-2 compliance enable. The Axway software is a multi-protocol solution and all protocols are presented on one system under the Axway Secure Transport software.

C.3.2 Government Furnished Equipment (GFE) and/or Supplies

The USPTO will provide the following Government Furnished Equipment (GFE) and supplies to the Contractor.

• Personal Identity Verification (PIV) Card(s) (or an alternate means such as a fob), for accessing USPTO connected workstations (see C.3.4)

• Switches and firewall for access to USPTO systems

• Artifact Folders

• Coverbind® grant covers

• Sleeve sheets for binding of CD(s) in the official copy of the Patent Grant for mailing

• Envelopes for outgoing correspondence and patent grants

• Boxes for transport and final storage of artifact folders relating to issued patents and abandoned applications

The Contractor shall maintain accountability of Government-furnished property in accordance with clause 52.245-1 of this contract. The Contractor shall be responsible for the security of such GFE and shall ensure that GFE is kept and returned in same condition it was issued in (with the exception of normal wear and tear). If there is a loss or theft of GFE, the Contractor shall be responsible for reporting such incident within 24 hours to the USPTO Office of Security at 571-272-8000 with immediate verbal and written notification to the COR thereafter.

C.3.3 Contractor Furnished Equipment and/or Supplies

The Contractor shall furnish all equipment and supplies necessary to accomplish the requirements of the contract beyond that provided as Government furnished. Unless otherwise specified, the Contractor shall determine the specifications of the equipment and or supplies.

Workstations necessary to access USPTO systems shall be provided by the Contractor and shall meet the hardware specifications and software configurations, Attachments 3a, 3b and 3c, and be in accordance with the Contractor Access to USPTO, Attachment 1a, provided in Section J.

The USPTO will provide grant covers that use the Coverbind® binding system. The Contractor shall be responsible for purchasing and maintaining binding equipment. For informational purposes only, the equipment currently being used is as follows: four (4) model 7000 Coverbind® binding machines, and two (2) model 9000 Coverbind® binding machines. The Contractor shall ensure that any binding machines purchased are capable of performing the binding of the grants using the grant covers provided by the USPTO. More information on Coverbind® binding systems can be obtained at http://www.coverbind.com.

The Contractor is responsible to ensure that all mail is properly sealed before delivery to the USPTO mail center.

For informational purposes only, the equipment currently being used for sealing envelopes is as follows: two (2) model IM5000 Neopost® sealing machines. The Contractor shall ensure that any sealing machines purchased are capable of sealing the mailing envelopes provided by the USPTO.

C.3.4 Personal Identity Verification (PIV) Card(s)

As of November 30, 2017, the USPTO Office of the Chief Information Officer (OCIO) disabled user name and password as a means of logging onto the USPTO’s IT systems. As of that date, all users, including Contractor employees, must have a Personal Identity Verification (PIV) Card and active PIN to be able to log onto USPTO IT systems. Contractor employees without a PIV card may be granted a temporary exception in accordance with OCIO's Personal Identity Verification (PIV) Card Authentication Policy - OCIO-POL-49, Attachment 1b, Section J.

The Contractor is required to comply and ensure that all of its employees have PIV badges, if they access USPTO systems using USPTO equipment or Contractor supplied equipment, regardless of their location. The PIV badges are issued at Headquarters, Alexandria, VA. Contractors will need to work with the Contracting Officer’s Representative and the USPTO Office of Security in advance to arrange for PIV badging time, date and system availability. Each Contractor employee must appear in person in order for a PIV badge to be issued.

A PIV badge request for Contractors cannot be processed until the individual has a favorable fingerprint check completed by the USPTO, a background investigation initiated with the National Background Investigation Bureau (NBIB) or previously completed, a USPTO employee ID number, a USPTO network account with requisite login ID and a USPTO email address.

The Contractor will be required to supply the PIV badging “sponsorship” information. Individuals obtaining badges must appear in person at the USPTO Office of Security with two forms of approved identification in order to be issued a PIV badge. Once issued, PIV badges must be reissued every six (6) years. The responsibility to badge timely, in accordance with the contract and all costs associated with badging are the sole responsibility of the Contractor. The USPTO will not reimburse for costs associated with travel for the purpose of obtaining initial or reissued PIV badges for Contractor employees. Each PIV card has associated with it, certificates of authentication. These certificates are good for a period of three (3) years. Certificates are refreshed using the Self Service Portal with a finger print reader. A person refreshing their certificates at a time which takes their validity past the expiration date of the PIV card does not obviate the need for obtaining a new PIV badge.

When the employee is no longer employed by the Contractor, the PIV badge must be surrendered immediately upon their departure or termination of employment.

C.3.5 – Technical and/or Operational Status Meetings

The USPTO will schedule regular and ad hoc technical and/or operational status meetings to address issues, provide status updates and to share feedback between the Contractor and USPTO. Contractor participation in these technical meetings is crucial in addressing and resolving new and ongoing technical issues, such as addressing system enhancements and meeting changing International and USPTO standards for capturing and publishing patent data. Operational meetings will address process and production related issues and may address some technical issues.

http://www.coverbind.com/

C.3.6 – Kick-Off Meeting

The Contractor shall attend a virtual kick-off meeting with the Contracting Officer (CO) and Contracting Officer’s Representative (COR), no later than five (5) business days after the contract start date. The purpose of the kick-off meeting is to discuss the objectives of the contract.

C.3.7 – Continuity of Operations Plan (COOP)

The Contractor shall provide a detailed COOP describing how the Contractor will maintain operations if a catastrophic event were to take place. This COOP should describe how the Contractor will coordinate with the USPTO to maintain operations. This COOP should be updated annually.

C.4 PERFORM FRONT END PROCESSING

Front End Processing (FEP) entails the duties necessary to ensure that applicant/inventor submissions are correctly entered into the official electronic file wrapper. FEP includes the activities described in this section. As an aid in understanding, a workflow diagram entitled Flowchart FEP Process is provided as Attachment 12, in Section J.

The Contractor shall deliver documents to the official electronic file wrapper and perform quality control as described in various attachments which are included as references in Section J. The Contractor shall deliver images and appropriate metadata, such as document codes and mailroom date, in accordance with the timeframes provided in the table below.

All turn-around times indicated below are business hours or business days unless otherwise indicated. Currently the USPTO hours of operation are from 8:30 a.m. to 5:00 p.m., Monday through Friday, excluding federal holidays in the District of Columbia.

Table C.4-1

Turn-around Times for Indexing and Scanning of Paper Documents

Document Type and/or Identification Turn-Around Time

New Applications 5-day

New Design Applications marked “Rocket-Docket” 8-hour

Follow-On Documents 5-day

Tech Center Documents 5-day

Central Fax Documents 5-day

Documents Identified as AF, DAC or Issue Fee 5-day

CRU Outgoing Documents 8-hour

Residual Paper Applications 5-day

For a complete listing of all USPTO document codes see the Front End Processing Manual, Attachment 13, and Image File Wrapper (IFW) Document Codes, Attachment 7, included in Section J.

On occasion, the USPTO may request expedited “on-demand” service for indexing and scanning upon which the Contractor shall index and scan “on-demand” document(s) and deliver images and metadata to the official electronic file wrapper within one (1) business day of the request. Expedited “on-demand” requests are not expected to average more than 1-5 per month.

Following successful electronic delivery of documents to the official electronic file wrapper, the Contractor shall box and store documents according to the instructions contained in the Front End Processing Manual, Attachment 13, included in Section J. The boxes of documents must be readily accessible for inspection in the event rescanning is required. After holding the documents for one (1) year, the Contractor shall contact the USPTO to schedule pick up of the documents for destruction. The Contractor should refer to volume estimates provided in Section B.1 and Section B.2 to determine the amount of storage needed for this requirement.

The USPTO reserves the right to conduct weekly inspections of the Contractor’s work. The Contractor is required to correct any problems or deficiencies within two (2) business days of receiving written notification of any problems or deficiencies.

The Contractor is responsible for taking corrective action associated with indexing problems, missing documents, and image quality. The Contractor shall investigate these problems and must take the appropriate action to resolve.

Contractor-generated errors must be corrected at no additional cost to the USPTO.

The Contractor shall provide customer support to resolve issues and respond to inquiries received by email, electronic file wrapper messaging, and discrepancy reports from the official electronic file wrapper users pertaining to missing documents, indexing problems and image quality of documents in the official electronic file wrapper. New issues received shall be responded to within four (4) business hours and are required to be resolved within five (5) business days. If an issue cannot be resolved within this timeframe, the Contractor shall send a follow-up acknowledgement to the user. The current average is 150 to 175 requests for correction of errors received per week. Contractor generated errors shall be corrected, within five (5) business days at no additional cost to the USPTO.

The Contractor shall maintain a database of all inquiries received and processed. On a weekly and monthly basis the Contractor shall deliver reports of activities performed as identified in the Reports and Deliverables Table, Attachment 6, located in Section J.

C.4.1 Perform Indexing

Indexing is the process of applying the appropriate document descriptions and USPTO receipt dates or date of delivery to the applicant to each unique document. The document descriptions are provided in the Front End Processing Manual, Attachment 13, and the IFW Document Code Dictionary, Attachment 7, included in Section J.

The Contractor is responsible for retrieving paper documents (follow-on documents, new applications, or residual paper applications) for indexing and scanning from designated locations throughout the USPTO Alexandria and Shirlington, Virginia offices in accordance with the Front End Processing Manual, Attachment 13, included in Section J.

C.4.1.1 Index Follow-on Documents

The Contractor shall index and scan all follow-on paper documents and deliver them to the official electronic file wrapper. The document descriptions are provided in the Front End Processing Manual, Attachment 13, and IFW Document Code Dictionary, Attachment 7, included in Section J.

C.4.1.2 Index New Applications

The Contractor shall enter the application number provided by the USPTO with the paper documents in the Patent Application Location and Monitoring (PALM) system and enter the application in the official electronic file wrapper. The documents are indexed and scanned and delivered to the official electronic file wrapper. Newly filed applications typically contain five to seven unique documents all with the same mailroom date. The document descriptions are provided in the Front End Processing Manual, Attachment 13, and IFW Document Code Dictionary, Attachment 7, included in Section J.

C.4.1.3 Index Residual Paper Applications

A residual application is an application that is a paper file wrapper that is to be converted to an image and stored in the official electronic file wrapper. All documents within a residual application must be verified against the contents listed on the outside of the application file wrapper and then indexed and scanned and delivered to the official electronic file wrapper. If the application number is not found in the official electronic file wrapper system, a message must be transmitted to PALM that indicates the application has been converted to an image file as opposed to a paper file.

C.4.2 Scan and Deliver to the Official Electronic File Wrapper

The Contractor shall provide image capture that meets the USPTO’s image capture specifications. Once indexing has been completed the documents shall be scanned and prepared for delivery to the official electronic file wrapper as described in the Front End Processing Manual, Attachment 13, Appendix Fourteen, included in Section J.

C.4.3 Create Artifact Folders

The Contractor shall create an artifact folder for each item that cannot or should not be scanned or delivered to the official electronic file wrapper, in accordance with the Front End Processing Manual, Attachment 13, included in Section J.

An artifact is an item that cannot be scanned (i.e. CD, model, video tape etc.) or should not be scanned, such as:

• Documents marked as “Trade Secrets,” “Proprietary Material,” “Material under Protective Order,” “Information disclosure statements marked as Confidential”, and “Material Submitted under MPEP 724.02” and delivered in a sealed envelope should be placed in an artifact folder. If an open envelope is received and marked as confidential, the Government Representative will determine whether the envelope should be re-sealed or the contents scanned and delivered.

• A U.S. patent grant (bound in a cover with an official seal) that a reissue applicant may have surrendered as part of a reissue application or as returned mail of U.S. Patent grants.

• Bound documents in general: books and magazines.

• In all applications except provisional, non-patent literature (NPL) and foreign references (FOR) that contain gray scale, color, fine lines, screen shots, computer-generated images, and photographs.

The Contractor shall validate that the artifact number captured for an application does not already exist in

PALM.

The Contractor shall create and affix a barcode label to each artifact folder in the upper left hand corner to enable tracking within the USPTO’s PALM system throughout its lifecycle. Once the artifact folder is created the Contractor shall place the artifact inside the artifact folder. The Contractor shall initialize each artifact folder in PALM in accordance with the Instructions for Front End Processing Manual, Attachment 13, included in Section J.

Each folder shall contain only one item that cannot be scanned (i.e. CD, model, and video tape) or should not be scanned. See chart below for designation and descriptions. Each barcode label consists of ten characters as follows:

Positions 1 – 8 are numeric and represent the application number;

Position 9 is alphabetic and indicates the type of artifact;

Position 10 indicates the order of the sets of artifacts of a particular type, with A being the first set received of an artifact of the particular type, B being the second set received of an artifact of that same type, in this example, “12345678CA” where the “C” represents a set of color documents or photographic drawings, and “A” would represent the first set received of that type of artifact.

The Contractor shall determine the type of artifact from the table below:

Table C.4.3-1

Artifact Type Descriptions

Designation Description

C Set of color documents or photographic drawings

S CD(s) containing the “file copy” version of a sequence listing

P CD(s) containing a computer program listing

U CD(s) with content unspecified

F Microfilm

V Video tape

M Model

B Bound documents

X Confidential information disclosure statement or other documents marked as “Proprietary,” “Trade Secrets,” “Subject to Protective Order,” “Material Submitted under MPEP 724.02,” etc.

Z Other (such as oversized documents, floppies, DVDs, NPL, FOR, exhibits, Mini-CD)

T Tables on CD

C.4.4 Perform Quality Assurance (QA) of Web-Based Submissions

The current Web-Based electronic filing system used by the USPTO is called EFS Web which allows the applicant to attach .pdf files and select the document description associated with the files. The system then converts the .pdf files to .tif which are delivered to the official electronic file wrapper. The delivery of EFS Web documents to the official electronic file wrapper occurs outside of the scope of this contract.

The USPTO will send to the Contractor, electronically, a daily report entitled, EFS Web Load Report, as identified in the Reports and Deliverables Table, Attachment 6, located in Section J, which includes all Web-based submissions delivered to the official electronic file wrapper on the previous day. The report will contain application serial number(s), document date(s), document code(s), page count(s), and package identification number(s).

The Contractor shall review the images of each submission listed in the EFS Web Load Report to ensure that the document description selected by the applicant accurately describes the content of the document in official electronic file wrapper. If the document description does not accurately describe the content of the document, the Contractor shall correct the document description in accordance with the EFS Web QC Manual (Quality Assurance of EFS-Web Submissions), Attachment 14, provided in Section J.

The Contractor shall review the image to ensure the quality of each image. The Contractor shall determine if the image requires correction in accordance with instructions provided in the EFS Web QC Manual (Quality Assurance of EFS-Web Submissions), Attachment 14, provided in Section J.

USPTO systems are designed to load all drawings for design applications that are described by the applicant as drawings – only black and white line drawings (DRW) or drawings – other than black and white line drawings (DRW.NONBW) to the Supplemental Complex Repository for Examiners (SCORE) and create a SCORE placeholder sheet in the official electronic file wrapper.

USPTO systems are designed to load all drawings for other types of applications that have a document code of DRW.NONBW to SCORE and create a SCORE placeholder sheet in the official electronic file wrapper.

When the Contractor’s EFS-Web QC operator encounters a document that potentially has color/grey-scale content, they will flag the document for further review in the USPTO’s EFS Support Web system. If a document with color/grey-scale content is found in the EFS Support Web system, the Contractor will use the EFS-Web PDF to create a PDF of the drawings for loading into SCORE. Each document that is reviewed will generate a single count to CLIN #001F.

The Contractor will use the SCORE load module to load the drawings into SCORE. The Contractor will use the PDF file name used by the applicant unless it is necessary to create a drawing-only PDF. If the Contractor creates a drawing-only PDF, the operator will append “_QC” to the end of the file name. For example “My_great_idea.PDF” should be named “My_great_idea_QC.PDF.” Each document that is manually loaded into SCORE will generate a single count to CLIN #001H.

The Contractor will provide supporting documentation to the USPTO on a daily basis. A new report titled “SCORE Load Module” will be delivered to the USPTO share folder for access at any time. The location of the USPTO share folder will be provided upon contract award. The report will include the following information:

Application Number, PTO filing date, Doc Code, Score module received date and Score module complete date.

The file name will be the SCORE module complete date.

The Contractor shall provide electronically, on a monthly basis, an Excel spreadsheet entitled, EFSW SCORE Breakdown Report, as identified in the Reports and Deliverables Table, Attachment 6, located in Section J, which provides a report showing the breakdown of SCORE sheets versus actual print and scan for EFS Web.

SCORE may be replaced or supplemented during the period of this contract. The Contractor will be required to use any new or supplemental system to fulfill the requirements of this contract. The Contractor will be given notification at least 30 calendar days prior to being required to use any new or supplemental system.

The following table provides a historical perspective of the percentage of errors by error type found during quality assurance of EFS Web submissions. These historical percentages are provided for informational purposes only and do not constitute a commitment from USPTO that these will be actual volumes and percentages in the future. Historically approximately 10% of the documents reviewed required correction.

Table C.4.4-1

Percentage of Errors by Error Type Identified During Quality Assurance (For the 10% of documents that require correction the percentages of those document breakdown as follows)

Error Type Percentage Doc code is incorrect 51.9% Doc code needs to be split 26.1%

Doc codes need to be merged and codes are in consecutive order 8.9% Doc codes need to be merged and codes are not in consecutive order

0.1%

Transfer Request 0.1% Duplicate documents <0.1% Different application number 0.4% Image problem 1.9% Test / Reexamination serial number 4.2% Doc. codes that are not supposed to be in IFW (Fee Address, Credit Card Form, Original Assignee Recordation etc.)

1.2%

Miscellaneous (Issue that doesn't fit in any other categories) 3.7% SPEC (Doc code needs to be changed to SPEC - for new application only)

1.6%

OCR problem <0.1%

C.4.5 Front End Processing of Electronic Documents

The Contractor shall process electronic documents generated or received from sources other than those previously described. The Contractor shall index and deliver these electronic documents generated or received to the official electronic file wrapper in accordance with the Front End Processing Manual, Attachment 13, included in Section J. These electronic documents include Contractor generated documents, for example but not limited to, Rush, Notice to File Corrected Application Papers (NTF), issued Certificates of Correction, and Published Reexamination Certificates. These electronic documents also include electronic documents received by USPTO, for example but not limited to, foreign priority documents.

C.4.6 SCORE Processing

SCORE is the storage and retrieval repository for documents and files that must be maintained in a format other than image documents. The following are examples of the types of documents and files maintained in SCORE:

• Sequence Listings (text files)

• Search Results (text files)

• ABSS search results

• Other search results, i.e., chemical structure search results (currently only from STIC-EIC1600)

• Large Tables (text files)

• Computer program listings (text files)

• Drawings (pdf files)

• For design applications

• Color and gray scale drawings for other applications

• All Design Grants and any other Grant that contains color or gray scale drawings

The Contractor must perform the following SCORE processing functions in accordance with and as defined in the Computer Readable Format Transfer Participant Manual, Attachment 15, provided in Section J.

• The Contractor shall initiate the SCORE load process for electronically filed drawings that are not automatically loaded by USPTO systems. Some of these documents may be identified during the Contractor QA of Web Based Submissions. Others will be ad hoc requests. Please refer to Section C.4.4 for instructions on initiating the load process. Following the load process the USPTO provides a list to the Contractor of the documents loaded to SCORE.

• The Contractor shall initiate the SCORE load process for documents filed in paper that contain color or gray scale.

• The Contractor shall process Computer Readable Form (CRF) transfer requests and review them for compliance and then load acceptable requests into SCORE.

• The Contractor shall investigate and resolve problems with SCORE exports…