RFI Attachment 2 - AI Driven Image Search Tool PWS Draft.docx

1. Requirement Title: Artificial Intelligence (AI) Driven Image Search Tool

2. Background

2.1. Patent Prosecution and Prior Art- “Design, Plant, and Utility patent prosecution” refers to the series of interactions between inventors, practitioners, and United States Patent and Trademark Office (USPTO) Patent Examiners that determine whether a patent is granted. When an applicant submits an ornamental design for an article of manufacture or drawings for a utility invention, a Patent Examiner substantively reviews the application disclosure and compares it to existing references, known as “prior art.” Prior art encompasses all information made available to the public in any form before a given date that might be relevant to an application’s claim of novelty and non-obviousness. Thoroughly searching prior art is one of the most critical statutory tasks performed by Patent Examiners in accordance with 37 C.F.R. § 1.104(a).

2.2. The Need for AI-Driven Image Search-As the volume of global intellectual property filings grows, relying solely on text-based or traditional classification searches (such as USPC, Locarno, and Cooperative Patent Classification [CPC]) is no longer sufficient, particularly for highly visual design and utility applications. To improve search completeness and examiner efficiency, the USPTO requires a FedRAMP-authorized, Software-as-a-Service (SaaS) AI-driven image search tool. This tool will allow examiners to search global patent databases using uploaded images as direct queries.

2.3. System Integration and Customization-This AI-driven tool is intended to augment, rather than replace, existing USPTO enterprise search systems. To ensure seamless adoption, the SaaS solution must be highly configurable. The USPTO requires the ability to customize user interfaces, examiner workflows, and data export reports to align with specific Technology Center (TC) practices. By aggregating global Design and Utility patent collections and pairing them with customizable, AI-powered image recognition, the USPTO aims to significantly enhance the quality and speed of patent examination.

3. Objective

3.1. The objective of this Performance Work Statement (PWS) is to acquire a FedRAMP-authorized, AI-driven Software-as-a-Service (SaaS) image search platform that enhances the prior art search capabilities of USPTO Patent Examiners.

3.2. The Contractor shall provide a highly accurate, scalable, and customizable tool that aggregates global Design and Utility patent collections, enabling examiners to execute complex searches using images as direct queries. A key objective of this acquisition is to configure and customize the SaaS interface, examiner workflows, and reporting outputs to seamlessly align with USPTO examination practices and Cooperative Patent Classification (CPC) standards. By augmenting existing USPTO search systems with transparent, AI-powered image recognition and tailored user experiences, this tool aims to significantly improve search completeness, examiner efficiency, and overall patent quality.

4. Scope

4.1. The scope of this PWS encompasses the provisioning, configuration, customization, and ongoing maintenance of a FedRAMP-authorized, enterprise-wide AI-driven Software-as-a-Service (SaaS) image search platform for approximately 12,000 users. The Contractor shall deliver a comprehensive solution that augments the USPTO’s prior art search capabilities without replacing existing enterprise systems.

4.2. The Contractor shall be responsible for the following core areas:

4.2.1. Project Management, Support and Transition Operations

4.2.2. Database Aggregation and Maintenance: All Design United States Patent Classification (USPC) and Utility patents across all Cooperative Patent Classification (CPC) symbols (e.g., electrical, chemical, biological, and software arts), including corresponding UI and database updates Ingesting, updating, and maintaining global patent and trademark databases from at least 80 international authorities, specifically on Design, Plant and Utility collections.

4.2.3. AI-Powered Search Functionality: Providing robust image-to-image search capabilities, including multi-image uploads, image manipulation tools (e.g., auto-lasso, photo-to-line conversion), similarity ranking, and automated classification suggestions (USPC, Locarno, and Utility CPC).

4.2.4. SaaS Customization and Workflow Alignment: Configuring and customizing the user interface (UI), user experience (UX), and examiner workflows to meet USPTO-specific requirements. This includes developing custom project folders, tailored dashboard layouts, and specialized export/reporting templates (e.g., PDF, CSV) that integrate seamlessly into the patent file wrapper.

4.2.5. Security, Privacy, and Compliance: Maintaining FedRAMP authorization, integrating with USPTO Identity, Authentication, and Authorization Management (IAAM) via Okta, ensuring AI transparency (per EO 13960 and 14179), and enforcing strict data handling protocols (e.g., immediate session data deletion and automated export redaction).

4.2.6. Training: The Contractor shall employ a Train-the-Trainer (TtT) methodology to equip a core group of USPTO personnel with the expertise required to independently train the broader Patent Examiner workforce on the SaaS platform.

5. Specific Tasks

5.1. Task 1: Project Management, Support and Transition Operations - The Contractor shall provide comprehensive project management, ensuring seamless phase-in, execution, and phase-out of the contract.

5.1.1. Transition-In & Kickoff: Conduct a kickoff meeting to finalize the plan, clarify scope, and establish reporting formats.

5.1.2. Contract Management: Designate a primary and backup Point of Contact (POC) within 14 days of award. Conduct regular status meetings with the COR to review schedule, productivity, risks, and quality assurance.

5.1.3. Metrics Reporting: Provide monthly usage metrics detailing unique users, session lengths, queries, exports, image imports, and classification metrics (including Design and Utility CPC usage).

5.1.4. Ad Hoc Reporting: Provide additional custom reports upon request by the COR.

5.2. Task 2: Security, Privacy, and AI Compliance -The Contractor shall ensure the SaaS solution adheres to all federal and USPTO security, privacy, and AI governance mandates.

5.2.1. Authorization to Operate (ATO) & FedRAMP: Maintain a FedRAMP-authorized solution and obtain/maintain a full USPTO ATO. The system must comply with FISMA, FIPS, and National Institute of Standards and Technology (NIST) guidelines, specifically the Risk Management Framework (SP 800-37) and security/privacy controls (SP 800-53). The Contractor shall use an independent third-party assessment organization (3PAO) for initial and annual assessments.

5.2.2. Security Documentation & Incident Response: Maintain an up-to-date System Security and Privacy Plan (SSPP) and Contingency Plan. Track and mitigate vulnerabilities via a Plan of Action and Milestones (POA&M). Perform Security Impact Analyses (SIA) for any system changes and immediately report suspected security incidents to the USPTO Computer Incident Response Team (CIRT), CISO, and ISSO.

5.2.3. Data Protection & Personnel: Ensure data encryption at rest and in transit. All personnel handling nonpublic data must meet U.S. citizenship and CONUS work restrictions. To protect pre-published patent data, the system must automatically delete uploaded images and derived representations (e.g., embeddings) immediately upon session end.

5.2.4. AI Transparency: Ensure all AI components are transparent, explainable, and auditable. Document data sources, model training, limitations, and bias-mitigation measures in strict compliance with Executive Orders 13960 and 14110.

5.3. Task 3: SaaS Platform Deployment and Customization -The Contractor shall deploy, configure, and continuously enhance a highly customized web portal tailored to USPTO workflows.

5.3.1. Deployment & Access: Deploy a single web portal integrated with USPTO Identity, Authentication, and Authorization Management (IAAM) via Okta (OpenID Connect).

5.3.2. Customization & Workflows: Configure the UI/UX to support USPTO-specific examination workflows. Allow users to save personalized dashboard layouts, configure toolbars, and utilize project collaboration features.

5.3.3. Export & Redaction Builder: Implement a custom report builder for exporting search results (PDF, print, CSV). The system must automatically redact uploaded images and examiner-provided confidential material from exports, displaying a prominent warning banner regarding this exclusion.

5.3.4. Ongoing Enhancements and New Features: Provide continuous agile enhancements and workflow adjustments based on COR and user feedback.

5.4. Task 4: Database Aggregation and Search Functionality - The Contractor shall provide robust, AI-driven image search capabilities across comprehensive global databases.

5.4.1. Database Aggregation: Aggregate design patents, mechanical utility patents, trademarks, and industrial designs from at least 64 specified global authorities (e.g., EUIPO, WIPO, China, Japan). Update databases at least weekly.

5.4.2. Search Features: Provide functionality accepting 1–7 image uploads per query, auto-lasso/image selection, photo-to-line conversion, image rotation, and similarity ranking.

5.4.3. Classification Suggestions: Provide automated classification suggestions and definitions for USPC, Locarno, and Cooperative Patent Classification (CPC), including mechanical utility CPC symbols.

5.5. Task 5: Training - The Contractor shall equip USPTO personnel with the knowledge to use the tool and provide the Government with actionable usage data.

5.5.1. The Contractor shall employ a Train-the-Trainer (TtT) methodology to equip a core group of USPTO personnel with the expertise required to independently train the broader Patent Examiner workforce on the SaaS platform.

5.5.2. Initial Super-User Training: The Contractor shall conduct comprehensive, in-depth training sessions for a designated group of USPTO trainers (up to 50 super-users, such as Supervisory Patent Examiners or Subject Matter Experts). This training must cover all standard search functionalities, advanced AI features, workflow customizations, export/redaction tools, and basic system troubleshooting.

5.5.3. Trainer Kits and Documentation: In addition to standard user documentation, the Contractor shall develop and deliver specialized “Trainer Kits” to empower USPTO staff to lead internal training. These kits must include facilitator guides, demonstration scripts, presentation slides, and FAQs. The Contractor shall also provide Section 508-compliant electronic end-user manuals, quick reference guides, and integrated help files tailored to the customized USPTO interface.

5.5.4. Ongoing Trainer Support: The Contractor shall provide periodic follow-up sessions, virtual “office hours,” or refresher courses exclusively for the USPTO trainers. This ongoing support will assist USPTO trainers in addressing complex user queries, navigating new features introduced during system updates, and ensuring a successful, continuous internal rollout.

6. Special Requirements

6.1. Intellectual Property and Data Rights

a. Base SaaS Platform: The Contractor’s pre-existing, commercial-off-the-shelf (COTS) software, infrastructure, and underlying architecture that exist prior to the execution of this contract.

i. The Contractor retains all intellectual property rights, title, and ownership of the Base SaaS Platform. The Contractor grants the Government a non-exclusive, worldwide, irrevocable license to access and use the Base SaaS Platform for the duration of the contract in accordance with the agreed-upon commercial terms, provided those terms do not conflict with Federal law.

b. Customized Code: Any software, source code, scripts, APIs, user interfaces, algorithms, or configurations developed, written, or modified by the Contractor specifically to meet the requirements of this contract. Note only customized code will be treated as special works.

i. Customized Code (Special Works): Any source code, scripts, APIs, algorithms, or unique user interfaces developed, written, or modified by the Contractor specifically to meet the requirements of this contract are designated as “Special Works.” The Government shall retain exclusive rights and ownership of this Customized Code. The Contractor shall not use, release, reproduce, distribute, or publish this Customized Code for any commercial purpose, nor assert copyright over it, without the express written permission of the Contracting Officer.

c. Government Data: All data, records, files, and information provided by the Government to the Contractor, or generated, processed, or stored by the SaaS solution on behalf of the Government.

i. The Government retains all right, title, and interest in all Government Data. The Contractor acquires no rights to Government Data other than the temporary, limited right to host and process the data strictly for the purpose of executing this contract. Upon contract termination or expiration, the Contractor shall securely return all Government Data and Customized Code, and subsequently purge all Government Data from its systems.

7. Deliverables

7.1. The Contractor shall provide the following deliverables to the Contracting Officer’s Representative (COR) in accordance with the specified timelines. All written deliverables shall be submitted in electronic format (e.g., MS Word, Excel, PDF) unless otherwise specified.

7.2. See PWS Attachment 1 for deliverables

Form # USPTO-OP-022 (08/2020) Page 1 of 6 image1.png