SOW Docketing system.docx

STATEMENT OF WORK

BACKGROUND

The Office of Technology Transfer (OTT), USDA, ARS requires an Electronic Docketing System (EDS) to collect information from the U.S. Patent and Trademark Office (USPTO), docket, and track the status of U.S. patents and patent applications, including communications to and from the USPTO, updating of monthly deadlines, and monitoring of post-issuance status and fee due dates. The portfolio includes utility patents and plant patents. The EDS will also collect information from foreign Patent Offices to track the status of foreign patents and applications and Patent Cooperation Treaty (PCT) applications, including filing dates, national phase entry dates, fee calculation, and fee deadlines.

United States Department of Agriculture (USDA), Agricultural Research Service (ARS) sponsors research on new and useful products and processes which have potential application in the private and public sectors, and may seek patent rights in various foreign countries covering products and processes derived from ARS research. ARS is the major research agency of the USDA and currently is responsible for filing, prosecuting, and maintaining hundreds of active patents and patent applications. USDA has the authority, pursuant to 35 U.S.C. 207 and 15 U.S.C. 3710, to obtain and maintain patents in the United States and foreign countries. USDA can grant licenses in accordance with the regulations set forth in 37 C.F.R. Chapter IV, as amended, to receive fees, royalties, or other revenues there from, and to take all other suitable and necessary steps to protect and administer such rights. Pursuant to the Federal Technology Transfer Act of 1986, ARS has implemented a technology transfer program covering a variety of agricultural technologies that have high commercial potential for industry.

To service public interest, the Government is required to ensure that the results of federally sponsored research be protected, marketed, and practiced so that maximum benefit is achieved in the form of enhanced US economic activity and competitiveness. Annually, ARS researchers currently report over 100 inventions, OTT files approximately 70 patent applications, and has approximately 55 patents issued. The above information is provided as exemplary numbers comprising typical annual activity for ARS, and actual numbers during any given year can deviate from these approximations. For example, in Fiscal Year 2019, 228 new invention disclosures were received; 85 patent applications were filed; and 65 utility patents and 8 plant patents were obtained. Over the last 5 years, approximately 66 percent of the patent applications resulted in an issued patent.

GENERAL REQUIREMENTS

The Contractor shall provide an Electronic Docketing System (EDS) that shall collect information from the USPTO and foreign Patent Offices to docket and track the status of each U.S., foreign and PCT patent applications, newly filed patent applications, and issued patents filed by OTT, by co-owners, and by other cooperators. The Contractor is responsible for providing the EDS, including access to, or installation of the EDS, and providing instructional assistance and on-going technical assistance in using and maintaining the EDS.

SPECIFIC REQUIREMENTS

The EDS shall provide capability for docketing, tracking, payment and reporting services for U.S. utility and plant applications/patents. The Contractor shall securely webhost, or otherwise provide, an EDS capable of performing the following patent-related services:

The EDS shall provide sufficient storage capability for all currently pending U.S. patent applications, issued patents (including expired patents and abandoned applications), and newly filed patent applications. The EDS shall provide for uploading of records of current patent applications and issued patents. The uploading shall avoid significant manual data entry upon initial implementation. The EDS will provide a complete and accurate management of the OTT patent portfolio utilizing electronic information from the USPTO PAIR system, and foreign equivalents. For U.S. applications, such information shall include all communications to and from the USPTO, as well as maintenance and issue fee calculation and due dates, with individual records matched to OTT docket number identifiers. Such information shall be collected daily from the USPTO PAIR system and supplemented as needed from Government-supplied information. For Non-U.S. applications (including PCT applications), such information shall include filing dates, national phase fee calculations, maintenance and issue fee calculation and due dates, with individual records matched to OTT docket number identifiers.

The EDS shall provide sufficient storage capability for all currently pending PCT and foreign patent applications, issued patents (including expired patents and abandoned applications), and newly filed patent applications. The EDS shall provide for uploading records of current PCT and foreign patent applications and issued patents, avoiding significant manual data entry upon initial implementation. The EDS shall provide management of the OTT PCT application portfolio, including national stage filing information, including filing costs in selected countries, and filing deadlines. The EDS shall provide management of the OTT Foreign application and patent portfolio, to provide information on filing dates, filing fee calculations, maintenance fee calculations, and due dates. Such information need not include office actions, responses and other active prosecution documents for PCT and non-U.S. applications. Such information shall be collected daily from the appropriate country or regional equivalent of the USPTO PAIR system.

The EDS shall maintain a current case docket to ensure that issuance, maintenance, and foreign notice fees are calculated, and due dates are provided for all U.S. and foreign applications and patents. The EDS shall incorporate new information from publicly available records, or Government-furnished information, as appropriate. The EDS shall include safeguards to reduce or eliminate errors in date calculation, so as to avoid the need to pay penalty, abandonment or restoration fees. The EDS shall provide for the use of patent office electronic data to verify portfolio data.

The EDS shall allow for entry of additional information to be associated with each patent or application provided by OTT as needed. Examples of such information includes, docket number, miscellaneous notes section, and responsible patent practitioner. The EDS shall allow for the entry of new docket items as required by OTT. The EDS shall also allow for manual entry of information to populate the OTT portfolio, as needed.

The EDS shall allow for the generation of portfolio-related and docket-related documents including reporting emails, Information Disclosure Statements, patent “family trees”, and calendar reminders. The EDS shall be accessible by all OTT personnel and other such individuals as shall require access via (unlimited access).

DELIVERABLES

The Contractor shall provide the following deliverables:

1. EDS: an EDS as described above shall be provided by the Contractor. Preferably, the EDS is provided via a secure webhosted platform.

2. Portfolio Upload: the Contractor shall provide for transfer of the current OTT portfolio (including expired patents and abandoned applications) into the EDS, as described above.

3. New User Training: the Contractor shall provide instructional and/or tutorial information for OTT personnel in using the EDS.

4. Docket Reports (DRs): the EDS shall provide access to DRs in electronic form. Data populating DRs shall be updated daily. Subsets of the entire portfolio shall be readily created by OTT personnel utilizing limiting parameters, to allow for personalized dockets and/or specialized docket reports.

5. Weekly, Monthly and Annual reports: the EDS shall provide access, at least, to weekly, monthly and annual reports, but reports covering timespans of other lengths are requested. These reports shall be accessible in electronic form and shall summarize changes in the number of applications and patents during the designated time period.

6. Portfolio audit: upon compilation of the current portfolio, Contractor shall perform an electronic verification audit of the data compiled for the portfolio. Contractor will provide missing data from publicly available sources, or Government-provided information where no publicly available information is available. Contractor shall coordinate with OTT personnel to clarify any data discrepancies. Additional audits may be requested by OTT.

CONFIDENTIALITY

The Contractor agrees that all information disclosed by the Government to the Contractor in connection with this requirement shall be confidential and that all such information and data on the media in which it is stored shall be the exclusive property of the Government. The Contractor shall not disclosure, either during the term of the Purchase Order or Contract or thereafter, any information provided by the Government without the prior written consent of the Contracting Officer (CO). The Contractor shall take all precautions necessary to prevent disclosure of such information.

SECTION 508 – ACCESIBILTY OF ELECTRONIC AND INFORMATION TECHNOLOGY

This contract vehicle is subject to Section 508 of the Rehabilitation Act of 1973 (29 U.S.C. 749d) as amended by the Workforce Investment Act of 1998 (P.L. 105-220). The Revised Section 508 Standards, which consist of 508 Chapters 1 and 2 (Appendix A), along with Chapters 3 through 7 (Appendix C), contain scoping and technical requirements for information and communication technology (ICT) to ensure accessibility and usability by individuals with disabilities. Compliance with these standards is mandatory for Federal agencies subject to Section 508 of the Rehabilitation Act of 1973, as amended (29 U.S.C. 794d).

Each ICT product or service furnished under this contract shall comply with the Revised Section 508 ICT Accessibility Standards at a minimum, as specified in the contract. If any furnished product or service is determined to be noncompliant, the Contracting Officer will notify the Contractor in writing. The Contractor shall, without charge to the Government, remediate or replace the noncompliant products or services within a specified timeframe as determined by the Government in writing. If such remediation or replacement is not completed within the time specified, the Government shall have the following recourses:

1) Cancellation of the contract, delivery, task order, purchase, or line item without termination liabilities; or

2) In the case of custom ICT being developed by a contractor for the Government, the Government shall have the right to have any necessary changes made or repairs performed by itself or by another firm for the noncompliant ICT, with the contractor liable for reimbursement to the Government for any expenses incurred thereby.

The contractor must ensure all noncompliant ICT products and services are provided pursuant to extensive market research and exhibit the highest level of compliance while satisfying the contract requirements.

For every ICT product or service accepted under this contract by the Government that does not comply with the Revised Section 508 Accessibility Standards, the contractor shall, at the discretion of the Government, remediate or upgrade the item with a compliant equivalent product or service, if commercially available and cost neutral, on either a contract specified refresh cycle for the product or service, or on a contract effective option/renewal date, whichever shall occur first.

Section 508 Compliance Vendors, contractors, and their respective ICT products and services shall comply with the following standards, policies, and procedures. In the event of conflicts between the referenced documents and this contract vehicle, the contract vehicle shall take precedence.

1) Revised Section 508 ICT Accessibility Standards

2) Section 508 of the Rehabilitation Act as amended (29 U.S.C. 794d)

3) Federal Acquisition Regulation (FAR) Subpart 39.2

4) USDA Section 508 Departmental Regulation Additionally, all contract deliverables are subject to these standards.

All ICT products and services, regardless of format, must conform to the applicable Section 508 standards to allow Federal employees and members of the public with disabilities equivalent access to and use of information and data provided to those without disabilities.

All contractors, sub-contractors, and consultants are responsible for preparing or posting content must comply with the applicable Section 508 accessibility standards and, where applicable, those set forth in the referenced policy or standards document. Remediation of any noncompliant ICT or materials as set forth in this contract vehicle shall be the responsibility of the contractor, sub-contractor, or consultant.

According to the Access Board’s Section 508 Scoping Requirements The following Section 508 provisions apply to the products and/or services identified in this contract vehicle:

· C202 Functional Performance Criteria: Where the requirements in Chapters 4 and 5 do not address one or more functions of telecommunications or customer premises equipment, the functions not addressed shall conform to the Functional Performance Criteria specified in Chapter 3.

· C203 Electronic Content: Electronic content that is integral to the use of telecommunications or customer premises equipment shall conform to Level A and Level AA Success Criteria and Conformance Requirements in WCAG 2.0.

· C204 Hardware: Where components of telecommunications equipment and customer premises equipment are hardware, and transmit information or have a user interface, those components shall conform to applicable requirements in Chapter 4.

· C205 Software: Where software is integral to the use of telecommunications functions of telecommunications equipment or customer premises equipment and has a user interface, such software shall conform to C205 and the applicable requirements in Chapter 5.

WCAG Conformance: User interface components, as well as the content of platforms and applications shall conform to Level A and Level AA Success Criteria and Conformance Requirements in WCAG 2.0.

· C206 Support Documentation and Services: Where support documentation and services and provided for telecommunications equipment and customer premises equipment, manufacturers shall ensure that such documentation and services conform to Chapter 6 and are made available upon request at no additional charge.

In addition, vendors and contractors shall comply with the standards, policies, and procedures below for all ICT pursuant to this contract:

· For Custom ICT Development Services, the vendor or contractor shall ensure the ICT fully conforms to the applicable Revised Section 508 standards prior to delivery and before final acceptance.

· For Installation, Configuration, and Integration Services, the vendor or contractor shall not install, configure, or integrate the equipment and software in a way that reduces the level of conformance with the applicable Revised Section 508 standards.

· For Maintenance, Upgrades, and Replacements, the vendor or contractor shall ensure maintenance upgrades, substitutions, and replacements do not reduce the original level of conformance with the applicable Revised Section 508 standards at the time of the contract award.

· Service Personnel are ensured by the vendor or contractor to possess the knowledge, skills, and ability necessary to address the applicable Revised Section 508 standards and shall provide supporting documentation upon request.

· When providing Hosting Services, the vendor or contractor shall not reduce the existing level of conformance of the electronic content with the applicable Revised Section 508 standards.

· When purchasing ICT where 1) Section 508 validation is not possible prior to award, 2) the ICT will be changed after the award, or 3) ICT will be hosted in a third-party environment, the vendor or contractor shall test and validate the ICT solution for conformance to the Revised Section 508 standards, in accordance with the required testing methods as defined by the agency.

· The vendor or contractor shall document and maintain information regarding the measures taken to ensure compliance with the applicable requirements. This documentation includes but is not limited to testing records, product demonstrations, and reported defects by end users and testers.

· Prior to acceptance, the vendor or contractor shall provide an Accessibility Conformance Report (ACR) for each ICT item that is developed, updated, and/or configured for the agency, and when product substitutions are offered. The ACR should be based on the latest version of the Voluntary Product Accessibility Template (VPAT) provided by the Information Technology Industry Council (ITI). To be considered for award, an ACR must be submitted for each ICT item, and must be completed according to the instructions provided by the ITI.

Note: A supplemental ACR may be required if the agency has additional or stricter accessibility requirements than what is outlined in the VPAT.

· Prior to acceptance, the agency reserves the right to require a full working demonstration of the completed ICT item to demonstrate conformance to the agency’s accessibility requirements in addition to independent testing to validate.

· In the case of non-compliance where the vendor or contractor claims its products and/or services satisfy the applicable Revised Section 508 standards specified in the contract vehicle, the contracting officer will promptly inform the vendor or contractor in writing of the non-compliance. The vendor or contractor shall, at no cost to the agency, repair or replace the non-compliant products or services within the period specified by the contracting officer.

All Information and Communications Technology (ICT) subject to the Revised Section 508 standards will be evaluated for Section 508 conformance and usability. The test must be administered by a Federal Section 508 Testing Center. All maintenance for ICT that requires upgrades, modifications, installations, repairs, and purchases shall adhere to the Revised Section 508 standards.

COMPLIANCE WITH INTERNET PROTOCOL VERIONS (IPv6) This contract involves the acquisition of Information Technology (IT) that uses Internet Protocol (IP) Technology. In order to comply with OMB Memorandum M-05-22, Transition Planning for Internet Protocol Version 6 (IPv6) issued on August 2, 2005, the contractor agrees that: (1) all deliverables that involve IT that uses IP (products, services, software, etc.) will comply with IPv6 standards set forth in the USGv6 Profile (NIST Special Publication 500-267) and interoperate with both IPv4 and IPv6 systems and products; and (2) it has IPv6 technical support for such deliverables. If the contractor plans to offer a deliverable that involves IT that is not compliant with these requirements, the contractor agrees to obtain the Contracting Officer’s approval before starting work on the deliverable.

PROTECTION OF INFORMATION

Information about USDA networks and/or the security posture of any USDA information assets gathered or created under this SOW is sensitive but unclassified information. It is anticipated that this information will be gathered, created, stored within the primary Government work location. If contractor personnel must remove any information from the primary work area for any reason, the information must remain in the possession of the contractor at all times or locked in a secure location. If contractor personnel are away from primary work area for any reason, they must secure any hardcopy information by storing the information in a locked shelf or drawer and or use a password protected screen saver if the information is on a computer.

Prior approval must be obtained in the contractor must remove any materials from their work area.