Form USPTO-OP-022 Performance Work Statement - Search Services Recompete rev4 10-8-24.pdf

United States Search Services Patent and Trademark Office Performance Work Statement

Form # USPTO-OP-022 (08/2020) Page 1 of 17

1.0 Requirement Title:

Search Services

2.0 Background

(a) This Performance Work Statement (PWS) describes the United States Patent and Trademark

Office’s (USPTO) requirement for Search Services in support of the Office of the Commissioner for Patents.

(b) The USPTO is the federal agency for granting U.S. patents and registering trademarks. The strength and vitality of the U.S. economy depends directly on effective mechanisms that protect new ideas and investments in innovation and creativity. The USPTO advises the President of the United States, the Secretary of Commerce, and U.S. government agencies on intellectual property (IP) policy, protection, and enforcement; and promotes the stronger and more effective IP protection around the world. The USPTO’s mission is to drive U.S.

innovation, inclusive capitalism, and global competitiveness.

(c) The primary services the agency provides to its stakeholders is processing and disseminating patent and trademark information as described below.

• Through the issuance of patents, the USPTO encourages technological advancement by providing incentives to invent, invest in, and disclose new technology worldwide.

• Through the registration of trademarks, the agency assists businesses in protecting their investments, promoting goods and services, and safeguarding consumers against confusion and deception in the marketplace.

(d) The USPTO is an organization of approximately 13,000 employees, broken out into specific business units. Those business units include Patents, Trademarks, the Office of the Chief Administrative Officer, the Office of the Chief Communication Officer, the Office of the Chief Information Officer, the Office of the Chief Financial Officer, the Office of Equal Employment and Diversity, the Office of General Counsel, the Ombudsman Office, the Office of Policy and International Affairs, the Patent Trial and Appeal Board and the Trademark Trial and Appeal Board.

(e) The largest of the USPTO business units is the Patents organization. The Patents organizational structure is based on Technology Center (TCs) specializing in major technology categories. Each TC is comprised of Workgroups and each Workgroup is subdivided into Art Units. Art Unit examiners specialize in specific subsets of technologies, which is referred to as the “art” that they examine. An overview of the technologies of the various TCs can be found at https://www.uspto.gov/patents/contact-patents/patent-technology-centers-management. There are approximately 8,200 examiners distributed among nine (9) patent TCs. The patent examiners are collectively referred to as the Patent Examining Corps. The USPTO’s patent examiners review patent applications and grant patents.

https://www.uspto.gov/patents/contact-patents/patent-technology-centers-management https://www.uspto.gov/patents/contact-patents/patent-technology-centers-management

Form # USPTO-OP-022 (08/2020) Page 2 of 17

(f ) To appropriately perform the process of examination of patent applications, patent examiners require technology specific information dated earlier than the effective filing date of the patent application. Pre-application dated information, in this context, is referred to as “prior art.” Prior art can include United States (US) patents, foreign patents and related materials, and non-patent literature (NPL), which can be legal materials, journal articles, standards, manuals, books, conference proceedings, films, videos, images, web pages and the like.

USPTO’s information needs differ from the information needs of many other organizations served by technologically-oriented libraries that typically identify the most recent “state of the art” technology.

(g) The Scientific and Technical Information Center (STIC), Electronic Information Centers

(EIC) Division consists of six (6) EICs which correspond to the technologies associated with each TC. STIC’s EIC Division provides prior art searching as a service to patent examiners in order to supplement their own search efforts. The USPTO currently utilizes a Contractor to assist with prior art searching. STIC personnel use a variety of search resources, including journals, books, commercial databases, and biosequence sources to discover prior art. The STIC currently has access to internal and commercially available external databases, as sources to search for and identify prior art for the widely varied technologies covered by the TCs. A sample list of prior art search resources available can be seen here:

https://www.uspto.gov/learning-and-resources/support-centers/scientific-and-technical-information-center-stic/prior-art.

3.0 Purpose

The USPTO, Office of the Commissioner for Patents requires contractor support services to perform Automated Biotechnology Sequence Search (ABSS)/Sequence searching, Chemical Structure Searching, and Text (General) Searching in order to meet the USPTO mission, which is the examination, granting and dissemination of patents. The purpose of this contract is to provide the USPTO and its customers with Search Services. The USPTO seeks a highly-qualified team with the technical capabilities and willingness to bring innovative concepts/methodologies and industry best practices to support of the USPTO’s patent examination process.

4.0 Requirements

(a) The Contractor shall perform the following types of searches to support the patent examination process: ABSS/Sequence Searching, Chemical Structure Searching, and Text (General) Searching.

(b) The Contractor shall furnish all necessary personnel, materials, and services (except as otherwise provided or specified) to perform the following requirements at a USPTO approved alternate worksite.

(c) The USPTO will provide access to all systems and databases as necessary to support the requirements of this contract. The Contractor shall support USPTO by providing expert search services to increase the efficiency and quality of the patent processes.

https://www.uspto.gov/learning-and-resources/support-centers/scientific-and-technical-information-center-stic/prior-art https://www.uspto.gov/learning-and-resources/support-centers/scientific-and-technical-information-center-stic/prior-art

Form # USPTO-OP-022 (08/2020) Page 3 of 17

(d) The Contractor searchers shall be knowledgeable and proficient with Boolean logic, proximity and syntactical search functions to search existing databases (commercially available databases and existing in-house databases (see https://www.uspto.gov/learning-and-resources/support-centers/scientific-and-technical-information-center-stic/prior-art) in order to find relevant non-patent literature and foreign patents.

(e) The Contractor searchers shall be knowledgeable about information sources including in-house and external electronic resources and print reference tools, such as but not limited to, textbooks, manuals, abstracts, dictionaries, encyclopedias and standards. In-house resources include, but are not limited to, USPTO Automated Information Services (AIS) tools which examiners use daily to perform their work. The Contractor shall identify and select appropriate electronic and print resources, including selecting from available in-house and vendor databases. The Contractor shall be proficient in their knowledge of the in-house and external database search commands and subject specific protocol (e.g., chemical structures, DNA sequence or classification schemes).

(f ) The Contractor shall be responsive to database and resource changes and evolution when developing, formulating, and executing search strategies in order to efficiently target the relevant prior art to meet the requirements of the search request. The Contractor shall apply technical search knowledge in all technology areas and subject area expertise to the search function as this is imperative for building a foundation of effective strategies and search techniques to address the overall information.

(g) Search requests are submitted by examiners and other USPTO staff via e-mail or through

STIC’s website. The content of the search requests includes instructions on the type of search to be conducted, the context and breadth of the search to be conducted, and include supporting documentation, claims or other parts of a patent application and, if available/appropriate, details of prior search conducted by the requestor/examiner. The Contracting Officer’s Representative (COR) or Government Point of Contact (POC) will assign the searches to be performed under these requirements to the Contractor. The Contractor shall complete the search set forth in the search request and post the final deliverable within the set period. The final text/structure search deliverable shall consist of the Contractor’s search history, examiner interview notes (if any), the list of the search results with the abstract and any appropriate annotations pertinent to describe why the references are relevant to the search requested i.e., sections of the prior art text or graphic results that are useful in identifying the searched features/limitations. The final text/structure search deliverable will be in PDF format (or other equivalent format as determined by the USPTO) and have a naming convention to be determined by the USPTO.

https://www.uspto.gov/learning-and-resources/support-centers/scientific-and-technical-information-center-stic/prior-art https://www.uspto.gov/learning-and-resources/support-centers/scientific-and-technical-information-center-stic/prior-art

Form # USPTO-OP-022 (08/2020) Page 4 of 17

4.1 Task 1 - Automated Biotechnology Sequence Search System/Sequence Searching (Contract Line Item (CLIN) 0001 and if options are exercised, CLINs 1001, 2001, 3001, and 4001)

(a) The Automated Biotechnology Sequence Search System (ABSS) is utilized for performing prior art searches of nucleic acid and polypeptide molecular sequences disclosed in patent applications. The ABSS is an in-house system (USPTO access only) designed to search sequence listed data that has been submitted electronically with a patent application. ABSS supports searching of molecular sequences using data stored from applicant submissions as well as commercial databases of published sequence information.

(b) ABSS contains the following searchable databases: GenEMBL (nucleic acids), N-Genseq (nucleic acids), Issued_Patents_NA (nucleic acids), EST (nucleic acids), Published_Applications_NA (nucleic acids), A-Geneseq (proteins), UniPort (proteins), PIR (proteins), Published_Applications_AA (proteins), and Issued_AA (proteins).

(c) ABSS search requests are received via the electronic submission form found on the STIC website. These requests can include fragment, substitution, and fusion searches. See Attachment 3 “Sequence Search Samples” for examples of non-standard ABSS search requests.” The Contractor shall conduct a search on the requested search in the appropriate ABSS databases and provide the results of that search to the Government.

The final deliverable shall include the reference citation and the percentage match of any sequences searched with each relevant prior art document included.

4.2 Task 2 - Chemical Structure Searching (CLIN 0002 and if options are exercised, CLINs

1002, 2002, 3002, and 4002)

(a) The Contractor shall perform chemical structure searches. Chemical structure search requests may be limited solely to a chemical structure or in combination with text limitations. See Attachment 4 “Chemical Structure Samples” for examples of chemical structure search requests. The Contractor shall perform the chemical structure search in the appropriate database(s), using the appropriate editorial rules of the database. For example, the Scientific and Technical Information Network/Chemical Abstract Service (STN/CAS) may be used for searching small molecules and polymer structures. The Contractor shall review the search request, identify the appropriate databases to search, and develop a search strategy commensurate with the scope of the request. The final deliverable will include the results of the search, the list of databases used, and the search strategy.

Form # USPTO-OP-022 (08/2020) Page 5 of 17

(b) The Contractor shall contact the requestor to conduct a reference interview to clarify the scope/limitations of the search request prior to beginning the search, when needed. Notes from this discussion shall be included in the record.

4.3 Task 3 - Text (General) Searching (CLIN 0003 and if options are exercised, CLINs 1003, 2003, 3003, and 4003)

(a) The Contractor shall perform text searches. See Attachment 5 “Text Search Samples” for examples of text search requests. The Contractor shall review the search request, identify the appropriate databases to search, and develop a search strategy commensurate with the scope of the request. The final deliverable will include the results of the search, the list of databases used, and the search strategy.

(b) The Contractor shall contact the requestor to conduct a reference interview to clarify the scope/limitations of the search request prior to beginning the search, when needed. Notes from this discussion shall be included in the record.

4.4 Transition

4.4.1 Transition – In (CLIN 0004)

(a) The Contractor shall be responsible for the successful transition-in of the requirements under this effort.

(1) The Contractor shall develop and implement the detailed transition strategies and processes needed to enable an efficient transfer of products and services from the incumbent service provider to the level of service required under this contract without disruption to ongoing contract support levels.

(2) The Contractor shall develop and implement detailed transition strategies and processes needed to maintain continuity of operations and quality of service during the transition-in period.

(3) The Contractor shall deliver a Transition Plan which must include the schedule and milestones that indicate how the Contractor plans to migrate all existing services from the current provider(s), while minimizing operational and project impacts.

The Transition Plan shall include project start up and staffing ramp up approach, a mobilization schedule, and a schedule of critical events and milestones that are to commence upon award. The Transition Plan shall include the plans for migrating assets, data, and services. For planning purposes, the overall transition period shall not exceed 120 calendar days after contract award. Transition of operational capabilities is to be completed within 120 calendar days and is included in the base period of performance.

Form # USPTO-OP-022 (08/2020) Page 6 of 17

(4) The Contractor shall provide the ability to recruit, assign, and manage the staff and resources in a quick and efficient manner to meet the transition requirements, schedule, and milestones.

4.4.2 Transition – Out (CLIN 0005 and if options are exercised, CLINs 1005, 2005, 3005, and 4005)

(a) The Contractor shall be responsible for the successful transition-out of the requirements under this effort. The transition-out will only occur one-time. It can occur in any year if the Government does not decide to exercise the options.

(1) The Contractor shall develop a Transition-Out Plan that describes a transition out strategy, and identifies transition data and information, systems, components, documentation, functionality, services, service dependencies, services interfaces, risks, transition work activities, schedule, staffing down approach, knowledge transfer, and any other information that needs to be considered to ensure a smooth transition.

(b) The Contractor must deliver the Transition-Out Plan within 20 business days from the USPTO request.

(c) The Contractor shall provide an inventory of all operational, engineering, procedural, educational, and any other documentation and presentations produced as part of delivering services upon the USPTO request.

(d) The Contractor shall continue to fulfill the current contractual requirement(s) and continue all current work in progress until the successor contractor assumes full operational responsibility. The Contractor shall not destroy, delete, or otherwise dispose of any files or data upon expiration or termination of the contract, without prior permission from the COR.

(e) The Contractor shall permit the successor contractor (and the successor contractor’s employees) to observe and become familiar with any and all operations specified in this contract for a minimum of 30 calendar days, or for a COR specified timeframe, prior to the expiration or termination of the existing contract.

(f ) The Contractor shall fully cooperate with the successor contractor and the Government during transition-out so as not to interfere with their work or duties.

(g) The Contractor shall fully support all USPTO requests for information and data required to ensure a seamless transition of services to a new contractor.

(h) The Contractor shall deliver to the USPTO electronic copies of all USPTO data in the format requested by the USPTO within 30 calendar days from the USPTO request.

Form # USPTO-OP-022 (08/2020) Page 7 of 17

5.0 Workload Assignments

(a) The United States Patent and Trademark Office (USPTO) will typically assign search requests to the Contractor on a daily basis. A COR or Government Point of Contact (POC) will assign the search requests to a designation single point of contact, i.e., Project Manager, etc. The Contractor shall then distribute the work to their staff for completion of the requirements. The daily workload may vary based on the amount of search request source documents received by the Scientific and Technical Information Center (STIC). Additionally, the total search requests received on a daily, weekly and monthly basis may vary based on the amount of search request source documents received by STIC. See Attachment 1 for the historical volumes of STIC Contractor processed search requests on a monthly basis during Fiscal Year (FY) 2024. See Attachment 2 for a historical breakdown of text search types by Technology Center (TC) requestor for FY2021 through FY2024.

(b) For the Base Year, the USPTO may employ a “ramp-up or transition-in” period that will entail a rigorous quality review of the Contractor’s deliverables by the USPTO. The “ramp-up or transition-in” period will consist of up to 50% of the typical daily workload. The “ramp-up or transition-in” period will last until the Contractor has demonstrated, to the USPTO, that the final deliverables being delivered meet the USPTO quality standards set forth within Attachment 6. It is envisioned that this period may last up to 90 calendar days but may be extended at the USPTO’s option.

5.1 Performance Based Price Adjustments

(a) Price adjustments are designed to assure timely delivery of all final accepted deliverables. As directed by the Government, the Contractor will have a specified period of time to provide the necessary final deliverables. All final deliverables will be accepted in accordance with the review criteria set forth in Section 6. Timeliness must be recognized as a vital requirement of this contract.

5.1.1 Determination of Timeliness

(a) The Contractor will be provided with source documents, hereafter referred to as search requests. For ABSS searches, the Contractor shall have a maximum of three (3) business days to prepare and deliver the final deliverables, acceptable in accordance with Section 6.1, to the USPTO for each assigned search request.

For structure and text search requests, the Contractor shall have a maximum of five (5) business days to prepare and deliver the final deliverables, acceptable in accordance with Sections 6.2 and 6.3 respectively, to the USPTO for each assigned search request. The timeliness period commences on the next business day following the notification of assignment. The timeliness period will include any day (or any portion of a day which will be counted as a whole day) that the USPTO has not been notified that the final deliverable is ready and is posted to the specified location. After the USPTO confirms that the final deliverable has been posted and determines that the final deliverables are acceptable, the

Form # USPTO-OP-022 (08/2020) Page 8 of 17 number of days late will be calculated based on the days used by the Contractor to prepare and deliver the final acceptable deliverable compared to the allowed time period maximum for that CLIN. The USPTO will perform 100% inspection for compliance with the timeliness for each search results deliverable package.

(b) The following chart summarizes the timeliness requirements set forth in this section:

CLIN (Search Type) Timeliness Requirement

ABSS 3 business days Structure 5 business days

Text 5 business days

In terms of deliverables, a business day refers to Monday through Friday, excluding weekends and Federal holidays, and ends at 11:59 PM Eastern Standard Time.

5.1.2 Timeliness Performance Based Price Adjustments Calculation

(a) The Government will review the Contractor’s timeliness compliance for each deliverable and notify the Contractor of those deliverables which are subject to a reduced invoicing pricing.

(b) The Contractor shall rebut any application determined by the USPTO to be untimely by submitting a written statement to the COR prior to the Contractor invoicing the Government for the untimely deliverable. Any rebuttal submitted after invoicing will be deemed untimely. The USPTO will notify the Contractor of the COR’s final decision on any timeliness rebuttal usually within two (2) business days.

(c) Prices listed in the Offeror’s proposal and subsequently incorporated via contract award will be subject to the following timeliness performance based adjustments:

Timeliness Disincentive

When the final deliverable is received N business days late.

The following unit price adjustment will be applied to the unit price for each effected deliverable.

N= 1-2 days 10% reduction of the CLIN price for each untimely deliverable

N= 3-4 days 20% reduction of the CLIN price for each untimely deliverable

Form # USPTO-OP-022 (08/2020) Page 9 of 17

N= 5-7 days 30% reduction of the CLIN price for each untimely deliverable **

N= More than 7 days 50% reduction of the CLIN price for each untimely deliverable **

**Contractor performance at this level may lead to non-assignment of work, non-exercise of contract options, or termination for default.

6.0 Review Criteria and Acceptance

(a) Deliverables shall be received by the COR and in accordance with the Government’s QASP.

The Government will review the Contractor provided final deliverables to determine whether the Contractor’s deliverables meet the specified quality metrics. See Attachment 6 “Quality Assurance Surveillance Plan (QASP).” The quality metrics will be measured by random search evaluations as defined in the QASP. These evaluations will include a Government search expert reviewing the final deliverables to determine whether the context and breadth of the Contractor’s search was appropriate, whether the field of search (i.e., the database(s) searched) was appropriate, whether relevant search results (prior art) were provided, and whether the examiner interview notes (if any) are appropriate.

(b) The final deliverables will be sampled for each month for all search types, i.e., ABSS, structure, and text. It is anticipated that the quality review process will take up to approximately two (2) weeks to complete from the end of the previous month. The Government will notify the Contractor in writing upon completion of the review process of any deliverable that was deemed to be non-compliant. See Sections 6.1.1 through 6.1.3. All notifications of non-compliance will be accompanied by a justification or substantiation of the reason(s) for error. Acceptance shall be noted in the USPTO approved search log system as designated by the COR. The Government will track compliance rates on a monthly and yearly basis and provide feedback to the Contractor.

6.1 ABSS Searching Review Criteria

(a) There is one (1) metric associated with ABSS search result deliverables. An error will be assessed if the ABSS search was not performed properly.

ABSSerror = (number of improper searches/number of searches reviewed) * 100 Example: ABSSerror (2/100) * 100 = 2% Example: ABSSerror (6/100) * 100 = 6%

(b) The Contractor shall be expected to maintain a maximum monthly error rating of 5%.

Actual compliance rates above 5% for two (2) consecutive months will result in the Contractor being required to submit an updated Quality Control Plan (QCP), non-assignment of work until remedial action is taken, non-renewal of contract options for this CLIN, or termination of the contract.

6.2 Chemical Structure Searching Review Criteria

(a) There are two (2) metrics associated with structure search result deliverables. A Level 1 error will be assessed when the Government Reviewer identifies a reference or references that reasonably should have been found based on the search request and reference

Form # USPTO-OP-022 (08/2020) Page 10 of 17 interview notes (if any), and the Contractor failed to perform a search commensurate with the scope and context of the search request (i.e. were the correct molecule(s), polymer(s), etc. not searched following the editorial rules of the database; requested text terms/concepts were not included in the search strategy).

(b) Multiples errors per search may be identified and documented by the Government

Reviewer; only one (1) Level 1 error will be assessed per search.

StructureLevel 1 = (number of structure searches reviewed and determined to be Level 1 error/number of structure searches reviewed) * 100 Example: (0/17) * 100 = 0% Example: (2/18) * 100 = 11.1%

(c) The Contractor shall be expected to maintain a maximum monthly Level 1 error rating of

5%. Actual compliance rates above 5% for two (2) consecutive months will result in the Contractor being required to submit an updated Quality Control Plan (QCP), non-assignment of work until remedial action is taken, or non-renewal of contract options for

(d) A Level 2 error will be assessed when the Government Reviewer determines one (1) or more of the following:

• The search was too narrow or the requested structure was not searched following the editorial rules of the database

• Databases appropriate to the search concepts were omitted from the search

• Failure to include all requested limitations in the search strategy

• Failure to include reference interview notes that indicate a change in the scope of the initially submitted search request, as agreed to by the requestor

• Synonyms for the search concepts were omitted; relevant search terms appearing in results are not added to the search strategy

• Boolean and proximity operators were not used appropriately

• Truncation was not applied properly (i.e., short word stem would result in non-relevant words retrieved; limited truncation that does not account for all appropriate word variations/endings)

• Search results are not packaged according to Government policy and procedure

• Search results are not uploaded to appropriate locations (both the Docket Application

Viewer (DAV) and the STIC Workflow Tracker (SWFT) or equivalent) on the same date of structure search result deliverable completion/close.

(e) Multiple errors per search may be identified and documented by the Government

Reviewer; only one (1) Level 2 error will be assessed per search.

StructureLevel 2 = (number of structure searches reviewed and determined to be Level 2

Form # USPTO-OP-022 (08/2020) Page 11 of 17

Example: (1/20) * 100 = 5% Example: (3/20) * 100 = 15%

(f ) The Contractor shall be expected to maintain a maximum monthly Level 2 error rating of

10%. Actual compliance rates above 10% for two (2) consecutive months will result in the Contractor being required to submit an updated Quality Control Plan (QCP), non-

6.3 Text (General) Searching Review Criteria

(a) There are two (2) metrics associated with text search result deliverables. A Level 1 error will be assessed when the Government Reviewer identifies a reference or references that reasonably should have been found based on the search request and reference interview notes (if any), and the Contractor failed to perform a search commensurate with the scope and context of the search request (i.e., requested text terms/concepts were not included in the search strategy).

(b) Multiples errors per search may be identified and documented by the Government

Reviewer; only one (1) Level 1 error will be assessed per search.

TextLevel 1 = (number of text searches reviewed and determined to be Level 1

Example: (0/40) * 100 = 0% Example: (3/40) * 100 = 7.5%

(c) The Contractor shall be expected to maintain a maximum monthly Level 1 error rating of

5%. Actual compliance rates above 5% for two (2) consecutive months will result in the Contractor being required to submit an updated Quality Control Plan (QCP), non-

(d) A Level 2 error will be assessed when the Government Reviewer determines one or more of the following:

• The search was too narrow, or the requested structure was not searched following the editorial rules of the database

• Databases appropriate to the search concepts were omitted from the search

• Failure to include all requested limitations in the search strategy

• Failure to include reference interview notes that indicate a change in the scope of the initially submitted search request, as agreed to by the requestor

• Synonyms for the search concepts were omitted; relevant search terms appearing in results are not added to the search strategy

• Boolean and proximity operators were not used appropriately

Form # USPTO-OP-022 (08/2020) Page 12 of 17

• Truncation was not applied properly (i.e., short word stem would result in non-relevant words retrieved; limited truncation that does not account for all appropriate word variations/endings)

• Search results are not packaged according to Government policy and procedure

• Search results are not uploaded to appropriate locations (both the DAV and SWFT or equivalent) on the same date of text (general) search result deliverable completion/close.

(e) Multiple errors per search may be identified and documented by the Government

Reviewer; only one (1) Level 2 error will be assessed per search.

TextLevel 2 = (number of structure searches reviewed and determined to be Level 2 error/number of text searches reviewed) * 100 Example: (1/20) * 100 = 5% Example: (3/20) * 100 = 15%

(f ) The Contractor shall not exceed the monthly Level 2 error rating of 10%. Actual compliance rates above 10% for two (2) consecutive months will result in the Contractor being required to submit an updated Quality Control Plan (QCP), non-assignment of work until remedial action is taken, non-renewal of contract options for this CLIN, or termination of the contract.

6.4 Rebuttal

(a) The Contractor shall have the opportunity to rebut, at their option, any deliverable deemed to be non-complaint within one (1) week of written notification of non-compliance. Any deliverable determined to be in non-compliance by the USPTO may be rebutted a single time by the Contractor by submitting a written statement specifying the reasons for disagreement to the COR. Any rebuttal submitted after one (1) week will be deemed untimely and may not be considered by the USPTO. The COR will notify the Contractor of the USPTO’s final decision on any rebuttal usually within one (1) week of the Contractor’s rebuttal submission.

7.0 Quality

7.1 Quality Control Plan

(a) The Contractor shall maintain a Quality Control Plan (QCP) to ensure that the deliverables meet the quality requirements set forth in this contract. A QCP is the documentation of the Contractor’s process for delivering the level of quality required by the contract. This document is intended to provide guidance to Contractors as to what is expected from QCPs, and what the criteria for accepting and using the requirements for these plans will be. The QCP is the Contractor’s framework for documenting its process for managing and delivering quality work products to the Government. The QCP defines the Contactor’s planned approach to successfully achieve the expected results or outcome as outlined in the PWS. The QCP outlines how those results will be achieved. While it is

Form # USPTO-OP-022 (08/2020) Page 13 of 17 not possible to determine from the QCP whether the level of quality will be acceptable, it is possible to verify that the Contractor, as an organization, has addressed the basic elements of its quality control process. The Contractor shall submit the QCP to the Contracting Officer (CO), COR and Government POC within ten (10) business days after award.

(b) The Contractor's work will be reviewed and inspected to ensure quality standards specified in Section 6.0 of the contract by the COR, who has final approval and acceptance, in accordance with the Government’s Quality Assurance Surveillance Plan

(QASP).

7.1.2 Quality Assurance Surveillance Plan (QASP)

(a) The Contractor's work will be reviewed and inspected by the USPTO COR, who has final approval and acceptance, in accordance with the Government’s QASP, provided as Attachment 6.

8.0 Period of Performance

The period of performance will consist of a base year and four (4) one (1) year options as follows:

Base Year (CLINs 0001-0003) May 16, 2025 – May 15, 2026 Transition – In (CLIN 0004) Transition – Out (CLIN 0005) Option Year 1 (CLINs 1001-1003) May 16, 2026 – May 15, 2027 Transition – Out (CLIN 1005) Option Year 2 (CLINs 2001-2003) May 16, 2027 – May 15, 2028

Transition – Out (CLIN 2005) Option Year 3 (CLINs 3001-3003) May 16, 2028 – May 15, 2029 Transition – Out (CLIN 3005) Option Year 4 (CLINs 4001-4003) May 16, 2029 – May 15, 2030 Transition – Out (CLIN 4005)

9.0 Place of Performance

The Contractor shall perform all work described herein at an alternative worksite. An alternative worksite can be a single corporate facility or at a Contractor’s employee approved site (i.e., home office). Work shall be conducted in accordance with the latest, applicable USPTO remote work policies (see Section 11.3 Alternate Worksite). Information Technology (IT) Security rules of the road apply.

10.0 Personal Identify Verification (PIV) Card Usage

(a) Contractors performing under this contract must have a Personal Identification Verification

Form # USPTO-OP-022 (08/2020) Page 14 of 17

(PIV) card to log-in to the USPTO network. A temporary username/password credentials will be granted until a PIV card is issued. Contractor’s employees that are located within 50 miles of the USPTO Campus, 600 Dulany Street, Alexandria, VA 22314 must come to USPTO Headquarters to pick up PIV cards. Contractor’s employees that are not located within 50 miles of the USPTO Campus in Alexandria, VA will be provided alternative locations 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 Homeland Security Presidential Directive 12 (HSPD-12)/PIV badge guidance can be found at https://ptoweb.uspto.gov/ptointranet/ptosecurity/hspd/hspd_contractor.htm.

11.0 Special Requirements

11.1 Government Furnished Equipment or Data (GFE/GFD)

(a) The USPTO will provide access to available databases, search documents, and any other accounts necessary to perform the contract requirements. The USPTO will provide a reasonable number of computers based on the anticipated workload to access the USPTO network and the appropriate search related tools to perform the requirements. In addition, the USPTO will provide the following Government Furnished Equipment (GFE) and/or data to the Contractor:

• PIV Badge

• Laptops

• RSA SecurID Soft Token (RST)/virtual FOB

(b) Contractors performing under this contract must have a PIV card to log-in to the USPTO network. In the event the issuance of the PIV card is delayed after background clearance and sponsorship, the Contractor shall temporarily use a USPTO PIV exemption to log on to the USPTO network using an RST.

(c) The Contractor shall be held responsible for the physical presence, proper use and handling, reporting of loss, damage or destroyed Government Property, regardless of dollar value.

11.2 Contractor Furnished Equipment and/or Data (CFE/CFD)

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.

11.3 Alternate (telework) Worksite

(a) Alternate Worksite must be approved by the USPTO. The Contractor shall be responsible for any costs/expenses associated in making its staff alternate worksite read. Contractor Search staff must have a signed Alternate Worksite agreement approved by the COR. See Attachment 7 “Alternate Worksite Agreement.” The alternate worksite agreement must be provided to the COR within ten (10) business days after contract award.

https://ptoweb.uspto.gov/ptointranet/ptosecurity/hspd/hspd_contractor.htm

Form # USPTO-OP-022 (08/2020) Page 15 of 17

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

11.4 Travel

Contractor travel shall not be required for this requirement.

11.5 Key Personnel

(a) Before replacing any individual designated as key personnel, the contractor shall notify the Contracting Officer no less than ten (10) business days in advance, submit written justification for the replacement, and provide the name and qualifications of any proposed substitute(s). All proposed replacements shall possess qualifications equal to or superior to those of the key personnel being replaced, unless an exception is approved by the Contracting Officer. The federal government reserves the right to reject any proposed replacement that does not demonstrate the necessary experience and proficiency required.

The Contractor shall not replace key personnel without approval from the Contracting Officer. The following Contractor personnel are designated as key for this requirement:

• Program Manager

• Quality Assurance Specialist

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

(1) Three (3) years or more demonstrated 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 to others, and monitoring project completion, as well as allocating people and resource where necessary. Knowledge of the patents process, patent literature, non-patent literature, and/or prior art searching is preferred. Project Management certification is preferred, but not required.

(c) The Quality Assurance Specialist must have demonstrated the ability to manage a program similar in size and complexity as Search Services. USPTO’s minimum qualifications for this position includes the following:

(1) Two (2) years or more demonstrated experience in the field or in a managerial related area in which he or she has experience in managing service-level agreements (SLAs), quality policies, procedures, processes, programs, and practices, to assure that the team’s continuous performance meet customer requirements.

(2) Two (2) years or more of patent searching experience preferably including quality assessment of patent searching.

(3) Proficiency in Dialog, STN, and/or Questel.

(4) Bachelor’s degree or higher in a science or engineering field.

(d) The Program Management staff shall ensure the smooth functioning of the services required under the contract. The Program Management staff will work closely with the

Form # USPTO-OP-022 (08/2020) Page 16 of 17

COR or POC to address operational issues, challenges and to implement new processes and procedures.

(e) The Program Manager shall be the primary point of contact for the CO, COR and POC and shall be available during normal business hours (8:00 a.m. - 5:00 p.m., Eastern Time) and will respond to all government inquiries as soon as practical but no later than 24 business hours. The Program Manager designee shall chair and/or facilitate project status meetings typically once per month or chair other meetings required with the COR and POCs; tracking and reporting on task progress and processes; documenting meetings;

tracking action items and task assignments, etc.

(f) If at any time during the performance of this contract the Program Manager will be out of office for longer than one (1) week, the Contractor shall provide a designated alternate for the Program Manager, or as a no cost alternative provide at a minimum a written plan, subject to COR and CO approval, as to how the Contractor plans to address and respond to any issues arising in the absence of the Program Manager so as to ensure minimal delays in implementing any corrective action. The Program Manager or his/her alternate shall be responsive to the COR or the COR’s alternate when the COR is out of the office, as well as all other USPTO key personnel, i.e., CO and POC.

(g) The Program Manager shall periodically monitor daily throughput of the Contractor’s work and will notify the COR of problems and concerns as soon as practical. The Program Manager shall provide program management and project management to all Contractor personnel and all Contractor functions provided for in this contract and must possess in-depth knowledge of day-to-day operations, contract requirements and workflow processes. The Program Manager shall be responsible for all aspects of the work performed by the Contractor staff. The 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.

(h) The Program Manager shall ensure timely submission of all reports and report changes(s) to the Contractor’s staff to the COR.

11.6 Non-Disclosure and/or Conflict of Interest Agreements

All Contractor personnel working on any of the described tasks may, at Government request, be required to sign formal non-disclosure (see Attachment 8 “Non-Disclosure Agreement Contractor”) and/or conflict of interest agreements to guarantee the protection and integrity of Government information and documents. This also applies to any subcontractors and/or consultants used by the Contractor.

11.7 Government Holidays

USPTO observes the federal holidays as found and updated currently on the U.S. Office of Personnel Management (OPM) website:

https://www.opm.gov/policy-data-oversight/pay-leave/federal-holidays/ https://www.opm.gov/policy-data-oversight/pay-leave/federal-holidays/

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

11.8 Training

(a) The Government will provide the Contractor with appropriate training as directed by the

Government and for Government-unique systems (e.g. ABSS). Documentation and brief overviews on these in-house resources/tools will be provided by STIC personnel as needed.

(b) The Contractor shall be responsible for and shall ensure staff are properly trained and hold the appropriate credentials as required for the services being performed. The Government will not allow costs nor reimburse costs associated with the Contractor’s training of Contractor employees/subcontractors in an effort to attain and/or maintain any minimum personnel qualification requirement(s) that may be established for performance of this contract.

11.9 Security

[Identify any additional security requirements that may be associated with work performed under the contract. *COs should refer to and include FAR clauses 52.203-16, 52.203-17, 52.204-23, 52.204-25, PTO-04, PTO-08, PTO-12, PTO-13, PTO-24, etc. as appropriate and in their respective sections.*]

11.10 Data Rights

[All contracts that require data to be produced, furnished, acquired, or used in meeting contract performance requirements, must contain terms that delineate the respective rights and obligations of the government and the contractor regarding the use, reproduction, and disclosure of that data. Data rights clauses do not specify the type, quantity or quality of data that is to be delivered, but only the respective rights of the government and the contractor regarding the use, disclosure, or reproduction of the data. Accordingly, the contract shall specify the data to be delivered. Generally, a contract should contain only one data rights clause. However, where more than one is needed, the contract should distinguish the portion of contract performance to which it pertains. *COs should refer to and include FAR provision 52.227-15, FAR clauses 52.227-14, 52.227-16, 52.227-17, 52.227-18, 52.227-19, 52.227-20, 52.227-21, 52.227-22, 52.227-23, PTO-04, etc. as appropriate and in their respective sections.*]

12.0 Attachments:

Attachment 1: FY2024 Historical Volumes by Search Request Types Attachment 2: Text Search Type Percentages by Technology Center Attachment 3: Sequence Search Samples Attachment 4: Chemical Structure Samples Attachment 5: Text Search Samples Attachment 6: Quality Assurance Surveillance Plan Attachment 7: Alternate Worksite Agreement Attachment 8: Non-Disclosure Agreement Contractor