R -- ELECTRONIC RECORDS MANAGEMENT POLICY DEVELOPMENT SUPPORT

Notice Date

February 23, 2001

Contracting Office

Department of Commerce, Patent and Trademark Office (PTO), Office of Procurement, Box 6, Washington, DC, 20231

ZIP Code

20231

Solicitation Number

52PAPT101011

Response Due

March 26, 2001

Point of Contact

Naomi Sorrell, Contracting Officer, Phone (703) 305-8563, Fax (703) 305-8294, Email naomi.sorrell@uspto.gov

E-Mail Address

Naomi Sorrell (naomi.sorrell@uspto.gov)

Description

(i) This is a combined synopsis/solicitation for commercial services prepared in accordance with the format stated in the Federal Acquisition Regulation (FAR), Subpart 12.6, as supplemented with additional information included in this notice. This announcement constitutes the only solicitation; proposals are being requested and a written solicitation will not be issued. (ii) This solicitation number 52PAPT101011 is issued as a request for proposal (RFP). (iii) The solicitation document and incorporated provisions and clauses are those in effect through Federal Acquisition Circular (FAC) 97-23. (iv) This acquisition is being conducted as a full and open competition. The associated code under the North American Industry Classification System (NAICS) is 54111. (v) The United States Patent and Trademark Office (USPTO) anticipates entering into a five year (base year with four option years) contract. The anticipated award date is on or about May 1, 2001. The Government contemplates award of a firm-fixed price, indefinite-quantity, task order contract resulting from this solicitation. The hourly rate for service is not subject to any adjustment on the basis of the contractor's cost experience in performing the contract. The contract will provide for an indefinite quantity, within stated limits, of services to be furnished during a fixed period, with performance of tasks to be scheduled by placing orders with the contractor. The tasks likely to be ordered are so integrally related that only a single contractor can reasonably perform the work. Therefore, the Government will award a single contract. The contract line item numbers, description, unit of measure and quantity are specified herein. CLIN 0001, DESCRIPTION: Professional Consultant to provide Electronic Records Management Policy Development Support, UNIT: hour, QUANTITY: minimum hours 1000, maximum hours 7500 over the life of the contract. PRICE: Under CLIN 0001, offerors shall provide an hourly price for the base year and each option year. CLIN 0002, DESCRIPTION: Optional Tasks. Optional tasks related to Electronic Records Management Policy Development Support may be ordered on an as needed basis. Each task is subject to negotiations and the establishment of a firm fixed price. Under this contract, optional tasks shall be initiated only by the issuance of a fully executed task order. The service must be within the scope of the contract. CLIN 0002 includes products and services necessary to fulfill the undertakings set out in the contract beyond the basic labor provided in CLIN 0001. CLIN 0002 items include, but are not limited to, travel to attend required meetings, conducting conferences, providing briefing materials, etc. The Government is only liable for services expended under the terms and conditions of the contract to the extent that a fully executed task order has been issued and covers the required items. The total CLIN 0002 task order cost shall not exceed ten percent of the total contract cost over the life of the contract. PRICE: No action is required by the offerors under CLIN 0002. Each task will be negotiated on an as needed basis. (vi) DESCRIPTION OF REQUIREMENTS: Electronic Records Management Policy Development Support services are considered to be highly complex and specialized. Services which the Contractor is required to provide include, but are not limited to, those described herein. The services so described or specified shall not be deemed to constitute a comprehensive specification having the effect of excluding services not specifically mentioned. The contractor is required to furnish all other services necessary to fulfill the undertakings set out in the contract. Background: The United States Patent and Trademark Office (USPTO) has a requirement for a Contractor to assist in conducting research and developing recommendations for a system of laws, regulations, standards, policies, procedures and practices to meet the legal and operational requirements of an electronic patent records system. All of the USPTO's patent and trademark records, as the official records of the PTO, must be legally authentic and admissible in any administrative or judicial proceeding throughout the record's entire life. The advent of electronic patent records and the requirements under the new Government Paperwork Elimination Act for full electronic receipt, publication and management of those records, creates a critically important need for the USPTO to establish policies and procedures. Additionally, in view of the newly created and operational electronic systems that must anticipate and meet all requirements for the national and international legal acceptability of electronic records, there is an imminent need to create a legal framework for handling the issues surrounding these records. As one of the world's largest patent offices, the USPTO's decisions and policies regarding the management of its electronic patent records will impact other patent offices worldwide. The USPTO is on record that it will enact a new section of its regulations directly addressing the issues of electronic patent records during the next two years. The USPTO, therefore, has a special opportunity and need to lead in the development of an electronic patent records system that would be compatible with those of the World Intellectual Property Office (WIPO) and those of the other Trilateral offices (the US, Japanese and European patent offices). In order to achieve the many benefits of an internationally compatible system for managing electronic patent records, the USPTO must continue its research and devise a system of standards, procedures, policies and practices which meets the legal, technical and operational requirements of an electronic patent records system. The system must be compatible with, or recommend necessary changes to, the law. Requirement: Highly specialized, state-of-the-art legal/technical consulting expertise is required. The types of efforts included are listed below. (1) Advise senior USPTO management, USPTO legal and procedural specialists, US Trilateral and other US international intellectual property project teams, and USPTO reengineering initiative teams by identifying legal, technical, policy and operational issues, analyzing and evaluating issues and processes, developing recommendations, and providing guidance in the technical aspects of and solutions to the issues. (2) Conduct research and provide reports summarizing the analysis and findings of the research conducted regarding: US and international electronic records and evidence laws and administrative guidelines and standards; analyze future trends, key legal, policy and procedural issues and standards relating to the creation, management and accountability of electronic patent records; similar existing operational electronic records systems within the Federal Government and international patent authorities to identify the legal, technical, process and procedural requirements and standards and best practices for functional systems; digital signatures, verification of digital signatures, digital certificates, public key infrastructure and other specific issues pertaining to electronic filing and files; potential solutions for achieving certification in the communication and management of electronic patent records; and management of electronic records through their life cycle. (3) Prepare, assess, review and comment on draft documents and solution models related to electronic records issues, e.g., address the requirements and potential solutions for achieving certification in the communication and management of electronic patent records; provide an assessment of WIPO's Patent Cooperation Treaty (PCT) proposals re: Electronic Filing; assess the United Nations Commission on International Trade Law (UNCITRAL) positions on electronic commerce; identify legal and practical issues related to the overall electronic filing model and proposed functionality of the PCT Electronic Filing and Management System (EFMS) against established and proposed best industry and Government practices for electronic records management (ERM); identify electronic records management issues and define and evaluate resolutions regarding the detailed file management approach and structure of the PCT EFMS as it relates to technical standards for electronic filing of legal documents, legal admissibility, security, authentication, data integrity and life cycle records management, including retention management and long term maintenance of document integrity; identify and evaluate resolutions regarding the ability of the PCT EFMS to meet established as well as envisioned changes to International patent filing rules and requirements with a focus on the Government Paperwork Elimination Act, the Patent Cooperation Treaty, Patent Law Treaty and the UNCITRAL Model Law on Electronic Commerce; review and assess Trilateral draft working papers resulting from the collaborative effort of all parties to address electronic records and the issues as related to patent application records. (4) Provide facilitation, best practices analysis, feasibility analysis, legal and regulatory research and documentation support, including planning meetings, documenting meeting results and recommendations and preparing briefing materials and status reports, e.g., identify and contact key governmental and industry experts to help develop, discuss and address the major issues facing electronic filing and processing at the USPTO and solution alternatives in the area of electronic records receipt and management; the research sources will include key personnel from Government, legal (e.g., the American Bar Association, American Intellectual Property Law Association), academia, and industry as well as the USPTO; provide quality presentation services relating to legal research conducted, associated technical alternatives and recommendations for regulatory and practice changes to adapt USPTO law, regulations and practices for paperwork elimination environment, USPTO operational options, and documents drafted and reviewed. The skills and attributes required to meet this unique combination of USPTO requirements include, but are not limited to: extensive ability to conduct authoritative legal research; comprehensive understanding of document-based information management, especially in the corporate environment, including the conceptual and technical issues associated with the implementation of electronic records management systems; experience with federal government key recovery policies and pilot projects; demonstrable experience in the unique legal and operational issues associated with patent records; extensive educational experience in providing management guidance on the legal, operational and technical issues associated with managing electronic records; recognized leadership in developing electronic records management standards; resource for identifying and engaging the expertise of national and international experts in this electronic records management team, independence from any vendor who has previously or might subsequently do business with the USPTO as a hardware or software provider or systems integrator; and established record of excellence in providing quality professional services. The Government will furnish or make available to the contractor the documentation or data deemed necessary to perform the required effort. Work will be specified in individual task orders. (vii) PERIOD OF PERFORMANCE: The proposed effective date of the contract is May 1, 2001 through April 30, 2002, with provisions to exercise four one year options. The clause at 52.217-9 is applicable to this acquisition and is incorporated herein. 52.217-9 Option to Extend the Term of the Contract. (a) The Government shall have the unilateral option to extend the term of this contract for four (4) consecutive additional periods of 12 months each. The same terms and conditions contained in this contract shall apply to each option exercised. The option(s) shall be exercised upon written notification (mailed or otherwise furnished) to the Contractor at least thirty (30) calendar days prior to expiration of the contract. The total duration of this contract, including the exercise of any option(s) shall not exceed five (5) years. (b) The exercise of options is a Government prerogative, not a contractual right on the part of the Contractor. If the Government exercises the option(s) within the prescribed time frames, the Contractor shall be bound to perform the services for the option period(s) or be subject to the default provisions of the contract. (viii) The provisions at 52.212-1, Instructions to Offerors-Commercial Items and 52.217-5 Evaluation of Options apply to this acquisition. (ix) The following provision 52.212-2 Evaluation-Commercial Items is applicable to this acquisition. EVALUATION -COMMERCIAL ITEMS (a) The government will award a contract resulting from this solicitation to the responsible offeror whose offer conforming to the solicitation will be most advantageous to the Government, price and other factors considered. The following factors shall be used to evaluate offers: technical capability, past performance and price. Offerors are requested to submit a technical proposal, of no more than five (5) pages, that demonstrates their technical capabilities, industry recognition and experience that relates to the above specified statement of work (SOW). Offerors must provide past performance information that includes recent and relevant information for at least two contracts for efforts accomplished similar to this effort including contract numbers, points of contact with telephone numbers and other relevant information. Offerors may provide past performance information on work for State and local governments and private sector clients. Offerors shall provide information on problems encountered on the identified contracts and the corrective actions taken. Offerors are requested to submit a price proposal that reflects the total hourly rate to accomplish this effort. Technical capability and past performance when combined are significantly more important than price. (b) The Government will evaluate offers for award purposes by adding the total price for all options to the total price for the basis requirement. The Government may determine that an offer is unacceptable if the option prices are significantly unbalanced. Evaluation of options shall not obligate the Government to exercise the option(s). (c) A written notice of award or acceptance of an offer, mailed or otherwise furnished to the successful offeror within the time for acceptance specified in the offer, shall result in a binding contract without further action by either party. Before the offer's specified expiration time, the Government may accept an offer whether or not there are negotiations after its receipt, unless a written notice of withdrawal is received before award. (x) Offerors are advised to include a completed copy of the provisions at 52.212-3, Offer Representations and Certifications-Commercial Items with its offer. (xi) The clause at 52.212-4 Contract Terms and Conditions-Commercial Items applies to this acquisition. (xii) The clause at 52.212-5 Contract Terms and Conditions Required to Implement Statutes or Executive Orders -- Commercial Items applies to this acquisition. The FAR clauses cited in the clause that are applicable to this acquisition are those at (b) 1, 7, 11, 12, 13, 14, 15, and 22. (xiii) In addition, the following clause are applicable to this acquisition: 52.218-18 Ordering, 52.216-19 Order Limitations, 52-216-22 Indefinite Quantity, Organizational Conflict of Interest, Restrictions Against Disclosure, and Secrecy and Usage of Patent Information. (xiv) Proposals are expected to conform to solicitation provisions and be prepared in accordance with information provided in this solicitation. To aid in evaluation, the proposal shall be clearly and concisely written as well as being neat and logically assembled. All pages of each part shall be appropriately numbered and identified with the name of the offeror, the date, and the solicitation number. The offeror shall submit one original of their proposal, marked as such and 4 copies to the United States Patent and Trademark Office, Office of Procurement, 2011 Crystal Drive, Suite 810, Arlington, Virginia 22202. Attention Naomi Sorrell. All offers are due by March 26, 2001, no later than 2:00 PM Eastern Standard Time (EST). The point of contact for all information regarding this acquisition is Naomi Sorrell at (703) 305-8563, FAX (703)305-8294 and via e-mail naomi.sorrell@uspto.gov.

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Record

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