SAM TITLE: USPTO PTAG 6.1.1 Sources Sought: Professional Services and Information Management System Support (DPPS)
This PTAG 6.1.1 Sources Sought Notice is strictly for market research ONLY. It is for
informational and planning purposes and shall NOT be construed as a solicitation or as an obligation or commitment by the Government at this time.
PTAG
The Government intends utilizing the Alternative Competition Method in accordance with the Patent and Trademark Office Acquisition Guidelines (PTAG) and the Patent and Trademark Office Efficiency Act 35 U.S.C. 2(b)(4)(A). This Sources sought notice is intended as preliminary market information gathering which the USPTO will use to determine which Small Business contractor(s) is/are the most likely to successfully meet the agency’s needs and are thereby eligible to participate in an alternative competition. As a result of this market research, the solicitation will only be issued to those qualified small business contractor(s) that are deemed most likely to successfully meet the agency’s requirement as stated below.
Requirement:
The USPTO Records Program Office (RPO) is seeking to award a FAR 13.303 BPA to one responsible offeror for a maximum five-year term, including a one-year base and four one-year option periods.
The procurement is for Document Services Program Support services as described in the
Statement of Work (abbreviated below) which will include providing services to the records Program office (RPO) and Public Records Division (PRD) to include but not limited to:
Services provided to the Records Program Office (RPO) include providing resources and access for stakeholders to search assigned property rights and offers a suite of tools to facilitate and record the transfer of ownership or change the name on their patent or trademark registration.
RPO provides tutorials, webcasts, guides, and customer service support to navigate the process of rights assignment. In addition, the office supports customer requests for certified copies of patent and trademark documents as well as access to the USPTO Systems of Record Notices and services supporting the Paperwork Reduction Act.
Services provided to the Public Records Division (PRD), which is a component of the Records Program Office (RPO) include providing timely access to information contained in issued patents, registered trademarks, and assignments as an essential part of the USPTO’s mission.
PRD business functions are mandated by 37 CFR 1.12 for Assignments and 37 CFR 1.13 for Copies and serve as an integral element of the USPTO’s mission to serve the Global IP community.
- The PSC code is: R499 Support—Professional: Other
- The NAICS Codes and applicable size standards: 541512 – Computer Systems Design Services
#### STATEMENT OF WORK (abbreviated) ####
1.0 Background
The United States Patent and Trademark Office (USPTO) is the federal agency for granting U.S. patents and registering trademarks. In doing this, the USPTO fulfills the mandate of Article I, Section 8, Clause 8, of the Constitution that the legislative branch "promote the Progress of Science and useful Arts, by securing for limited Times to Authors and Inventors the exclusive Right to their respective Writings and Discoveries."
The USPTO registers trademarks based on the commerce clause of the Constitution (Article I, Section 8, Clause 3). Under this system of protection, American industry has flourished. New products have been invented, new uses for old ones discovered, and employment opportunities created for millions of Americans.
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 continued demand for patents and trademarks underscores the ingenuity of American inventors and entrepreneurs. The USPTO is at the cutting edge of the nation's technological progress and achievement.
The Records Program Office (RPO) provides resources and access for stakeholders to search assigned property rights and offers a suite of tools to facilitate and record the transfer of ownership or change the name on their patent or trademark registration by utilizing the computer software systems as well as the consulting services provided by the vendor.
RPO provides tutorials, webcasts, guides, and customer service support to navigate the process of rights assignment. In addition, the office supports customer requests for certified copies of patent and trademark documents by utilizing the computer software systems as well as the consulting services provided by the vendor.
The team will manage the Information management system to allow access to the USPTO Systems of Record Notices and services supporting the Paperwork Reduction Act.
The Public Records Division (PRD) is a component of the Records Program Office (RPO). The team will support the USPTO Office automation to assist in providing timely access to information contained in issued patents, registered trademarks, and assignments as an essential part of the USPTO’s mission.
PRD business functions are mandated by 37 CFR 1.12 for Assignments and 37 CFR 1.13 for Copies and serve as an integral element of the USPTO’s mission to serve the Global IP community
.
- Objective and Scope
Objective
The USPTO is seeking one contractor with intricate knowledge of Document Professional Services and Information Management System Support (DPPS).
The business model followed in the Public Records Division is that of a retail sales operation. The integrated nature of the workflow makes it imperative that the contractor work closely with the Assignment Recordation Branch (ARB) and Patent and Trademark Copy Fulfillment Branch (PTCFB) personnel to assure that customers receive correct assignment documents, certified and uncertified documents within stated time frames.
Because the Public Records Division is a revenue-producing function strongly tied to the U.S. Patent and Trademark Office’s (PTO) Strategic initiatives and goals, it is a very dynamic program with frequent policy, procedural and systems changes.
The contractor must be flexible and proactive to assure the contractor’s portions of the production pipeline are in synchronization with the PTO’s portions of that same pipeline as changes occur.
This Document Professional Services and Information Management System Support. is expected to remain dynamic throughout the life of this contract.
3.0 Scope
The goal of the Public Records Division is to provide products and services that meet customer expectations 100% of the time.
The USPTO recognizes that the ability of the contractor to provide that level of service is dependent upon three factors: The quality of the source of the image and data provided for processing, the quality of the performance of the equipment/systems provided to the contractor and the interest of the contractor in managing its people and daily operations.
Currently, for example the quality of the patents being sold are over 99% satisfactory as judged by customer complaints.
The Public Records Division intends to maintain this level of quality.
This is also intended to be a USPTO enterprise Blanket Purchase Agreement (BPA) which will allow other USPTO business units to utilize the awarded BPA
4.0 Period of Performance
The anticipated period of performance is for a one-year base period and four one-year option periods.
- Major Components of the Document Processing Professional Services Operations
Customer Service:
Customer Service is the backbone of the DPPS and USPTO insists that it be perceived as a reliable source of exceptionally high-quality products and services that are delivered correctly and in a timely manner.
Customer Service is required in several locations within the Knox Building, concourse level, and must be provided on a continuous basis, without interruption for any reason.
To provide customer service support for the Assignment Branch to ensure timely response to inquiries, accurate processing of assignment submissions, and enhanced user experience for the public and stakeholders interacting with USPTO's Assignment systems
- Order Entry, Tracking, Finishing
The Assignment Branch within the Public Records Division at the USPTO processes customer requests related to the recordation of patent and trademark ownership changes.
This includes: handling large volumes of requests requiring accurate data entry, tracking, and completion of order workflows. To obtain contractor support to perform order entry, order tracking, and finishing tasks to ensure timely and accurate processing of assignment-related requests in compliance with 37 CFR §
Contractor support will help maintain high-quality service delivery and operational efficiency.
The contractor shall provide personnel to perform administrative and operational support activities related to the processing of assignment orders.
Document Tracking
The Assignment Branch within the Public Records Division at the USPTO processes and maintains official records related to patent and trademark ownership changes. Accurate tracking of documents throughout their lifecycle is critical to ensuring timely recordation, customer satisfaction, and compliance with federal regulations, including 37 CFR § 1.12.
To acquire contractor support services for document tracking activities that ensure the accurate and timely movement, status monitoring, and accountability of assignment-related documents throughout all stages of processing.
The contractor shall provide personnel to support document tracking functions within the Assignment Branch
Certified Copy Center Branch (CCC)
The CCC system currently tracks only the broad, general order fulfillment stages. Most of the tracking of orders through the various processing steps is done manually by applying initials to Control Sheets in the work area receiving the order/document from a prior step, or in the work area dispatching the order/document to the next processing step.
The Contract Monitoring Staff within PTCFB, who are responsible for monitoring work, and for moving work between the contractor and PTO functions throughout the production pipeline, apply many initial to work in progress.
It is anticipated that within the life of the Contract, CCC will be enhanced to allow the automated recording of location and production status information through the use of bar codes and wands or other technology, and that for efficiency of operations the contractor or USPTO employee who completed a processing step, or who is receiving work from a prior processing step, will be required to use the automated CCC tracking means.
Document Finishing
The Assignment Branch within the USPTO Public Records Division processes and records electronic assignment documents related to patents and trademarks. Upon completion, these documents are finalized, quality checked, and primarily delivered electronically. In cases where electronic delivery fails (e.g., bounced emails or system issues), physical delivery is used as a secondary method to ensure customer receipt.
To obtain contractor support for finishing electronic assignment records, ensuring that completed documents are quality checked, properly formatted, and delivered to customers—electronically when possible, or by physical mail when necessary.
Order Correction Support
The contractor shall support the Order Correction function as part of the Certified Copy Center’s quality control workflow. This activity occurs after the initial certification of customer orders and is critical to ensuring the accuracy and completeness of final document packages prior to delivery. This function is essential to the integrity of the CCC's output and helps ensure compliance with customer requirements, internal standards, and USPTO’s commitment to accuracy and reliability.
Reporting and Supply Monitoring for Certified Copy Center and Assignment Recordation Branch
The contractor shall support the USPTO Public Records Division by collecting, organizing, preparing, and submitting all reports required for the Certified Copy Center and Assignment Recordation Branch.
These reports are essential for evaluating performance, identifying issues, and supporting data-driven decision-making.
Software Proficiency Requirement
Contractor personnel shall possess proficiency in the use of Microsoft Office applications, including:
- Microsoft Word – for preparing official documentation, reports, and formatted correspondence
- Microsoft Excel – for data entry, tracking logs, generating metrics, and producing reports with charts and formulas
- Microsoft PowerPoint – for creating presentation materials and summarizing data for leadership and stakeholder briefings
These tools are integral to daily operations, reporting, and communication within the Public Records Division. Contractor staff must be capable of using these applications independently and in accordance with USPTO formatting standards.
7.0 Operations Support
The Assignment Branch within the USPTO’s Public Records Division is responsible for processing and recording changes in patent and trademark ownership. The Branch supports thousands of customers annually and must maintain efficient and accurate workflows across systems, services, and staff to meet regulatory and operational demands.
To obtain contractor support for operational tasks that ensure the smooth, continuous functioning of the Assignment Branch. This includes: supporting daily workflows, managing document queues, monitoring system performance, updating logs, and assisting with service delivery coordination.
The contractor shall provide experienced personnel to support a wide range of operational activities for the Assignment Branch. Duties include, but are not limited to:
- Monitoring daily workflows and ensuring timely movement of documents through various processing stages.
- Supporting digital queue management and triaging incoming assignment submissions for completeness and proper routing.
- Assisting with operational metrics tracking, logging volumes, and generating activity reports.
- Coordinating with customer service, order entry, document finishing, and technical teams to ensure efficient cross-functional handoffs.
- Identifying processing bottlenecks and assisting with backlog resolution.
- Updating internal knowledge bases, SOPs, or process documentation as workflows evolve.
- Supporting process audits and compliance reviews as needed.
- Daily support for Assignment Branch operations, including queue, event and status oversight and task coordination.
- Weekly status reports on workflow metrics, document volumes, and processing trends.
- Issue logs and escalation tracking for operational disruptions or delays.
- Updated process documentation or SOPs as workflows are refined.
8.0 Place of Performance:
The Agency anticipates that the majority of the work will take place at the: USPTO Headquarters:
600 Dulany St.
Alexandria, VA 22314
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HOW TO RESPOND TO THIS SOURCES SOUGHT NOTICE
Note: The Government will not utilize formal evaluation criteria for market research associated with PTAG 6.1.1. The Government will review these sources sought responses to help determine which (if any) firms are most likely to successfully meet the agency’s requirements for Document Professional Services and Information Management System Support (DPPS)
In your email response please include in the subject:
“ACQ-25-0515 PTAG RFI DPPS”
DEADLINE:
- Questions regarding this sources sought notice are due no later than June 13th, 2025 at 1:00 PM EST and are to be submitted via email to Kendall.jones1@uspto.gov and Christopher.ward@uspto.gov
- Responses are due no later than June 18th, 2025 at 1:00 PM EST and are to be submitted via email to Kendall.jones1@uspto.gov and Christopher.ward@uspto.gov
Responses should include:
- a capability statement (including other supporting info showing the ability to meet this requirement as requested below),
- the name of your firm,
- Whether or not your firm is a Small Business and the Socio-Economic sub-category(ies) of your firm (if applicable)
- complete address, email and phone of the primary contact.
- Your SAM.gov UEI number (if available).
- Your firms GSA schedule contract number (if applicable)
- Note: you must be registered in the SAM.gov database prior to any award of a contract or agreement.
In response to this source sought notice, please provide enough detail to show:
- Past performance should include ten plus years of Document Professional Services and Information Management System Support (DPPS)
- PRD business functions are mandated by 37 CFR 1.12 for Assignments and 37 CFR 1.13 for Copies and serve as an integral element of the USPTO’s mission to serve the Global IP community.
- Demonstrated experience with federal government security requirements, including document security procedures.
Key Personnel
- In your response to this source sought, please identify any Key Personnel that would likely be involved in fulfilling the requirements, and include any relevant background information on those individuals.
All information received in response to this RFI that is marked as proprietary will be handled accordingly. Responses to this notice are not offers and cannot be accepted by the Government to form a binding contract. Responders are solely responsible for all expenses associated with responding to this RFI.
This PTAG 6.1.1 Sources Sought Notice is strictly for market research ONLY.
It is for informational and planning purposes and shall NOT be construed as a solicitation or as an obligation or commitment by the Government at this time.
