MODIFICATION
R -- Docketing, Tracking, Payment and Reporting of Annuities related to Foreign Patents
- Notice Date
- 2/1/2006
- Notice Type
- Modification
- NAICS
- 541110
— Offices of Lawyers
- Contracting Office
- Department of Agriculture, Agricultural Research Service, Acquisition and Property Division, Acquisition Branch (MD), 5601 Sunnyside Avenue, Building 3, Mailstop: 5116, Beltsville, MD, 20705
- ZIP Code
- 20705
- Solicitation Number
- 063K06007
- Response Due
- 3/9/2006
- Description
- This is a combined synopsis/solicitation for commercial items prepared in accordance with the format in Subpart 12.6, as supplemented with additional information included in this notice. This is a Request For Proposals (RFP). This announcement constitutes the only solicitation; proposals are being requested and a written solicitation will not be issued. This solicitation (RFP 06-3K06-007) is hereby issued as a request for proposal (RFP). A sources sought was posted for this requirement under number 05-3K06-083 and is replaced with RFP 06-3K06-007. This solicitation document and incorporated provisions and clauses are those in effect through Federal Acquisition Circular (FAC) 2005-08. This solicitation is being issued as full and open competition. The applicable NAICS code is 541110 and size standard for this requirement is $6 Million. All responsible sources may submit a proposal which will be considered by the agency. Amendment 3 includes: Quality Assurance Surveillance Plan QUALITY ASSURANCE SURVEILLANCE PLAN (QASP) FOR ANNUNITY PATENT TRACKING AND DOCKETING SERVICES AT THE THE OFFICE OF TECHNOLOGY TRANSFER George Washington Carver Center Beltsville, Maryland 20705 TABLE OF CONTENTS I INTRODUCTION 1 II PURPOSE 1 III PERFORMANCE STRATEGY 1 IV METHODOLOGIES TO MONITOR PERFORMANCE 1 V ANALYSIS OF QUALITY ASSURANCE MONITORING RESULTS 1 FAILURE TO PERFORM 2 VI PERFORMANCE REQUIREMENT SUMMARY (PRS) 3-4 1.2 STRATEGY 5 2.0 ROLES AND RESPONSIBILITIES 5 3.0 IDENTIFICATION OF SERVICES TO BE PERFORMED 6 4.0 QUALITY ASSURANCE REPORTING 6 LIST OF ATTACHMENTS ATTACHMENT 1 9 ATTACHMENT 2 10 I. INTRODUCTION This Quality Assurance Surveillance Plan (QASP) is pursuant to the requirements listed in the United States Department of Agriculture (USDA) Performancence-based Statement of Work (SOW) entitled ?Annuity Patent Tracking and Docketing Services? at the Office of Technology Transfer (OTT) located in the George Washington Carver in Beltsville, Maryland. This performance-based plan sets forth the procedures and guidelines that the OTT will use in monitoring the contractor?s compliance with the Statement of Work technical performance. II. PURPOSE 1.1.1. The purpose of the QASP is to describe the systematic methods used to measure performance, identify the reports required and the government roles and responsibilities. The QASP provides a means for evaluating whether the contractor is meeting the performance standards set forth in the SOW. The results of the evaluation, reflected in the reports generated by implementing the QASP, become the basis for determining the service provider?s revised compensation. III. PERFORMANCE MANAGEMENT STRATEGY: The Government will communicate performance objectives expected from the contractor throughout the SOW. For each performance objective communicated in the SOW, the Government has identified critical performance evaluation elements. These elements are described below in the QASP Table. The contractor?s Quality Control Plan (QCP) shall set forth the procedures for self inspecting the quality, timeliness, responsiveness, customer satisfaction, and other performance requirements listed in the PRS. The contractor will develop and implement a simplified performance management system with processes to assess and report their performance to the Contracting Officer Representative (COR). IV. METHODOLOGIES TO MONITOR PERFORMANCE: This QASP will define the approach taken by the OTT to monitor, manage, and take appropriate action on the service provider performance against expected outcomes or performance objectives and standards communicated in the SOW. In an effort to minimize the contract administration burden upon the Government, simplified methods of surveillance and reliance on simplified techniques shall be used by the Government to evaluate contractor performance. The primary methods of surveillance are reviews of monthly reports, receipts, foreign associate/attorney correspondence, and review of those records and files that are required to be maintained and delivered under this SOW. These documents will be used to assist in determining if the Acceptable Quality Level (AQL) is being maintained. V. ANALYSIS OF QUALITY ASSURANCE MONITORING RESULTS The Contracting Officer?s Representative will work with the contractor in a collaborative manner to make decisions and take action based on performance evaluation information to ensure: A. Corrective actions are being taken B. Customer expectations are being met C. The Contractor is presented with a look ahead to achieve proactive management including being alerted on upcoming events based on customer developments. Failure to perform may result in deductions to the contractor?s monthly invoice or termination of the contract. A. Notifications: Consistent with FAR Part 49, the Contracting Officer shall notify the contractor of failure to meet standards. B. Deductions: The Government has the right to withhold a portion of payment for the monthly cost of performing particular services based on failure to meet performance standards. C. Termination: If the Contracting Officer determines that the contractor has failed to perform to the extent that a termination for default is justified, the Contract Officer shall issue a notice of termination, consistent with FAR Part 49. VI. QASP Performance Requirement Summary Table: SOW Section Requirement AQL Measure Surveillance Method Deduction C.3 Timely Payment of Annuities: The COR will evaluate the monthly annuity confirmation payment reports against invoices from the Contractor each month, to ensure all annuities were paid at least thirty (30) days prior to the deadline by contractor. 100% Accuracy/ Completeness Monthly review of reporting documentation and receipts. In the event that patent annuities are not paid before the official deadline and it is determined the contractor is at fault, and a surcharge is assessed, the Contractor will assume the cost of the resulting fee(s). If the fault is determined to lie with the Government, the Government will assume the cost of the resulting fee(s). C.3.1 Loss of Patent Rights: Upon being notified, either by the Contractor, Foreign Associate, or Individual Country Patent Office, that patent rights were lost either retrievably or irretrievably due to non-payment of an annuity, the COR will investigate the file and use other resources as necessary to determine the cause of such a loss. The COR will investigate to determine if instruction was made by the Government and all requested information was furnished. Extenuating circumstances will also be reviewed before making a determination regarding responsibility for such a loss. 100% Notification/accuracy and reliability of information Review monthly reporting documentation, receipts and Foreign Associate / Attorney correspondence If patent rights are irretrievably lost and the fault is determine to lie with Contractor or Contractor?s associate, the Government will be reimbursed the annuity fee. If rights are not irretrievably lost, but Petitions and other necessary documentation must be filed, the Contractor shall assume the cost of filing such petitions and documentation. If the fault is determined to lie with the Government, the Government will assume such costs. C.3.1 Timely Docketing, Tracking, and Reporting: The Government will promptly furnish all the information as stipulated in the Statement of Work to facilitate docketing and will review all reports and receipts received from Contractor to determine if the Contractor is docketing and tracking annuities at least thirty (30) days prior to the official deadline for payment. Confirmation that annuities have been paid must be received by the Government no later than thirty (30) days after the Official deadline for payment. 100% Accuracy and reliability of information Review monthly reporting documents, receipts and Foreign Associate / Attorney correspondence If Contractor is not providing docketing and tracking services for annuities at least thirty (30) days prior to the official deadline for payment, and the Government has furnished the necessary information to facilitate such docketing and tracking services, a penalty may be assessed and a deduction of 25% may be taken from the invoice containing the annuities in question. If the fault is determined to lie with the Government, no penalty will be assessed. If confirmation that annuities have been paid is not received within thirty (30) days after the Official deadline for payment, the Government will deduct the total fee for the annuities in question from the invoice. 1.2 STRATEGY 1.2.1 The government will communicate performance objectives and standards expected from the service provider through the SOW. These performance objectives are summarized in the Performance Requirements Summary (PRS) table of this QASP. For each performance objective and standard communicated in the SOW, the government will identify corresponding performance standards that are required to be tracked and reported by the Contractor. 1.2.2 The Government representative will monitor performance and review performance reports furnished by the Contractor on a regular interval basis to determine how the Contractor is performing against communicated performance objectives and standards. The government will make decisions based on performance management data and notify the Contractor of those decisions. The Contractor shall be responsible for making required changes in processes and practices to ensure performance is effectively managed. 2.0 ROLES AND RESPONSIBILITIES 2.1. The relationship between the Contractor and the government will be a partnership committed to the mutual success of each party. 2.2 As a minimum, the Principal Contracting Officer (CO) will designate a Contracting Officer?s Representatives (COR) as the government authority for performance management. 2.3 The COR is responsible for developing insight into the specific service of annuity patent tracking and docketing services for foreign patents and will assist the Contractor with understanding the performance expectations as stated in the SOW. The COR is specifically responsible for monitoring, assessing, and communicating the technical performance of the service provider. The COR will have the responsibility for completing QA monitoring forms (refer to Attachments 1 and 2) used to document the inspection and evaluation of the Contractor?s performance. Government surveillance may occur under the Inspection of Services clause for any service relating to the contract. 2.4 The COR is required to ensure changes in work are not initiated before a written authorization or a modification is issued by the CO. The CO will be responsible for overall monitoring of contract compliance and issuing modifications thereto. 3.0. IDENTIFICATION OF SERVICES TO BE PERFORMED The service provider shall perform the specific BARC and USNA requirements listed in the SOW for the following service areas: 1. Services to Pay Annuities (SOW Section C.3) 2. Services to Work Cases (Docket and Track) (SOW Section C.3) 3. Services to Provide Receipts and Reports, Tax Maintenance List, Confirmation Reports (SOW Section C.3 and C.4) 4. Annuity Payments and Taxes (SOW Section C.3) 4.0. QUALITY ASSURANCE REPORTING AND ANALYSIS 4.1 The performance management feedback loop begins with the communication of expected outcomes. Expectations of service levels are expressed in the PWS and measured by the required performance standards in the Performance Requirements Summary (PRS). The Contractor will implement a QCP that sets forth procedures and responsibilities for ensuring quality work performance. The Contractor will develop a performance management process to assess and report their performance to the COR, which will be submitted in a monthly Progress Report. 4.2 The government?s QA monitoring, accomplished by the COR, will be reported using the monitoring forms in Attachments 1 and 2. The forms, when completed, will document the COR?s understanding of the Contractor?s performance under the contract to ensure that the SOW requirements are being met. 4.2.1 In addition to QA monitoring, the COR will use the Quarterly Tax Maintenance Report, Confirmation List Report and the monthly Progress Report as well as customer complaints to assess the Contractor?s level of performance for each performance objective measured in this QASP. The COR must coordinate and communicate with the service provider to resolve issues and concerns of marginal or unacceptable performance. 4.2.2 The COR will retain a copy of all completed QA monitoring forms and forward copies to the CO and Contractor in a timely manner. The Contractor is required to respond in writing to the COR regarding the QA monitoring forms recording performance that ?does not meet standards? within 5 working days after receipt of the forms. 4.3 The COR will review Contractor responses to the issues identified in the QA monitoring form prepared by the COR. By the 10th of each month, the Contractor shall compile a summary assessment of the Contractor?s performance for the previous month. The Progress Report consists of an assessment of the Contractor?s monthly reports and when due the information from the quarterly reports as well as information on annuity payments. ATTACHMENT 1 QUALITY ASSURANCE MONITORING FORM SERVICE or STANDARD: _______________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ SURVEY PERIOD: ___________________ SURVEILLANCE METHOD (Check): _____ Random Sampling _____ 100% Inspection _____ Periodic Inspection _____ Customer Complaint LEVEL OF SURVEILLANCE SELECTED (Check): _____ Monthly _____ Quarterly _____ As needed PERCENTAGE OF ITEMS SAMPLED DURING SURVEY PERIOD: ______ % ANALYSIS OF RESULTS: OBSERVED SERVICE PROVIDER PERFORMANCE MEASUREMENT RATE = ______% SERVICE PROVIDER?S PERFORMANCE (Check): ____ Exceeds Standards ____ Meets Standards ____ Does Not Meet Standards SECTION OF THE QUALITY CONTROL PLAN PERFORMANCE FAILED TO MEET: _______________________________ NARRATIVE OF PERFORMANCE DURING SURVEY PERIOD: _____________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ PREPARED BY: ___________________________________ DATE: _____________________ ATTACHMENT 2 QUALITY ASSURANCE MONITORING FORM ? CUSTOMER COMPLAINT INVESTIGATION SERVICE or STANDARD: _______________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ SURVEY PERIOD: ___________________ DATE/TIME COMPLAINT RECEIVED: _____________ ________ AM / PM SOURCE OF COMPLAINT: _______________________________ (NAME) _______________________________ (ORGANIZATION) _______________________________ (PHONE NUMBER) _______________________________ (EMAIL ADDRESS) NATURE OF COMPLAINT: _______________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ RESULTS OF COMPLAINT INVESTIGATION: ____________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ SECTION OF THE QUALITY CONTROL PLAN PERFORMANCE FAILED TO MEET: ______________________________ DATE/TIME SERVICE PROVIDER INFORMED OF COMPLAINT: _____________ _________ AM / PM CORRECTIVE ACTION TAKEN BY SERVICE PROVIDER: ____________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ RECEIVED AND VALIDATED BY: __________________________________________________ PREPARED BY: ___________________________________ DATE: _____________________
- Place of Performance
- Address: USDA/ARS/OTT, 5601 Sunnyside Avenue, Beltsville, Maryland
- Zip Code: 20705 5131
- Country: USA
- Zip Code: 20705 5131
- Record
- SN00977950-W 20060203/060201211714 (fbodaily.com)
- Source
-
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