2.2.1-DRAFT PWS Attachment 3 - QASP v2.docx

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

ATTACHMENT 3

U.S. Department of Homeland Security (DHS) U.S. Immigration and Customs Enforcement (ICE) Office of Enforcement and Removal Operations (ERO) And Homeland Security Investigations (HSI) San Antonio Field Office (SNA)

Transportation Services

Quality Assurance Surveillance Plan (QASP)

1. INTRODUCTION

The Government’s Quality Assurance Surveillance Plan (QASP) is based on the premise that the contractor and not the Government, is responsible for the day-to-day transportation of detainees, and all the management and quality control actions required to meet the terms of the contract. The role of the Government in quality assurance is to ensure performance standards are achieved and maintained. The contractor is required to develop a comprehensive program of inspections and monitoring actions and to document its approach in a qQuality cControl pPlan (QCP). The contractor’s QCP, upon approval by the Government, will be made a part of the resultant contract.

This QASP is designed to provide an effective surveillance method to monitor the contractor’s performance relative to the requirements listed in the agreement. The QASP illustrates the systematic method the Government (or its designated on-site representative) will use to evaluate the services the contractor is required to furnish.

This QASP is based on the principle that the Government will validate that the contractor shall comply with U.S. Immigration and Customs Enforcement, Enforcement and Removal Operations (ICE/ERO) - mandated quality standards in providing security and transportation. Performance standards address all facets of transportation related services. Efficient management by the contractor and use of an approved QCP ensures that the contractor operates within acceptable quality levels.

2. DEFINITIONS

*Also see in the Performance Work Statement (PWS). Comment by O'Donnell, Shawn: Add the attachment number for the PWS when referencing in this or other documents.

Performance Requirements Summary (Appendix A): The pPerformance rRequirements sSummary (PRS) depicts what the Government intends to qualitatively inspect. The PRS is based on:

· M-68 (A Guide to Proper Conduct and Relationships with Aliens and the General Public)

· Current and future revisions to the Performance Based National Detention Standards (PBNDS) 2011– A copy is obtainable on the Internet website http://www.ice.gov/detention-standards/2011.

· All rules and regulations governing usage of firearms.

· Contractor providing all such armed transportation services, to include transportation, detainee supervision and record keeping services for ICE, in support of the detention and removal process.

· All transportation requirements listed under PWS.

The PRS identifies performance standards grouped into five functional areas, and quality levels essential for successful performance of each requirement. The PRS is used by the Government reviewers (or their designated representative) when conducting quality assurance surveillance to guide them through the inspection and review processes for assessing compliance in meeting Government standards.

Attachment3 - QASP

Performance Standards:

The performance standards are established in the ICE 2011 Performance Based National Detention Standards (PBNDS) at http://www.ice.gov/detention-standards/2011. Other standards may also be defined in the contract.

Withholding:

Amount of monthly invoice payment withheld pending correction of a deficiency. See Appendix A for information on percentage of invoice amount that may be withheld for each functional area. Funds withheld from payment are recoverable (see Sections 6 and 7) if the COR and contracting officer (CO) confirm resolution/correction and should be included in the next month’s invoice.

Deduction:

Amount of monthly invoice payment deducted due to a deficiency. See Appendix A for information on percentage of invoice amount that may be deducted for each functional area. Funds deducted from payment are not recoverable (see Sections 6 and 7).

3. QUALITY CONTROL PLAN

As a part of its agreement with the Government, the contractor is required to develop, implement, and maintain a QCP that describes the methods it will use to review its performance to ensure it conforms to the performance requirements. The contractor shall perform such reviews in order to validate its operations, andoperations and assure the Government that the services meet the performance standards.

The contractor’s QCP should include monitoring methods that ensure and demonstrate its compliance with the performance standards. This includes inspection methods and schedules that are consistent with the regular reviews conducted by ERO. The reports and other results generated by the contractor’s QCP activities shall be provided to the COR as requested.

The frequency and type of the contractor’s reviews should be consistent with what is necessary in order to ensure compliance with the performance standards, but no less frequent than what is described in the Government’s monitoring instrument/worksheets (see Appendix C).

The contractor is encouraged not to limit its inspection to only the processes outlined in the Government’s standard; however, certain key documents shall be produced by the contractor to assure the Government that the services meet the performance standards. Some of the documentation that must be generated and made available to the COR for inspection are listed below. The list is intended as illustrative and is not all -inclusive. The contractor shall develop and implement a program that addresses the specific requirement of each standard and the means it will use to document compliance.

· Written policies and procedures to implement and assess operational requirements of the standard

· Documentation and record keeping ensuring ongoing operational compliance with the standards (e.g., inventories, logbooks, register of receipts, reports)

· Staff training records

· Contract Discrepancy Reports (CDRs)

· Investigative reports

· Records of investigative actions taken

· Equipment inspections

4. METHODS OF SURVEILLANCE

The Government will inspect the services and operations provided by the contractor using worksheets it developed for this purpose. Frequency of inspections will be determined by the COR. The COR or designee will evaluate the service provider’s performance by (a) reviewing documentation, and (b) interviewing the service provider’s personnel and/or detainees. NOTE: For day-to-day activities, the Government will conduct its surveillance using the worksheets created for this purpose, along with the CDRs (CDRs: see Appendix B) and the “Contract Performance Monitoring Tool” set forth in Appendix C. Where ICE/ERO standards are referenced for annual review purposes, the “Monitoring Instruments” and “Verification Sources” identified in ICE/ERO standard will be used.

4.1 Site Visits:

Site visits are used to observe actual performance and to conduct interviews to determine the extent of compliance with performance standards, and to ensure any noted deficiencies are effectively addressed and corrected as quickly as possible. Routine reviews may involve direct observation of the contractor personnel performing tasks, interacting with detainees and other staff members, and/or reviewing documentation that demonstrates compliance with ICE/ERO standards. On-site inspections may be performed by the ICE COR. Inspections may be planned (e.g., annual inspections and the regularly scheduled inspections identified in Appendix C) or ad-hoc. Comment by O'Donnell, Shawn: What is the title of Appendix C? Please add to the document.

4.2 Ad-Hoc:

These inspections are unscheduled and will be conducted as a result of special interests or unexpected conditions arising from routine monitoring of the contractor’s QCP, an unusual occurrence pertaining to the agreement, or other ICE concerns. These inspections may also be used as a follow -up to a previous inspection. Inspection findings will be provided to the contractor as appropriate.

When visiting a site, either the COR or a designated third party may conduct their own inspections of the contractor’s performance activities or accompany the contractor’s designated qQuality cControl iInspector (QCI) on scheduled inspections. The COR may also immediately inspect the same area as soon as the QCI has completed the quality control inspection to determine if any surveillance areas were overlooked. The COR may also inspect an area prior to the QCI and compare results. The COR will record all findings; certain deficiencies noted will be provided in writing and must be corrected within a reasonable amount of time (see Appendix B).

4.3 Review of Documentation:

The contractor shall develop and maintain all documentation as prescribed in the performance standards (e.g., post logs, policies, and records of corrective actions). In addition to the documentation prescribed by the standards, the contractor shall also develop and maintain documentation that demonstrates the results of its own inspections as prescribed in its QCP. The COR will review both forms of documentation to affirm that the conditions, policies/procedures, and handling of detainees all conform to the performance standards stated herein. When reviewing the contractor’s documentation, the Government will review all the documents, or a representative sample. Documentation may be reviewed during a site visit, or at periodic points throughout the period of performance.

4.4 Interviews and Other Feedback:

The COR will interview key members of the contractor’s staff, detainees, and other Government personnel to ascertain current practices and the extent of compliance with the performance standards.

5. FUNCTIONAL PERFORMANCE AREAS AND STANDARDS

To facilitate the performance review process, the required performance standards are organized into five (5) functional areas corresponding to the requirements in the Performance Requirements Summary (PRS). Each functional area represents a proportionate share (i.e., weight) of the monthly invoice amount payable to the service provider based on meeting the performance standards. Payment withholdings will be based on these percentages and weights applied to the overall monthly invoice.

ICE may, consistent with the scope of the contract, unilaterally change the functional areas and associated standards affiliated with a specific functional area. The CO will notify the contractor at least 30 calendar days in advance of implementation of the new standard(s). If the contractor is not provided with the notification, adjustment to the new standard must be made within 30 calendar days after notification. If any change affects pricing, the contractor may submit a request for equitable price adjustment in accordance with the FAR Clause 52.243-1 Changes – Fixed Price. ICE reserves the right to develop and implement new inspection techniques and instructions at any time during performance without advance notice to the contractor, so long as the standards are not more stringent than those being replaced, unless agreed upon by the parties. The contractor shall provide a safe and secure environment for staff and detainees through effective and continuously monitored program management.

6. FAILURE TO MEET PERFORMANCE STANDARDS

Performance of services in conformance with the PRS standards is essential for the contractor to receive full payment as identified in the contract. The CO may withhold or take deductions against the monthly invoices for unsatisfactory performance documented through surveillance of the contractor’s activities gained through site inspections, reviews of documentation (including monthly QCP reports), interviews, and other feedback. As a result of its surveillance, the contractor will be assigned the following rating relative to each performance standard:

At-Risk Based on the measures, compliance with most of the attributes of the performance standard is demonstrated/observed with some area(s) needing improvement. There are no critical areas of unacceptable performance.

Using the above standards as a guide, the CO will implement adjustments to the contractor’s monthly invoice as prescribed in Appendix A.

Rather than withholding funds until a deficiency is corrected, there may be times when an event or a deficiency is so egregious that the Government deducts (vs. “withholds”) amounts from the contractor’s monthly invoice. This may happen when an event occurs, such as an escape, traffic accident due to the contractor negligence, or sexual abuse, when a particular deficiency is noted three or more times without correction, or when the contractor has failed to take timely action on a deficiency about which he/she was properly and timely notified.

The amount deducted will be consistent with the relative weight of the functional performance area where the deficiency was noted. The deduction may be a one-time event, orevent or may continue until the contractor has either corrected the deficiency, or made substantial progress in the correction. Amounts deducted are not recoverable.

Further, a deficiency found in one functional area may tie into another. If a detainee escaped, for example, a deficiency would be noted in “Security and Control,” but may also relate to a deficiency in the area of “Administration and Management.”

7. NOTIFICATIONS

(a) Based on the inspection of the contractor’s performance, the COR will document instances of deficient or at-risk performance (e.g., noncompliance with the standard) using the CDR form located at Appendix B. To the extent practicable, issues should be resolved informally, with the COR and contractor working together. When documentation of an issue or deficiency is required, the procedures set forth in this section will be followed.

(b) When a CDR is required to document performance issues, it will be submitted to the contractor with a date when a response is due. Upon receipt of a CDR, the contractor shall immediately assess the situation and either correct the deficiency as quickly as possible or prepare a corrective action plan. In either event, the contractor shall return the CDR with the action planned or taken noted. After the COR reviews the contractor’s response to the CDR including its plan/remedy, the COR will either accept the plan or correction or reject the correction/plan for revision and provide an explanation. This process should take no more than one week. The contractor shall not use the CDR as a substitute for quality control.

(c) The COR and CO, in addition to any other designated ICE official, shall be notified immediately in the event of all emergencies. Emergencies include but are not limited to the following: staff use of force including use of lethal and less-lethal force (includes detainees in restraints more than eight hours); assaults on staff/detainees resulting in injuries requiring medical attention (does not include routine medical evaluation after the incident); fights resulting in injuries requiring medical attention; fires; escape; weapons discharge; suicide attempts; deaths; adverse incidents that attract unusual interest or significant publicity; adverse weather (e.g., hurricanes, floods, ice/snow storms, heat waves, tornadoes); transportation accidents resulting in injuries, death, or property damage; and sexual assaults. Note that in an emergency situation, a CDR may not be issued until an investigation has been completed.

(d) If the COR concludes that the deficient or at-risk performance warrants a withholding or deduction, the COR must include the complete CDR (with official response from contractor/service provider) in its monthly report to ICE/ERO headquarters, with a copy to the CO. The CDR must be accompanied by the COR’s investigation report and written recommendation for any withholding. If contractual action including a withholding or deduction is appropriate, ICE/ERO headquarters will forward the CDR and supporting information to the CO for action. The CO will consider the COR’s recommendation and forward the CDR along with any relevant supporting information to the contractor in order to confirm or further discuss the prospective cure, including the Government’s proposed course of action. As described in Section 6 above, portions of the monthly invoice amount may be withheld until such time as the corrective action is completed, or a deduction may be taken.

(e) Following receipt of the contractor’s notification that the correction has been made, the COR may re-inspect. Based upon the COR’s findings, he/she may recommend that the CO continue to withhold a proportionate share of the payment until the correction is made, ormade or accept the correction as final and release the full amount withheld for that issue.

(f) If funds have been withheld and either the Government or the contractor terminates the agreement, those funds will not be released. The contractor may only receive withheld payments upon successful correction of an instance of non-compliance. Further, the contractor shall not be relieved of full performance of the required services hereunder; the agreement may be terminated upon adequate notice from the Government based upon any one instance, or failure to remedy deficient performance, even if a deduction was previously taken for any inadequate performance.

(g) The COR will maintain a record of all open and resolved CDRs.

8. DETAINEE/MEMBER OF PUBLIC COMPLAINTS

The Government, detainee and the public are the ultimate recipients of the services identified in this contract. Any complaints made known to the COR will be logged and forwarded to the contractor for remedy. Upon notification, the Contractor will be given a pre-specified time limit after verbal notification from the COR to address the issue. The contractor shall submit documentation to the COR regarding the actions taken to remedy the situation. If the complaint is found to be invalid, the contractor shall document its findings and notify the COR.

9. APPENDICES

A. Performance Requirements Summary B. Contract Discrepancy Report C. Performance Monitoring Tool

Appendix A - Performance Requirements Summary

FUNCTIONAL

AREA/ WEIGHT

QUALITY LEVEL

WITHHOLDING CRITERIA

Safety (20%)

(Addresses a safe work environment for staff, volunteers, contractors and detainees) PBNDS References: Part 1 - SAFETY

1) Emergency Plans;

2) Environmental Health and Safety;

3) Transportation (by Land).

Performance measures are reflected in the monitoring instrument that accompanies each standard or in the supplemental performance monitoring tool issued by the COR

Annual review using Detention Management Control Program (DMCP) procedures and based upon the performance standard

Periodic reviews in accordance with the contract performance monitoring tool (see attached)

· Annual review using DMCP procedures and based upon the performance standard

· Periodic reviews in accordance with the attached performance monitoring tool

· Monthly review of corrective action plan results

· Ad-hoc reviews as needed

· CDRs

Security (20%)

(Addresses protect the community, staff, contractors, volunteers, and detainees from harm) PBNDS References: Part 2 - SECURITY

13) Searches of Detainees

14) Sexual Abuse and Assault Prevention and Intervention;

16) Staff-Detainee Communication;

18) Use of Force and Restraints.

Weapons Control 4-ALDF-2B-04, 4-ALDF- 2B-08, 4-ALDF-7B-14

Sexual Assault 4-ALDF-4D-22-8 Permanent Logs 4-ALDF-2A-11 Performance measures are reflected in the monitoring instrument that accompanies each standard or in the supplemental performance monitoring tool issued by the COR

Annual review using DMCP procedures and based upon the performance standard

Periodic reviews in accordance with the contract performance monitoring tool (see attached)

· Annual review using DMCP procedures and based upon the performance standard

· Periodic reviews in accordance with the attached performance monitoring tool

· Monthly review of corrective action plan results

· Ad-hoc reviews as needed

· CDRs

70CDCR20D00000017

Attachment 2 - QASP

Order (10%)

(Addresses contractor responsibility to maintain an orderly environment with clear expectations of behavior and systems of accountability) PBNDS Reference: Part 3 - ORDER

19) Disciplinary System.

Diversity Training 4-ALDF-6A-08, 4- ALDF-7B-10 Performance measures are reflected in the monitoring instrument that accompanies each standard or in the supplemental performance monitoring tool issued by the COR

Annual review using DMCP procedures and based upon the performance standard

Periodic reviews in accordance with the contract performance monitoring tool (see attached)

· Annual review using DMCP procedures and based upon the performance standard

· Periodic reviews in accordance with the attached performance monitoring tool

· Monthly review of corrective action plan results

· Ad-hoc reviews as needed

· CDRs Performance fully complies with all elements of standard at a level no less than acceptable (see Section 6 of the QASP) A CDR that cites violations of PBNDS and PWS (contract) sections that maintain an orderly environment with clear expectations of behavior and systems of accountability permits the CO to withhold or deduct up to 10% of a monthly invoice until the CO determines there is full compliance with the standard or section.

Workforce Integrity (10%)

(Addresses the adequacy of the detention/correctional officer hiring process, staff training and licensing/ certification and adequacy of systems to report and address staff misconduct) Staff Background and Reference Checks (Contract) 4-ALDF-7B-03

Staff Misconduct 4-ALDF-7B-01

Staffing Pattern Compliance within 10% of required (Contract) 4-ALDF-2A-14

Staff Training, Licensing, and Credentialing (Contract) 4-ALDF-4D-05, 4-ALDF-7B-05, 4- ALDF-7B-08

· Periodic reviews in accordance with the attached contract performance monitoring tool

· Monthly review of corrective action plan results.

· Ad-hoc reviews as needed

· CDRs

of a monthly invoice until the CO determines there is full compliance with the standard or section.

A rating of At-Risk on any of the standards permits the CO to withhold or deduct up to 10% of a monthly invoice until the CO determines there is full compliance with the standard or section.

Detainee Discrimination (10%) (Addresses the adequacy of policies and procedures to prevent discrimination against detainees based on their gender, race, religion, national origin, or disability)

· Annual review using DCMP procedures and based upon the performance standard

· Periodic reviews in accordance with the attached performance monitoring tool (see attached)

of a monthly invoice until the CO determines there is full compliance with the standard or section.

A rating of At-Risk on any of the standards permits the CO to withhold or deduct up to 10% of a monthly invoice until the CO determines

· Monthly review of corrective action plan results.

· Ad-hoc reviews as needed

· CDRs there is full compliance with the standard or section.

Attachment 2 - QASP

Appendix B - Contract Discrepancy Report

INITIATION OF CDR (COR completes fields 1 through 8 and provides CDR to Contractor)

1. Contract Number:

2. CDR Number (FY## - CDR## example: FY22 - CDR01):

3. To: (Contractor, Company Contact, Contact Information) Contractor:

Manger/Contact:

Contact Information (Email + Phone):

4. From: (Name of Contracting Officer’s Representative (COR) and contact information) Name:

Phone:

Email:

5. Discrepancy or Problem (Describe in Detail: Include reference in PWS or PBNDS/NDS reference/ PWS reference/Functional Category and Rating (“At-Risk” or “Deficient” rating) (see QASP). Attach continuation sheet if necessary and note here.)

6. CDR Initiation Date (Date Sent to Contractor):

7. Contractor Response Due Date (Set by COR):

8. COR Name and Contact Information:

Contractor Response to CDR (Contractor completes fields 9 through 11 and returns to COR)

9. Contractor Response as To Cause, Corrective Action and Actions to Prevent Recurrence. (Attach continuation sheet if necessary and note here.)

10. Date Contractor Response Returned to COR:

11. CONTRACTOR REPRESENTATIVE Name and Contact Information:

COR REVIEW AND RECOMMENDATION

Government Evaluation of Contractor Response (COR completes fields 12 through 15 and sends to CO)

12. Government Evaluation of Contractor Response/Resolution Plan: (Acceptable response/plan, partial acceptance of response/plan, rejection. Attach continuation sheet if necessary and note here.)

13. COR’s Recommendation to Contracting Officer for Government Action (Payment withholding, cure notice, show cause, other, or none. If COR accepts the contractor’s response and/or plan and proposes no further action, state that here. Attach continuation sheet if necessary and note here.)

14. Date CDR Submitted to CO:

15. COR Name and Contact Information:

CO REVIEW AND CLOSE OUT

CDR CLOSE OUT

Contracting Officer Review *See ICAM Appendix V for additional guidance concerning coordination with OPLA, etc. (CO completes Fields 15 through 16 processes any required Government actions via a contract modification, provides a copy of the final CDR to the COR, and Emails a copy of the CDR and any resulting mod for tracking to OAQCDRTracking@ice.dhs.gov )

16. Contracting Officer’s Decision (Decision on COR requested Government actions or concurrence with no further action, clearly state here how this CDR was resolved. If action was taken against the contractor, clearly outline the action and note the date action was taken. Attach continuation sheet if necessary and note here.)

17. SIGNATURE OF CONTRACTING OFFICER / DATE:

B-1

Appendix C – Performance Monitoring Tool

D

W

M

Q

Daily

Weekly

Monthly

Quarterly

DETENTION STANDARD

Rating A/D/R

Corrective Action Required / Comments

Due Date

1. Emergency Plans

2. Environmental Health and Safety

A.

Staff trained to prevent contact with blood and bodily fluids

B.

Every employee and resident using flammable, toxic, or caustic materials receives advance training in their use, storage, and disposal

C.

Safety Office (or officer) maintains files of inspection reports; Including corrective actions taken

D.

All flammable and combustible materials (liquid and aerosol) are stored and used according to label recommendations

C-1

DETENTION STANDARDS

Rating A/D/R Corrective Action Required / Comments Due Date

3. Transportation (Land Transportation)

arrive at the designated meeting area on schedule.

Officers use a checklist during every vehicle inspection

D.

Transporting officers limit driving time to 10 hours in any 15 hour period when transporting residents

E.

Two officers with valid Commercial Drivers Licenses, (CDL’s) required in any bus transporting residents

F.

Policies and procedures are in place addressing the use of restraining equipment on transportation vehicles

18. Use of Force and Restraints

Video tapes of incidents preserved/catalogued for 2 1/2 yrs

E.

Facility subscribes to prescribed confrontation avoidance procedures

G.

Appropriate procedures in place for using 4 point restraints

H.

Medical staff consulted prior to deploying OC spray in calculated use of force situations

I.

All electronic stun devices inventoried and used by facility must be approved by ICE National Firearms and Tactical Training Unit

DETENTION STANDARDS

Rating A/D/R Corrective Action Required / Comments Due Date

19. Disciplinary Policy

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