Attachment IV - Quality Assurance Surveillance Plan.docx

ATTACHMENT IV

QUALITY ASSURANCE SURVEILLANCE PLAN

for the

IMMIGRATION AND CUSTOMS ENFORCEMENT (ICE)

OFFICE OF ENFORCEMENT AND REMOVAL OPERATIONS (ERO)

DELIVERY OF MEALS

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 operation of the meals 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 Quality Control Plan (QCP) in accordance with Attachment I – Statement of Work and Attachment II – Daily Menu Meal. The contractor’s QCP, upon approval by the Government, will be made a part of the contract.

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

This QASP is based on the premise the Government must validate that the contractor is complying with U.S. Department of Health food preparation standards (ERO-mandated quality standards) in preparing food for Detainees. Performance standards address all facets of food preparation and handling, including safety, health, and records management, etc. The use of an approved QCP will ensure that the food is prepared and handled within acceptable quality levels.

2. DEFINITIONS

Contracting Officer’s Representative (COR): The COR interacts with the contractor to inspect and accept services/work performed in accordance with the technical standards prescribed in the contract. The Contracting Officer issues a written memorandum that appoints the COR. Other individuals may be designated to assist in the inspection and quality assurance surveillance activities.

Measures: The method for evaluating compliance with the standards.

Acceptable Quality Level: The minimum level of quality that will be accepted by the Government in order to meet the performance standard.

Withholding: Amount of monthly invoice payment withheld pending correction of a deficiency. See Attachment I – Statement of Work for information on percentage of invoice amount that may be withheld. Funds withheld from payment are recoverable if the COR and Contracting Officer confirm resolution/correction and should be included in the next month’s invoice.

Deduction: Funds may be deducted from a monthly invoice for an egregious act or event, or if the same deficiency continues to occur. The contractor will be notified immediately if such a situation arises. The Contracting Officer in consultation with the Program Office will determine the amount of the deduction. Amounts deducted are not recoverable.

3. QUALITY CONTROL PLAN

As a part of the contract with the Government, the contractor is required to develop, implement, and maintain a QCP that illustrates the methods it will use to review its performance to ensure it conforms to the requirements. (See Daily Menu Meals Attachment II for a summary list of food deliverables.) Such reviews are performed by the contractor in order to validate its operations and assure the Government that the services meet the 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 should 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 each week.

The contractor is encouraged not to limit its inspection to only the processes outlined in the Government’s standard; however, certain key documents must 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 is listed below. The list is intended as illustrative and is not all-inclusive. The contractor must develop and implement a program that addresses the specific requirement of each standard and the means it will use to document compliance.

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

· Staff training records

· Contract discrepancy reports (CDRs)

· Investigative reports.

· Equipment inspections

· Food Inspection

4. METHODS OF SURVEILLANCE

The Government will inspect the contractor’s meal in accordance with Attachment I – Statement of Work.

The COR or designee will evaluate the contractor’s performance by (a) conducting site visits to food handling / preparation conditions, (b) reviewing documentation, and (c) interviewing the contractor’s personnel. NOTE: For day-to-day activities, the Government will conduct its surveillance using the Contract Discrepancy Reports (CDRs; See Attachment III)

4.1 Site Visits: Site visits are used to observe actual performance and to conduct interviews to determine the extent of compliance with food preparation and handling standards, and to ensure any noted defects are effectively addressed and corrected as quickly as possible. Routine reviews may involve direct observation of the contractor’s personnel performing tasks in the preparation of food and/or reviewing documentation that demonstrates compliance with food purchasing / management and handling.

On-site inspections may be performed by the ICE COR or by other parties designated as representatives of ICE. Inspections may be planned.

4.2 Ad-Hoc: These inspections are unscheduled and will be conducted as a result of special interests arising from routine monitoring of the contractor’s QCP, an unusual occurrence pertaining to the contract 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 contractor performance activities or accompany the contractor’s designated Quality Control Inspector (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.

4.3 Review of Documentation: The contractor must develop and maintain all documentation in the performance standards (e.g., food records, records of corrective actions). In addition to the documentation prescribed, the contractor must 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 facility conditions, policies/procedures, and handling of food products conform to the performance standards stated herein. When reviewing the contractor’s documentation, the Government may review 100% of 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, and other personnel to ascertain current practices and the extent of compliance with the food preparation and handling.

5. FUNCTIONAL PERFORMANCE AREAS AND STANDARDS

To facilitate the performance review process, the required performance standards are organized into the number of meals per month after the date of award. Each section represents a proportionate share (i.e., number of meals) of the monthly invoice amount payable to the contractor based on meeting the performance standards. Payment withholdings will be based on the number of meals applied to the overall monthly invoice.

The Contracting Officer 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 “Changes” clause. ICE reserves the right to develop and implement new inspection techniques and instructions at any time during performance without notice to the contractor, so long as the standards are not more stringent than those being replaced.

6. FAILURE TO MEET PERFORMANCE STANDARDS

Performance of services is essential for the contractor to receive full payment as identified in Attachment I – Statement of Work. The Contracting Officer may 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:

Using the above standards as a guide, the Contracting Officer will implement adjustments to the contractor’s monthly invoice as prescribed from Attachment I – Statement of Work.

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, when a particular deficiency is noted for 11 meals per month or more without correction, or when the contractor has failed to take timely action on a deficiency about which he was properly and timely notified. The amount deducted will be consistent with the relative weight of the section performance area where the deficiency was noted. The deduction may be a one-time event or may continue until the contractor has either corrected the deficiency or made substantial progress in the correction.

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 located at Attachment III. 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 must immediately assess the situation and either correct the deficiency as quickly as possible or prepare a corrective action plan. In either event, the contractor must 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 plan or correction or reject the correction/plan for revision and provide an explanation. This process should take no more than one week. The CDR should not be used as a substitute for quality control by the contractor.

(c) If the COR concludes that the deficient or at-risk performance warrants a withholding or deduction, the COR must include the CDR in its monthly report, with a copy to the Contracting Officer. 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, ERO headquarters will forward the CDR and supporting information to the Contracting Officer for action. The Contracting Officer 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 Attachment I – Statement of Work, portions of the monthly invoice amount may be withheld until such time as the corrective action is completed, or a deduction may be taken.

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

(e) If funds have been withheld and either the Government or the contractor terminates the contract, 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 is not relieved of full performance of the required services hereunder; the contract may be terminated upon adequate notice from the Government based upon any once instance, or failure to remedy deficient performance, even if a deduction was previously taken for any inadequate performance.

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