2.2.1-RFP Attachment 2 QASP.pdf

ATTACHMENT #2:

QUALITY ASSURANCE SURVEILLANCE PLAN

1. INTRODUCTION

The Government’s Quality Assurance Surveillance Plan (QASP) is based on the premise that the contractor’s, and not the Government, shall be responsible for the day-to-day supervision 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.

This QASP is designed to provide an effective surveillance method to monitor the contractor’s performance relative to the requirements listed in the contract. 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 complies with Immigration and Customs Enforcement, Enforcement and Removal Operations (ICE-ERO) mandated quality standards in providing security, transportation and other detention management services.

As the contractor is responsible for the day-to-day supervision, management, and quality control required to meet the Government’s requirements and the terms of the contract, the contractor is also required to develop a comprehensive program of inspections and monitoring actions and to document its approach in a Quality Control Plan (QCP). The contractor’s QCP, upon approval by the Government, will be made a part of the resultant agreement. Efficient management by the contractor and use of an approved QCP will ensure that the contractor shall operate within acceptable quality levels.

2. DEFINITIONS

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

Contracting Officer’s Representatives (CORs): 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.

Deduction: Funds may be deducted from a monthly invoice for an egregious act or event, or if the same deficiency continues to occur or when a rating of at-risk has been given. See Attachment 2A for information on percentage of invoice amount that may be deducted for each functional area. 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. The assessment of deductions does not preclude the Contracting Officer from initiating other applicable contract actions and remedies, if applicable.

Functional Area: A logical grouping of performance standards.

Measures: The method for evaluating compliance with the standards.

Performance Requirements Summary (Attachment 2A): The Performance Requirements Summary (PRS) communicates what the Government intends to qualitatively inspect. The PRS is based on the American Correctional Association (ACA) Standards for Adult Local Detention Facilities (ALDF) and ICE 2019 National Detention Standards (NDS). The PRS identifies performance standards grouped into six functional areas, and quality levels essential for successful performance of each requirement. The PRS is used by ICE when conducting quality assurance surveillance to guide them through the inspection and review processes.

Performance Standards: The performance standards are established in the ICE 2019 NDS at https://www.ice.gov/detain/detention-management/2019. Other standards may also be defined in the agreement.

Withholding: Amount of monthly invoice payment withheld pending correction of a deficiency.

See Attachment A for information on percentage of invoice amount that may be withheld for each functional area. Funds withheld from payment are recoverable (see Sections 7 and 8) if the CORs and Contracting Officer confirm resolution / correction, and should be included in the next month’s invoice.

3. QUALITY CONTROL PLAN

As a part of its agreement with the Government, the contractor shall develop, implement, and maintain a Quality Control Plan (QCP). The QCP documents how the contractor shall monitor its performance against measurable outcomes.

The contractor’s QCP shall 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(s) 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 tool (see Attachment 2C).

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 CORs 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 https://www.ice.gov/detain/detention-management/2019 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 (CDR’s)

• Investigative reports

• Medical records

• Records of investigative actions taken

• Equipment inspections

4. METHODS OF SURVEILLANCE

ICE will monitor the contractor’s compliance with the Performance Standards using a variety of methods. More frequent inspections may be required by the CORs. The Government’s annual full facility reviews will use the monitoring checklists (see Attachment 2C) to assess overall performance, by reviewing specific items within the six functional areas on a daily, weekly, monthly, and / or quarterly basis. Both annual and routine inspections will include a review of the contractor’s QCP activities including the reports and results generated by them.

The CORs or designee will evaluate the contractor’s performance by (a) conducting site visits to assess the facility, (b) reviewing documentation, and (c) interviewing the contractor’s personnel.

NOTE: For day-to-day activities, the Government will conduct its surveillance using the PRS, along with the Contract Deficiency Reports (CDR’s; see Attachment 2B) and the “Contract Performance Monitoring Tool” set forth in Attachment 2C.

4.1 Site Visits: Site visits are used to observe actual perfom1ance 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 the ICE / ERO standards. On-site inspections may be performed by the ICE COR or by other parties designated as representatives of ICE. Inspections may be planned or ad hoc.

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 CORs or a designated third party may conduct their own inspections of contractor performance activities. The CORs 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 CORSs may also inspect an area prior to the QCI and compare results. The CORs will record all findings; certain deficiencies noted will be provided in writing and must be corrected within a reasonable amount of time (see Attachment B).

4.3 Review of Documentation: The contractor shall develop and maintain all documentation as prescribed in the performance standards provided in the PWS (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(s) will review both forms of documentation to affirm that the facility conditions, policies / procedures, and handling of detainees all conform to the performance standards stated herein. When reviewing the contractor’s documentation, the Government may review 100 percent 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, 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 six functional areas corresponding to the requirements in the PWS. Each functional area represents a proportionate share (i.e., weight) of the monthly invoice amount payable to the contractor 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 the agreement, unilaterally change the functional areas and associated standards affiliated with a specific functional area. 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. 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.

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 agreement. 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:

Rating Description

Acceptable Based on the measures, the performance standard is demonstrated.

Deficient Based on the measures, compliance with most of the attributes of the performance standard is demonstrated / observed with some area(s) needing improvement.

At-Risk Based on the performance measures, the majority of a performance standard’s attributes are not met.

Using the above standards as a guide, the Contracting Officer will implement adjustments to the contractor’s monthly invoice as prescribed in Attachment 2A.

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 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 the contractor 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 or may continue until the contractor has either corrected the deficiency or made substantial progress in the correction.

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,” but may also relate to a deficiency in the area of “Administration and Management.” In no event will the withhold or deduction exceed 100% of the invoice amount.

7. NOTIFICATIONS

(a) Based on the inspection of the contractor’s performance, the COR(s) will document instances of deficient or at-risk performance (e.g., noncompliance with the standard) using the Contract Discrepancy Report (CDR) form located at Attachment 2B. To the extent practicable, issues should be resolved informally, with the CORs 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 CORs reviews the contractor’s response to the CDR including its planned remedy, the CORs will either accept plan or correction or reject the correction or 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 Contracting Officer, 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(s) concludes that the deficient or at-risk performance warrants a withholding or deduction, the COR(s) must include the complete CDR (with official response from the Contractor) in its monthly report to ERO Headquarters, 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, if any. 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(s) may re-inspect the facility. Based upon the COR’s findings, he / she 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.

(f) If funds have been withheld and the Government 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 one instance, or failure to remedy deficient performance, even if a deduction was previously taken for any inadequate performance.

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

8. DETAINEE OR MEMBER OF PUBLIC COMPLAINTS

The Government, detainees, and the public are the ultimate recipients of the services identified in this agreement. Any complaints made known to the COR will be logged and forwarded to the contractor for remedy. Upon notification, the contractor shall be given a pre-specified number of hours after 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. ATTACHMENTS

Attachment 2A: Performance Requirements Summary

Attachment 2B: Contract Discrepancy Report

Attachment 2C: Contract Monitoring Tool

Attachment 2D: Contract Performance Monitoring Instrument