A04_SOW.pdf

140A1622Q0030 – Statement of Work

EQUAL EMPLOYMENT OPPORTUNITY (EEO) SUPPORT SERVICES

FOR THE BUREAU OF INDIAN AFFAIRS (BIA)

Description of Services: The contractor shall perform all aspects of EEO complaint processing to include: pre-complaint counseling, formal complaint processing, alternative dispute resolution (ADR), investigating allegations of discrimination, issuing final decisions (FAD), adjudicating compensatory damages claims, preparing Reports of Investigation (ROI) and conducting inquiries for the United States Department of the Interior (DOI), and all of its bureaus and the Office of the Secretary (OS). The contractor shall provide the services in accordance with the terms, conditions, and specifications of this Statement of Work (SOW).

Background: Federal Agencies, including DOI and its Bureaus are responsible for ensuring that discrimination complaints are processed fairly, promptly, thoroughly, and in strict compliance with Equal Employment Opportunity Commission (EEOC) Directives and Federal Regulations.

Scope of Work: The scope of this statement of work includes complaints of discrimination filed by employees of DOI and its Bureaus, applicants for federal employment, or contract employees that qualify as Federal Employees (contingent workers) covered by 29 Code of Federal Regulation (C.F.R.) Part 1614 and any subsequent law, statute, regulation, or directive.

EEO complaint processing shall be in accordance with 29 C.F.R. § 1614.106 and EEOC Management Directive (MD) 110 and may include:

• Drafting acceptance letters and final bureau actions to dismiss complaints

• Conducting EEO investigations

• Analyzing and recommending FAD

• Inquiry, attempted resolution, analysis, and FAD for allegations of noncompliance with settlement agreements and final decisions

• Resolution attempt and report of inquiry regarding notices of intent to sue under Age

Discrimination Act

• ADR services

• Consulting and customized & off-the-shelf training on EEO

• Individual and class complaint counseling

• Responding to inquiries regarding the status of complaints

• Establishing and maintaining complaint files in accordance with MD 110, EEOC directives, guidance, policy letters and DOI and its Bureaus policy

A Contractor may be selected to perform multiple services on one case. In order to avoid a conflict of interest, the Contractor will be required to assign different key personnel for each required service. Detailed information regarding assignment of key personnel will be provided for each individual case assignment.

Applicable Authorities & Publications:

a. Title VII, Civil Rights Act of 1964

b. Civil Rights Act of 1991

c. Rehabilitation Act of 1973 and Amendments

d. Age Discrimination in Employment Act of 1967

e. Older Workers’ Benefit Protection Act of 1990

f. Pregnancy Discrimination Act of 1978

g. Executive Order 11478-Equal Opportunity in the Government

h. 29 C.F.R. Part 1614 - Equal Employment Opportunity in the Federal Government

i. 5 C.F.R. Part 1200 - Merit Systems Protection Board

j. Equal Pay Act of 1963

k. EEOC Management Directive 110 I. Americans with Disabilities Act of 1990 (as applicable to the Federal Government)

l. Americans with Disabilities Act Amendments Act of 2008

m. Genetic Information Non-discrimination Act of 2008

n. DOI Sexual Orientation policy

Training & Experience Requirements: All counselors and investigators shall be trained and qualified as required by the EEOC's MD-110 prior to starting work on any DOI or bureaus' complaints of discrimination. Training may include, but is not limited to, 32 hours of initial training and eight (8) hours of continuing EEO training per year as required by EEOC regulations in 29 C.F.R. Part 1614.

Upon assignment of a case for EEO counseling or investigations, the Contractor shall submit proof of its counselors' or investigators' compliance with training requirements.

Acceptance Letter/Decision Writers must have completed at least 5-10 merit/dismissal decisions and 5-10 acceptance letters; have a minimum of 3 years of Federal EEO Investigative or FAD writing experience; and/or legal analysis experience.

The Contractor must ensure that its staff maintains required professional certification documentation. Also, the Contractor must retain all documentation of such records and must provide a copy of the certificate, proof of compliance with training requirements upon request.

Case Assignment & Management:

Intake Services

The contractor will provide intake services. Intake will consist of:

• A discussion of the issues and the process

• Collection of the person's current business and home address and telephone number(s).

• And/or collection of the representative's name, address, and telephone and contact information.

• Intake information must be reported to the Bureau the day of intake.

Pre-Complaint Processing The contractor shall provide EEO counseling to employees, applicants for employment and relevant contractors who believe they have been discriminated against on the basis of race, color, religion, sex, national origin, sexual orientation, age or disability. Where a Counselee elects to participate in the ADR program, the contractor shall refer the request for ADR to the ACP. The contractor shall conduct counseling activities in accordance with 29 C.F.R. § 1614.105 and EEOC MD 110. Where a formal complaint has been filed by a Counselee, the contractor shall prepare a written counseling report within fifteen

(15) days of filing the formal complaint.

Formal Complaint Processing The Contractor shall conduct formal complaint processing activities in accordance with 29 C.F.R. § 1614.106 and EEOC's MD 110.

Each case investigated under this SOW shall be limited to the specific issues accepted by DOI and its Bureaus. While a Complainant may add or delete bases for his or her allegation(s) at any time, any new claim(s)/allegation(s) raised by the Complainant at the investigative stage shall be referred by the contractor to ACP. The accepted claim(s)/allegation(s) and incident(s) relevant to the complaint constitute the scope of the investigation. The Contractor shall not investigate, agree to investigate, or comment on the acceptability of any new claim(s)/allegation(s) without instructions from the Bureau.

Immediately upon receipt of a formal complaint of discrimination, the contractor shall perform the initial review of the complaint to ensure that all necessary information has been included and extract the relevant data from the complaint and prepare appropriate letters and memoranda to complete the complaint receipt acknowledgement process. The acknowledgement letter shall inform the Complainant of the date on which the complaint was filed. If the complaint is mailed, the date of filing is the postmark date, not the date DOI and its Bureaus received the complaint.

Within fifteen (15) calendar days of receiving the counselor's report, the contractor shall send the Complainant an "acceptance" letter, stating the claim(s) asserted and to be investigated. If the second letter's statement of the claim(s) asserted and claim(s) to be investigated differs, the letter further shall explain the reasons for the difference, including whether the Bureau is dismissing a portion of the complaint.

Acceptance & Dismissal Recommendations Contractor recommendations to the Bureau to accept or dismiss a formal EEO complaint of discrimination shall be conducted in two phases:

1. Review and Analysis of EEO Complaint Documentation. The Bureau will provide the contractor with a file containing a copy of the EEO Counselor's report, Individual Complaint of Employment Discrimination, and any other appropriate information for each assigned EEO complaint. The contractor will review and analyze the documentation and, based on applicable EEOC regulations, standards and guidelines make a recommendation as to whether to accept or dismiss, either totally or partially, the claim(s) alleged by the Complainant. For those claims that are not accepted, the contractor will quote specific section and language contained in 29 C.F.R Part 1614, including citing the applicable case law.

2. Documentation and Preparation of Draft Letter. The contractor will document the findings resulting from the review described above and prepare a draft acceptance/dismissal letter using a format and procedure approved by the Bureau.

The Contractor shall provide the completed draft acceptance/dismissal letter, including documentation, to the ACP for approval/disapproval not later than five (5) calendar days after receipt of the file. The ACP official shall approve/disapprove the work products within four (4) calendar days after receipt. For those work products disapproved and returned to the Contractor for further review, analysis, documentation, or changes to the draft acceptance/dismissal letter, the Contractor shall re-submit the revised work products to the ACP within four (4) calendar days after the disapproval or re-submission.

Formal Complaint File The Contractor shall receive a base file for each formal complaint to be investigated.

Upon receipt of the base file, the Contractor shall verify that the issue(s) accepted for investigation are the same issues for which counseling was provided. The base file will contain the following items, where applicable:

a. The written request for EEO counseling (pre-complaint) and any other supporting documentation for the request for counseling.

b. Notice of Rights and Responsibilities signed by the Complainant describing the EEO process and the Complainant's rights and obligations.

c. Representation/Anonymity elections.

d. A statement of rights and obligations with respect to discrimination based on age

(when applicable and issued).

e. Pre-complaint Processing Election Form

f. Agreement to Participate in ADR

g. An Agreement to extend the 30-Day EEO Counseling Process.

h. The Notice of Final Interview and Right to File a Formal Discrimination Complaint

(NOFI) and tracking documentation to evidence receipt by the Complainant.

i. The Report of Counseling.

j. Any documentation collected by the counselor.

k. The formal EEO Complaint.

I. Any correspondence to and from the Complainant.

l. A copy of the acceptance letter.

m. Contact information (i.e., name, title, work address, telephone number, email address if available, and schedule) of the Complainant, Responding Management Official(s), and other witnesses, if any, interviewed by the counselor during fact-finding in the pre-complaint process.

n. If retaliation is alleged, a list of all prior cases filed by the Complainant.

o. Not all base files will contain every item listed above. The contractor shall inform the

ACP of missing vital documents within three (3) business days of delivery of the base file. For purposes of establishing the required delivery date for a case, the case assignment will not be considered received until a complete base file is received by the Contractor.

EEO Counseling – Individual & Class Complaint: Counseling services shall be performed in accordance with EEOC regulations set forth at 29 C.F.R. Part 1614; MD-110, Chapter 2; EEOC's "A Guide to Effective EEO Counseling"; and any subsequent law, statute, regulation, or directive included within the scope of this contract. If resolution efforts are successful, a proposed settlement agreement shall be prepared and coordinated with the ACP. Three types of potential complaints are to be counseled: (1) individual, (2) class, and (3) consolidated.

For complaints consolidated for multiple Complainants, the Contractor shall consolidate the counseling activity. However, all counseling reports shall be individualized. For example, if three allegations are raised over non-selection (two on the basis of age and one on the basis of race and sex), the Contractor shall perform all necessary interviews and discuss all of the complaints with the responsible official(s) but shall provide three (3) sets of Reports of Counseling (one dealing with each Complainant).

Counseling deliverables shall include:

1. Counseling Plan: A plan of action to complete the counseling task in a format approved by the Bureau.

2. Issue(s) and Basis(es) Determination: The Contractor shall determine the specific action(s) which caused the Counselee to believe he/she is a victim of discrimination. The determination shall clearly define the issues and included the Counselee's signed agreement, in writing, on the issue as framed.

3. Inquiry: The Contractor shall interview relevant individuals to secure information about the issue and review relevant bureau records. The Contractor's counseling report shall include all relevant dates for each allegation raised to ensure that the issue was raised in a timely manner. The Contractor shall also provide a determination for what documents control the issue being grieved.

4. Informal Resolution Efforts: The Contractor shall attempt resolution of the issue(s) and document all resolution efforts. All resolution efforts shall be coordinated with the ACP.

If the allegation(s) is resolved, the Contractor must prepare the specific terms and conditions of the settlement agreement signed by the parties specified by the ACP. Any resolution must be coordinated with the Bureau prior to signature.

5. Withdrawal: If the Counselee elects to withdraw the pre-complaint, the withdrawal must be in writing. The EEO Counselor will submit all pre-complaint documents to the EEO office within 3 days of receipt of the withdrawal.

6. Report of Counseling: The Contractor shall ensure that the Counseling Report includes:

(a) A precise description of the issue(s) counseled, and the basis(es) stated by the

Complainant

(b) Relevant documents gathered during the inquiry

(c) Specific information bearing on timeliness of the counseling contact

(d) If timeliness appears to be a factor, a written explanation for the delay

(e) An indication as to whether an attempt to resolve the complaint was made and a summary of any resolution effort

7. Contractor's Advice to the Counselee:

The Contractor shall advise individuals of writing of their rights and responsibilities in accordance with MD-110, Chapter 2, Attachment E, EEO Counselor Checklist. The Contractor shall advise the aggrieved person in writing, of the following, in accordance with 29 C.F.R. 1614.105(b):

(a) EEO complaint process

(b) Election requirements (c)Right to anonymity

(c) Right to representation

(d) Duty to mitigate damages

(e) Duty to keep the Bureau informed of current mailing address

(f) Duty to serve copies of appeal papers on the Bureau

The Bureau shall:

1. Upon request, provide reasonable accommodations or aids for disabled individuals.

2. Forward the case file to the Contractor. The file will include the letter of authorization to counsel the Counselee; informal complaint documents, if applicable; and a summary of the circumstances or issue(s) of the complaint as presented.

3. Inform Bureau personnel that failure to cooperate with the Contractor may result in disciplinary action and/or drawing of adverse inference(s).

4. Assist in the coordination of appointment(s) made by the Contractor with management official(s) to discuss resolution.

The Contractor shall gather documentary and statistical information as outlined in but not limited to the Complaint Counseling Checklist, MD-110. To secure relevant information as efficiently as possible, the Contractor shall:

1. Present all parties the Letter of Authorization prior to the start an interview or conference.

2. Inform each person interviewed that he/she has been identified as having information relevant to the issue of noncompliance.

3. Inform each person interviewed of his/her right to present evidence.

4. Disclose information or documents, as necessary, to obtain information from persons interviewed and to explain the issue(s) of noncompliance.

5. Prepare a counseling plan and submit to the Bureau for review. If authorized by the Bureau, a plan may not be required due to timeline constraints.

Informal/Administrative File The Contractor shall receive a base file for each informal complaint to be counseled. Upon receipt of the base file, the Contractor shall verify that they have received the intake and relevant dates of contact with the EEO Office. The base file will contain the written request for EEO counseling (pre-complaint) and any other supporting documentation for the request for counseling.

Conducting EEO Investigations The contractor shall conduct EEO investigations in accordance with 29 C.F.R. § 1614.106, MD 110, Chapter 6.

Method of Investigation:

a. Obtaining documentary information including relevant statistics;

b. Securing testimony;

c. When specifically authorized, conducting an onsite visit.

d. Planning and preparing the report of investigation including the draft and final reports;

DOI and its Bureaus may authorize the use of various investigative methods to complete the investigation. These methods include an exchange of letters or memoranda, interrogatories, affidavits, investigations, fact-finding conferences, or any other method or combination of methods that would lead to the development of a complete and factual record. The ACP will determine the category of the complaint and number of claims contained in the complaint. Disagreements between the Bureau and the Contractor should be resolved by discussion between the ACP and the Contractor. If a change is required, DOI and its Bureaus shall amend the delivery order.

Planning & Preparation:

To conduct the investigation as efficiently as possible, the Bureau shall:

1. Upon request, the appropriate Bureau/Office Complaints Manager will ensure that reasonable accommodations or aids for disabled individuals are provided.

2. In order to secure testimony as efficiently as possible, Bureaus shall:

a. Inform the Complainant(s) of his/her obligation to cooperate with the investigator or risk dismissal of the complaint.

b. Inform other witnesses that failure to cooperate with the investigator may result in some form of disciplinary action and failure to cooperate may result in the EEOC drawing an adverse inference against the Bureau.

3. DOI and its Bureaus will forward the case assignment to the Contractor by Signature

Confirmation, which provides proof of receipt. The case assignment shall include the Letter of Authorization to Contractor and the complaint file.

4. Review and approve the investigation plan within five (5) workdays of receipt by the Bureau; approve the Request for Information (RFI) within five (5) workdays and submit the approved RFI to the appropriate Bureau personnel to obtain the requested information/documents for the Contractor within ten (10) workdays; and, review the draft report of investigation within five (5) workdays of receipt by the Bureau.

5. Return any insufficient draft ROI to the contractor for correction within five (5) workdays of receipt for corrections.

In order to conduct the investigation as efficiently as possible, the Contractor shall:

1. Within five (5) workdays after receipt of the case assignment, develop an

Investigative Plan (IP) that shall include all steps of the investigation. The plan shall be provided to the ACP, via e- mail, for review and approval. The EEO Office and/or its designee shall approve or disapprove the plan within five (5) workdays of receipt.

If the plan is disapproved, the Contractor shall submit a revised plan within five (5) workdays of the Contractor's receipt or notice of the disapproved plan.

2. Within five (5) workdays after receipt of the case assignment, develop a RFI that shall include all relevant documents needed for the investigation. The RFI shall be provided to the ACP, for review and approval. The EEO Office or its designee shall approve or disapprove the RFI within five (5) workdays of receipt. If the RFI is not approved, the Contractor shall submit a revised RFI within five (5) workdays of the Contractor's receipt or notice of the disapproved RPI.

3. Once the IP is approved initiate contact with the Complainant, Responsible Management Official, witness. Schedule interviews and begin gathering any information.

4. Provide the Letter of Authorization for the investigation in person, by email or fax to all witnesses prior to the start of the interview.

5. Allow Complainant to review the Responsible Officials' affidavits in order to prepare a rebuttal affidavit.

6. Obtain testimony under oath or affirmation.

7. Allow the witness to change his/her affidavit and require the witness to initial each change made. If substantive changes to the testimony relating to the issue(s) are made, the rewritten or retyped signed affidavit and the original affidavit shall be included in the investigative file. In this case, the Contractor shall prepare a memorandum to the file explaining the inclusion in the file.

8. Review all relevant personnel records and statistical data and make copies as needed for inclusion in the report of investigation.

9. Immediately notify the ACP when a new claim(s) is (are) raised with the investigator or a new complaint is filed during the investigation of a complaint.

10. Contact the ACP or his/her designee immediately to request assistance should the Contractor have difficulty in obtaining documentary evidence or statistical information.

11. Submit via e-mail a draft ROI, which includes the investigative summary and completed affidavits, within sixty (60) days of IP approval.

12. After approval of the draft ROI by the Bureau, the Contractor shall transmit an original ROI, two (2) copies and transmit an electronic copy of the Investigative Summary in Microsoft Word within ninety (90) days of IP approval. (Format shall comply with EEOC MD-110). The Original shall be marked or stamped "Original".

On-Site Visit & Travel:

When DOI has authorized an onsite investigation, The ACP shall arrange a private meeting place to conduct interview sessions. Travel accommodations should be included if necessary.

Costs for transportation and per diem (lodging, meals, and incidental expenses) will be in accordance with the regulatory implementation of Public Law 99-234, Federal Acquisition Regulation (FAR) 31.205-46, Travel Costs, and the Contractor's cost accounting system.

These costs are reimbursable only if authorization is given by the ordering Bureau to travel and undertake an on-site visit.

Supplemental Investigations:

If a complaint is remanded from any authority of the EEOC or DOI for a supplemental investigation, the Contractor shall perform the supplemental investigation. The Bureau shall specify the delivery date of the supplemental report of investigation on the delivery order.

Within three (3) workdays of receipt of the supplemental investigation report, the ACP shall accept, reject, or request modification to the Report. In cases of either rejection or modification for deficiencies, the Contractor shall make the changes at no additional cost and forward the revised report to the ACP within ten (10) workdays of receipt of the ACP's comments. The supplemental report of investigation shall be marked or stamped Supplemental Investigation.

Amendments:

Pursuant to 29 C.F.R. §1614.106 (d) a Complainant may amend a pending EEO complaint to add claims that are like or related to those claim(s) raised in the pending complaint. If the Bureau decides to investigate the new allegations as an amendment of the ongoing investigation, the ACP shall contact the Contractor to modify the delivery order. A Contractor may not begin work on an amendment until authorization to complete the amendment at an agreed upon price is received from the Bureau. If a complaint is amended the Contractor shall have an additional forty-five (45) days from the Contractor's receipt of the amendment to complete the investigation.

Consolidations:

Pursuant to 29 C.F.R. §1614.606, the Bureau shall consolidate two or more complaints filed by the same Complainant and may consolidate complaints filed by two or more Complainants if the complaints consist of substantially the same allegations of discrimination or relate to the same matter. If the Bureau decides to investigate the new allegations as a consolidation of the ongoing investigation, the ACP shall contact the Contractor and take the appropriate steps to modify the delivery order via a modification. A Contractor may not begin work on a consolidation until authorization to complete the consolidation at an agreed upon price is received from the Bureau. If a pending complaint is consolidated the Contractor shall have an additional forty-five (45) days from the Contractor's receipt of the consolidation to complete the investigation each time the pending complaint is subject to an additional consolidation claim.

Mixed Cases:

The contractor shall complete mixed case investigations within seventy (70) days of the date of the IP approval. The Bureau agrees to refrain from amending or consolidating non-mixed case

Requests for Extensions & Expedited Investigations:

DOI and its Bureaus may at its discretion grant an extension requested by the Contractor or the Complainant if requested at least ten (IO) business days before the due date of a ROI. A request supported by the written agreement of the Complainant to extend the time limits of 29 C.F.R. §1614.1081 will be granted by DOI and its Bureaus if it is received before the due date of the final ROI. A request supported by the written agreement of the Complainant may not extend the investigation period beyond the regulatory time limits for investigations.

In certain occurrences, the Bureau will require an expedited investigation. The degree of urgency will determine the period in which the completed investigation and delivery of the final ROI is required.

Delay of Work:

If the performance of the work is delayed or interrupted by failure of a Complainant or witness to complete an affidavit, provide documents, or otherwise act within a reasonable time, the Contractor shall notify DOI and its Bureaus immediately. The Contractor will continue to investigate the complaint, unless DOI and its Bureaus instructs the Contractor to suspend the investigation, in which case the delivery date will be extended one day for each day of the suspension of the investigation. If an investigation is not suspended and the evidence is not provided prior to the delivery date, the Contractor will prepare the ROI, noting the efforts made to obtain the evidence not received. Such a ROI will not be considered incomplete by the Bureau on the basis of the lack of that evidence.

If the performance of the work is delayed or interrupted by failure of the Bureau or Complainant to act within a reasonable time, the contractor shall advise the ACP after the initial effort proves unsuccessful. The ACP shall attempt to resolve the delay and shall advise the Contractor on how to proceed. After three unsuccessful attempts within 15 workdays, the Contractor shall document the Report of Investigation of all attempts and inform the non-complying party that the investigation will proceed without the requested information.

If evidence is received by the Contractor from the Complainant or other witness so late that it is impracticable for the Contractor to obtain other relevant evidence by the delivery date (e.g., the Complainant's affidavit received a few days prior to the delivery date of the ROI and it identifies new witnesses), the contractor will notify the ACP. DOI and its Bureaus may extend the delivery date for the ROI. If DOI and its Bureaus does not extend the delivery date, the Contractor will prepare the ROI noting the impact of the delayed receipt of evidence, and such a ROI will not be considered deficient in quality and timeliness by DOI and its Bureaus on that basis.

Securing Testimony:

1. Provide all witnesses the Letter of Authorization for the investigation prior to the start of the interview.

2. Allow Complainant to review the Responsible Officials' affidavits in order to prepare a rebuttal affidavit.

3. Obtain testimony under oath or affirmation.

4. Allow the witness to change his/her affidavit and require the witness to initial each change made. If substantive changes to the testimony relating to the issue(s) are made, the rewritten or retyped signed affidavit and the original affidavit shall be included in the investigative file. In this case, the Contractor shall prepare a memorandum to the file explaining the inclusion in the file.

5. Witnesses No Longer with the Bureau. If a witness has retired or left federal service, the investigator must contact the Bureau to obtain contact information. The investigator must attempt contacting the witness to ascertain whether the witness is willing to testify. If the witness declines to testify, the investigator must document the witnesses' decision in the ROI, citing the exhibit containing the dates and method of contact. If a witness has left the Bureau but remains in the federal service, they are required to cooperate.

Technical Approaches:

The Contractor may decide the appropriate technical approach for each specific investigation based on the circumstances of each case. Acceptable approaches include conducting interviews through written correspondence, through e-mail or by telephone. Other technical approaches may be used if approved by DOI and its Bureaus. All pertinent testimony shall be secured from witnesses under oath, affirmation, or under penalty of perjury. To afford Complainants an opportunity to show pretext, addenda to affidavits and/or supplemental affidavits from the primary parties to the complaint (i.e., Complainant, responding management official) may be necessary.

Collecting & Verifying Information/Evidence:

The contractor shall gather relevant documentary and statistical information for each investigation as outlined in but not limited to EEOC MD-110. To gather relevant documentary and statistical evidence the contractor shall:

a. Submit to the ACP, at the time of submission of the investigative plan, a Request for

Information (RFI}, listing all documents being sought for the investigation. The ACP will review the RFI within three (3) days and approve the RFI before the RFI is forwarded to the appropriate Bureau official.

b. Obtain objective evidence in regards to all claims for compensatory damages, e.g., medical records, or any other such documentation that would verify that an injury or harm had occurred, unless the Complainant affirmatively expresses in writing that he or she is not seeking compensatory damages.

c. Request from the ACP copies of all relevant personnel records and statistical data needed for inclusion in the ROI.

d. Assemble the records/data collected in the format specified by DOI.

e. If, due to the Bureau's action, the Contractor has difficulty in obtaining documentary evidence or statistical information, the contractor shall contact the ACP.

Deliverables:

Draft Report of Investigation

The Contractor shall provide via email one (1) copy of the draft ROI, which includes the investigative summary and the completed affidavits, to the ACP. The ACP will have five

(5) business days to review the draft ROI and provide any comments to the Contractor, specifying what is required to make the ROI acceptable to the ACP. If the draft ROI is consistent with the approved IP, it will be accepted by the ACP. The Contractor shall have seven (7) calendar days after receipt of the ACP's comments to incorporate them into the final ROI and return it to the ACP. In no cases can the Contractor exceed the due date for the final ROI if corrections are required unless an extension is approved by the

ACP.

Final Report of Investigation Two (2) digital copies and two (2) paper copies of the final ROI for all completed investigations are required and shall provide to the ACP. For cases that are settled, withdrawn, or dismissed, the Contractor shall provide one complete original file.

Required Document Characteristics:

The use of non-standard fonts, font sizes and font colors or "exotic" symbols can reduce the quality of scanned documents and degrade optical character recognition (OCR). OCR enables the text of a PDF document to be searched using keywords and phrases and to "cut, paste and copy" text. Handwritten PDF documents are particularly problematic and are discouraged. The Contractor is required to incorporate the following document characteristics into all ROIs:

• For narrative text, Times New Roman, 12-point font is required.

• Page size should be 8 X 11 inches with at least 1-inch margins on all sides. 1.5 line spacing is required.

• All documents submitted to the Bureau must be in a Microsoft Office Suite format, or PDF where applicable

Two digital copies of the ROI must be provided with each investigation on CD-ROM, one redacted, one not redacted. Each electronic complaint file must incorporate the following features:

• Electronic bookmarks corresponding to the file index and section dividers of the paper file. The electronic bookmarks must be appropriately labeled with the name of the specific document or exhibit under that tab.

• File made keyword searchable by performing OCR scan.

• Sequentially numbered pages starting with the first page of the file.

Report of Investigation Content & Format The content and format of the investigative file shall be in accordance with EEOC MD- 110 and the specific requirements as described herein. Reports shall be assembled using tabs as described below. For incomplete investigations due to settlement, withdrawal, or dismissal (including dismissal due to consolidation of a pending complaint with a case being heard by the EEOC), the report shall include the applicable documents as outlined below. Each report shall be labeled using the Complainant's name and case number. The final report of investigation shall be indexed, tabbed, and securely bound and fastened pursuant to EEOC MD-110.

The ROI shall be arranged as follows:

• Title Page

• Investigative Summary File Tab

The contractor shall list the contents of the file except where the tab clearly identifies the contents. Documents under each tab shall be numbered. The index shall include a list of the affidavits obtained, with basic occupational information regarding the affiant. The Index shall also list and identify all exhibits and include the number of pages each exhibit contains. The Contractor shall include a well-written analysis that contains an overview of the evidence that the investigator gathered. Each claim must be separately identified in the Summary and include a synopsis of relevant affidavit testimony, evidence, and applicable regulations. Claims for compensatory damages must also be listed and identified. The Summary shall assist the reader of the ROI by providing an overview of the claim of discrimination and the Bureau's response to it.

When applicable, the Summary shall present comparative data, clearly identified, in charts or matrix format.

• Formal Complaint Tab The Contractor shall include the written and signed complaint document that allowed the investigation to proceed to the next step within the process.

• Counselor's Report Tab The Contractor shall include all documents and correspondence collected from the Counselor during the informal process.

• Issues to be Investigated Tab The Contractor shall include the Letter of Acceptance, which shall contain the scope of the issues to be investigated.

• ADR Tab This tab may include offers of ADR, acceptances of ADR, or notices of unsuccessful ADR; however, documentation should not include the substance of ADR attempts.

• Appellate Activity Tab The Contractor shall maintain a record of any and all pre-investigation appellant activity that pertains to the processing or disposition of the case.

• Affidavits Tab The contractor shall include all affidavits collected from the Complainants and the witnesses, even if irrelevant to the issue under investigation. The affidavits shall be arranged in logical order behind individual separators with the Complainant's affidavit always found at Tab A. Where affidavits are obtained via mail the list of questions sent to the affiant must be included with the affidavit. If efforts to obtain an affidavit from the Complainant are not successful, documentation regarding those efforts must be placed where Affidavit A would otherwise be found. If efforts to obtain affidavits from management officials or other witnesses are not successful such efforts must be included behind other affidavit separators and identified in the ROI. Each affidavit must be independently numbered and identified, e.g., "Affidavit A, page 2 of 7."

• Tab “Exhibits” The Contractor shall include all relevant documents that were gathered throughout the investigation in logical order behind individual separators. Each exhibit must be identified and independently numbered, e.g., "Exhibit 1, page I of I" including documentation related to the settlement, withdrawal, or dismissal of the case, if applicable.

• Miscellaneous Correspondence Tab

The Contractor shall include all relevant miscellaneous correspondence, including such documents as the Assignment Letter, Authorization Letter, and an Agreement to Extend the 180- Day Investigative Process.

Sanitization of Reports of Investigations

The Contractor shall remove the home address, home telephone number, and social security number, complete date of birth (year of birth is acceptable) for all witnesses and other individuals (e.g., applicants for a position) from the ROIs. The Contractor shall delete further information from the final report copies if so, instructed by DOI and its Bureaus.

Performance Standards The Contractor shall meet or exceed the quality and timeliness standards set forth below.

Quality Standards ROIs shall be sufficient to allow an independent trier of fact to adjudicate the charges of discrimination using the ROI as the sole record. The reports must also contain adequate descriptions and explanations to allow those not familiar with DOI and its Bureaus and its employment practices to understand the results of the investigation using only the report as their source of information.

Penalties for Failing to Deliver Timely Report of Investigation If the Contractor fails to deliver the Report of Investigation to the ACP or his/her designee within the specified date agreed to for delivery, the Contractor will be subject to the loss of fees or payment as follows:

Time Beyond Due Date Penalty

Ten (10) calendar days beyond due date 10% of original fee

Twenty (20) calendar days beyond due date 30% of original fee

Thirty (30) calendar days beyond due date 50% of original fee

Forty (40) calendar days beyond due date 70% of original fee

Fifty (50) calendar days beyond due date 100% of original fee

Penalties shall not apply where the Bureau has granted an extension of the due date prior to the expiration of the original due date. Penalties shall not apply where delay is due to Bureau action or inaction, such as failing to provide Contractor with documents, witness lists, location of witnesses, or where Bureau witnesses fail to appear for scheduled interviews or otherwise make themselves unavailable to the Contractor.

If the Contractor fails to deliver the ROI on the fiftieth (50) day beyond the due date, then the Contractor must return the case file on that date to the APC or her/his designee.

Lateness penalties may result in additional administrative action by the Contracting Officer, above and beyond penalty fees.

Penalties for Revising the Report of Investigation for Quality

After reviewing the ROI if it is determined the ROI is deficient in quality because information essential to the issues in the complaint is absent, the investigative summary is poorly drafted or the case file is not properly organized, the Bureau may return the case file to the Contractor to remedy the deficiency. If the Bureau returns the Report of Investigation for revision, the Contractor will be subject to the loss of fees or payment as follows:

Time to Complete Revision Penalty

Fifteen (15) calendar days beyond due date No Penalty

Thirty (30) calendar days beyond due date 10% of original fee

Forty-five (45) calendar days beyond due date 25% of original fee

Sixty (60) calendar days beyond due date 50% of original fee

If the Contractor fails to complete the revision of the Report of Investigation on the sixtieth (60) day following return of the case file from the Bureau to the Contractor for revision, then the Contractor must transmit the case file back to the Bureau. Under this circumstance, the Contractor will receive no compensation for the investigation.

Lateness penalties may result in additional administrative action by the Contracting Officer, above and beyond penalty fees.

Terminating or Interrupting the Investigation Prior to Completion The Complainant and the Bureau may elect to engage in ADR during the course of the investigation of a complaint, or Complainant may withdraw the complaint, file a civil action or the case may otherwise terminate or interrupt. If such case, the Contractor will be so notified in order to suspend, continue and/or end the investigation. The Bureau shall compensate the Contractor for the documented time spent, in accordance with terms of the agreement, conducting the investigation to that point, prior to notification to the Contractor. The Contractor must be paid as follows when an interruption or cancellation occurs:

Phase of Investigation at time of Interruption Payment Schedule Planning phase/ initial stage of investigation* 10% of total price

During the Investigation** 50% of total price

After forty-five (45) calendar days 100% of total price

*within fifteen (15) calendar days of receipt of case

**within sixteen to forty-five (16-45) calendar days

Objectivity of Investigators

The Contractor shall monitor the work of its investigators to ensure their objectivity throughout the investigation of a complaint. If the Contractor determines that an investigator may be biased toward the Bureau or the Complainant, the Contractor must remove the investigator and assign another in his/her place. The Bureau may at any time request the removal of an investigator where facts demonstrate that the investigator is bias toward either party.

Preparing & Mailing Letters The contractor shall prepare all correspondence associated with processing the EEO complaints. The Bureau designated official shall approve all correspondence.

Establishing & Maintaining Complaint Files The contractor shall have full responsibility for performing all of the administrative support functions associated with discrimination complaint processing, such as preparing complaint files, and filing and maintaining complaint correspondence and case files.

Drafting Final Actions to Dismiss Complaints

1. That fails to state a claim under§ 1614.103 or§ 1614.106(a) or states the same claim that is pending before or has been decided by the Bureau or Commission;

2. That fails to comply with the applicable time limits contained in §§ 1614.105,

1614.106 and 1614.2041, unless the Bureau extends the time limits in accordance with §1614.6041, or that raises a matter that has not been brought to the attention of a Counselor and is not like or related to a matter that has been brought to the attention of a Counselor;

3. That is the basis of a pending civil action in a United States District Court in which the Complainant is a party provided that at least 180 days have passed since the filing of the administrative complaint, or that was the basis of a civil action decided by a United States District Court in which the Complainant was a party;

4. Where the Complainant has raised the matter in a negotiated grievance procedure that permits allegations of discrimination or in an appeal to the Merit Systems Protection Board and § 1614.301 or § 1614.302 indicates that the Complainant has elected to pursue the non-EEO process;

5. That is moot or alleges that a proposal to take a personnel action, or other preliminary step to taking a personnel action, is discriminatory;

6. Where the Complainant cannot be located, provided that reasonable efforts have been made to locate the Complainant and the Complainant has not responded within 15 days to a notice of proposed dismissal sent to his or her last known address;

7. Where the Bureau has provided the Complainant with a written request to provide relevant information or otherwise proceed with the complaint, and the Complainants failed to respond to the request within fifteen (I 5) days of its receipt or the Complainant's response does not address the Bureau's request, provided that the request included a notice of the proposed dismissal. Instead of dismissing for failure to cooperate, the complaint may be adjudicated if sufficient information for that purpose is available;

8. That alleges dissatisfaction with the processing of a previously filed complaint; or

9. Where the Bureau, strictly applying the criteria set forth in EEOC decisions, finds that the complaint is part of a clear pattern of misuse of the EEO process for a purpose other than the prevention and elimination of employment discrimination. A clear pattern of misuse of the EEO process requires: (i) Evidence of multiple complaint filings; and (ii) Allegations that are similar or identical, lack specificity or involve matters previously resolved; or (iii) Evidence of circumventing other administrative processes, retaliating against the Bureau's in-house administrative processes or overburdening the EEO complaint system.

Final Bureau Decision (FAD):

The assigned Contractor shall complete the preparation of a FAD within thirty (30) days of its receipt of the ROI and the administrative file. The Contractor shall submit an electronic copy of the draft FAD directly to the APC.

Analyses for Draft Final Bureau Decisions The Contractor shall prepare a FAD which discusses and analyzes all claims presented in the formal complaints. The analysis shall consist of a presentation of facts, recommended findings, and conclusions. The analysis shall be clear, concise, logical, well-reasoned, well documented, and fully supported. It should include all procedural and substantive issues presented and should conform to the following:

• Introduction - This section will provide the Complainant's name, title, grade, organizational unit, basis(es), issue(s) and nature of the complaint.

• Background - This section will provide a procedural history of the complaint.

• Claim(s)- This section will state the claim(s) as accepted in the formal complaint and that will be addressed in the FAD analysis.

• Analysis- This section will consist of a discussion of the applicable judicial and administrative case law governing the identified claim(s).

• Burden of Proof - This section will delineate the relevant and appropriate standards for the burden of proof based on the facts and circumstances for each complaint.

• Evidence-This section will provide an application of the case law to the facts of the case, i.e., evidence of a prima facie case, the Bureau's articulated non-discriminatory reason for its action(s), and evidence of pretext.

Submitting the FAD The Contractor shall deliver a draft FAD within thirty (30) calendar days of receipt of the ROI, or as otherwise specified to the Bureau. The Bureau shall review the FAD and may return it for any revisions. If required, the Contractor shall return the revised FAD to the Bureau via email within five (5) days of receipt for final approval. The Contractor's recommended findings and conclusions are not binding on the Bureau.

Compensatory Damages Claim Some specific complaints may require an independent investigation. Investigation of a compensatory damages claim may require taking statements as well as securing documents. Evidence gathered during the investigation is to be compiled into a report, which is tabbed. The report is to be submitted within twenty (20) days of receipt of the written request for investigation. The Bureau will make the decisions to investigate compensatory damages claims and will coordinate with the investigator. The investigator may disclose information or documents, as necessary, to obtain information from witnesses, e.g., to explain the allegations in a complaint, or to explain a manager's articulated reasons for an action in order to develop evidence bearing on that reason.

Preparation of an Analysis & Recommended FAD in Discrimination Complaints The Contractor shall prepare an analysis and recommended final Bureau decision relating to the issue(s) alleged in the complaint(s). The recommended FAD shall consist of a presentation of fact, a determination as to whether or not discrimination was found, the basis for the determination made in accordance with the appropriate models of analysis and applicable case law, and a recommended course of action. The analysis and recommended FAD shall be clear, concise, logical, well-reasoned, well documented, and fully supported. The Contractor's findings, conclusions and recommendations are not binding on the ordering Bureau. The analysis and recommended FAD shall be submitted to the ACP within fifteen (15) days unless another deadline is set by ACP.

Management Inquiries related to allegations of discrimination, Inquiry into Allegations of Noncompliance with Settlement Agreements and Preparation of an Inquiry Report:

The Contractor shall review the settlement agreement and allegation(s) of breach of the terms of the settlement agreement and conduct an inquiry sufficient to determine whether a breach has occurred and to recommend resolution to the ACP based on the findings during the inquiry. The inquiry report shall include but is not limited to statements of Complainant and witnesses, copies, or extracts of records, and policy statement(s) or regulations of the Bureau, organized to show their relevance to the issue of noncompliance. If resolution efforts are successful, a proposed settlement agreement shall be prepared and coordinated with the ACP.

Analysis and Recommended FAD The analysis and recommended FAD shall consist of a presentation of fact, a determination as to whether or not…