APPENDIX VI - Completed ROI Content Checklist.pdf

APPENDIX VI

CHECKLIST FOR COMPLETED REPORTS OF INVESTIGATION

Complaint Name:

Complaint Number:

____ Copy of the formal EEO complaint and attachments.

____ EEO Counselor's report and attachments.

____ Complaint transmittal, acceptance, decision letters, and/or requests to amend and decision on amendment.

____ Investigator’s letter of authority.

____ Organization chart identifying and defining the relationships of the organizations and the offices, showing the involved parties, the testifying witnesses and the comparable persons by unit, job title, series, grade, and basis groups. (Identify comparable employees or applicants only by number and/or job title unless specifically named by the complainant or other witnesses.)

____ Complainant's testimony, declaration or replies to interrogatories, that:

• explains the allegations and the reasons for them

• articulates the prima facie case

• develops what evidence Complainant says will prove the complaint

• defines any claims for compensatory damages

• Supplemental testimony providing the pretext statement

____ Testimony, declarations or replies to interrogatories, by the responding Agency witnesses that:

• articulates the Agency's reply to all allegations raised in the complaint or that are developed by the investigation

• develops the evidence to support the Agency's actions.

____ Testimony, declarations or replies to interrogatories, of corroborating witnesses that:

• addresses their knowledge of the claims in the complaint,

• describes the actions that affected Complainant and/or similarly situated employees or candidates and explains why the events happened

• states whether the actions are or are not legitimate and nondiscriminatory

____ All necessary documentation that:

• pertains to the events and/or claims in the complaint

• describes what happened to Complainant and similarly situated employees or candidates

• If reprisal is a basis of discrimination evidence of prior EEO activity or opposition to discrimination and managements involvement and if management was aware of it

• includes the regulations, authorities and/or standing practices of the Agency which may have authorized, required or prohibited the actions investigated

____ A statistical survey of the comparable treatment of similarly situated employees or candidates, identified by base group membership(s), that directly concerns the complained of actions or decisions covering the most recent two-year period or the time Complainant worked in specific office if less than two years. If there are no comparable actions, employees or candidates, the report must provide a clear explanation.

____ As necessary and logical, Investigator's Memoranda describing:

• results of any examinations of administrative files (e.g., personnel files)

• any evidence of tampering with a document included as an exhibit in the report

• any situation that may have limited the success of the investigation or affected its integrity

____ Investigator’s Memoranda explaining why any witness named by any party was not interviewed or any document identified as relevant was not collected and the efforts made to get them.

____ Delete names of comparable employees/candidates from the personal and agency documents unless they are already identified by name in developed testimony, the formal complaint or EEO counselors report. Assign an identification number or letter to each deleted name that is consistent to any other numerical or alphabetical reference to the same individual in the report of investigation.

• For each document from which information has been redacted, the investigator will provide the COR with an un-redacted copy under separate cover.

____ Provide a key that discloses the number or letter given to each person deleted.

Provide any written document requests under separate cover.

____ Except for Complainant’s documents, delete all information from comparable persons that is protected by the Privacy Act, such as, SSN's, home addresses, employees' home and office telephone numbers, military service information, names of references and their addresses, and information on relatives or supplemental personal information not needed to adjudicate the complaint.

____ Except for complaints based on age or national origin, also delete DOB's and places of birth (POB's). Delete pay, disciplinary references, security determinations, T&A data, rating and award information unless needed to answer the accepted allegations.

____ Organize administrative complaint documents in chronological order from oldest to the most recent, in the first section.

____ Organize transcripts of testimony, declarations, replies to interrogatories, statements, Investigator's memoranda, data, studies and charts that were prepared during the investigation, in logical order in the second section.

____ Organize all action and reference documents and regulations/agency guidance in chronological order from oldest to the most recent, in the last section. NOTE:

make sure that the agency guidance/regulation exhibited in the ROI was in effect at the time of the alleged discriminatory event relevant to the specific regulation.

____ The Summary is clear, accurate and concise. It DOES NOT report any information that is not contained in the exhibits.