Attachment 1 - ODEE PWS_v3.0.docx

UNCLASSIFIED

National Geospatial-Intelligence Agency Office of Diversity, Inclusion and Equal Employment Opportunity Performance Work Statement (PWS) for EEO Formal Complaint Investigations

Summary The National Geospatial-Intelligence Agency (NGA), Office of Diversity, Inclusion, and Equal Employment Opportunity (ODE) is seeking a firm to conduct investigations of formal EEO complaints – including preparation of Reports of Investigation (ROI) on the facts developed in EEO discrimination complaints filed against NGA by employees, former employees, and applicants for employment in conformance with the standards established by the US Equal Employment Opportunity Commission (EEOC).

Background NGA EEO policy, in accordance with federal laws and regulations, prohibits discrimination in employment on the basis of race, color, national origin, sex, religion, age (40 and over), disability, genetic information or reprisal. Within NGA, the Office of Diversity, Inclusion, and Equal Employment Opportunity has primary responsibility for enforcing laws and regulations which prohibit discrimination in employment. Complaints of EEO discrimination alleged by NGA employees, former employees and applicants for employment are processed in strict accordance with EEOC regulations, Title 29, Code of Federal Regulations (C.F.R.) §1614, as amended, and applicable laws, statutes, regulations, executive orders and directives. To ensure NGA’s compliance, the services of contractors are required to assure completion of informal EEO complaint counseling and reporting; conducting and reporting on formal EEO complaint investigations; and preparation of EEO final Agency decisions as mandated by the EEOC’s EEO Management Directive 110 (EEO MD-110) and 29 C.F.R. § 1614 and their respective timelines.

Purpose The purpose of this procurement is to obtain formal EEO complaint investigations to include the report of investigation in conformance with the standards set by the EEOC. Investigation services must include a thorough review of the circumstances under which the alleged discrimination occurred and the treatment of the complainant and member of the complainant’s group(s) compared with the treatment of others not of complainant’s group(s) in the organizational segment. Additionally, the investigation must require a review of any policies and practices related to the alleged discrimination. The investigation must include:

a. Preparation of an Investigative Plan;

b. Obtaining of documentary information, including relevant statistics;

c. Securing testimony, and;

d. Preparing the investigative file including final Reports of Investigation (ROI).

Scope of Work Fulfill the Government’s obligation to investigate EEO complaints within 180 days of the initiation of the complaint. An investigation is an official review or inquiry, by persons authorized to conduct such a review, into claims raised in an EEO complaint. The investigative process is non-adversarial. That means the investigator is obligated to collect evidence regardless of the parties’ positions with respect to the items of evidence. Investigations can require extensive document collection, interrogations, declarations, and verbatim testimony at the unclassified level to create the Report of Investigation, which is a fair and impartial record of the complaint being investigated. Ensure investigations occur in a timely matter to meet federally mandated timelines. NGA cannot deny administrative due process to individuals who file an EEO complaint against the agency, and this due process requires an investigation and the creation of a written ROI.

The specific activities and functions that fall within the scope of this PWS for investigators are outlined in the EEOC Management Directive 110 (MD-110): Chapter 6 – Development of Impartial and Appropriate Factual Records, sections 4 through 6. Knowledge of current EEO case law is required. Specific requirements for all are described later in this PWS.

Investigators shall have all required trainings and certifications, including annual refresher trainings. The expense for such training is the sole responsibility of the Contractor.

Although the agency and EEO Office cannot anticipate the exact number of complaints filed with any accuracy, historical data indicates the annual number of investigations to be between 32 and 40. Furthermore, depending on the scope and number of claims to be investigated and whether the complaint is amended during the investigative period, an active investigation (to include document gathering, interrogatories, declarations, on-site live testimony, and rebuttal testimony) can span a timeframe anywhere from weeks to months, making an estimation of open complaints difficult. For this reason, the exact length of an investigation and number of witnesses who provide testimony cannot be projected with any degree of accuracy and services must be immediately available upon request.

Business Protocol and Capabilities

The Contractor shall furnish all essential equipment, materials, personnel, software, and supplies needed to perform all the work required to perform EEO investigation.

The Contractor shall have a professional business operation to include:

· A business telephone that is monitored Monday through Friday from 7:30 a.m. to 4:30pm with staff available to assist with issues and respond to questions regarding investigations, billing, and availability.

· Secure company email addresses

· For business operations such as billing and contractual issues

· Individual staff email addresses for direct communication with contractors assigned with specific tasks.

· The ability to create and submit large complex PDF documents electronically to NGA via an online electronic system or electronic protocol that allows for easy file sharing in accordance with MD 110 with Chapter 6, Sec VIII, Complaint File.

Applicable Authorities

Authorities applicable to this BPA include, but are not limited to, the following:

· Title VII of the Civil Rights Act of 1964, as amended

· Civil Rights Act of 1991, as amended

· Rehabilitation Act of 1973, as amended

· Age Discrimination in Employment Act of 1967, as amended

· Equal Pay Act of 1963, as amended

· The Americans with Disabilities Act of 1990, as amended

· Pregnancy Discrimination Act of 1978, as amended

· Genetic Information Non-Discrimination Act of 2008, as amended

· Executive Order 11478 – Equal Opportunity in the Government

· 29 C.F.R. Part 1614 – Equal Employment Opportunity in the Federal Government, as amended

· EEOC Management Directive 110

· NGA Policies and Instructions

Requirements

Investigations

The Contractor will investigate and provide ROI for individual cases with one issue, multiple issues (to include amendments), and/or continuing violations, as well as for consolidated cases with one issue, multiple issues (to include amendments), and/or continuing violations.

Investigations shall be performed to identify and obtain evidence from all relevant sources and gather sufficient information relevant to the bases and issues (claim) raised in the complaint which will allow a reasonable fact finder to draw conclusions as to whether discrimination occurred. Investigators must remain neutral during the investigative process and gather evidence regardless of the involved parties’ positions. Investigations may require extensive research, analysis, and data collection through different investigative methods (i.e. requests for information, interrogatories, declarations, interviews, fact finding conference) to create a fair and impartial report of the claims accepted and to prepare a comprehensive Report of Investigation (ROI).

Investigations shall include a thorough review of the circumstances under which the alleged discrimination occurred and sufficient data/information to allow a comparative analysis of the treatment of complainant and members of the complainant's protected group as compared to the treatment of others similarly situated but who do not belong to complainant's protected group. Additionally, the investigation shall include a review of any policies and practices being challenged as discriminatory or in which the alleged discriminatory action is based.

The Contractor shall provide investigators, trained in accordance with the EEO MD-110, Chapter 6, 32 hours of investigator training before conducting an investigation and 8 hours of refresher training every fiscal year. Credentials shall be made available to ODE upon request.

An investigator shall be assigned within five (5) business days of receipt of request.

The Contractor shall be able to investigate and provide reports of the investigation for individual cases with one issue, multiple issues, to include amendments, and/or allegations of continuing violations, as well as for consolidated cases with one issue, multiple issues and/or allegations of continuing violations.

· Continuing violations: an allegation that a series of events culminate into an allegation of hostile work environment or on-going harassment. This includes all of the alleged issues that constitute the hostile work environment claim.

· Consolidated case: two or more cases of discrimination consolidated prior to the completion of the investigation.

· Additional issue: an issue(s) or amendment to a complaint after the initial acceptance for investigation letter has been issued and prior to conclusion of the investigation in accordance with federal statue and MD-110.

Although most complaints are filed at NGA’s Springfield, Virginia, St. Louis, Missouri and Arnold, Missouri campuses, the Contractor shall have the ability to conduct investigations regardless of the complainant’s geographic location. In addition, NGA partners with other federal agencies to manage and conduct investigation of complaints that may result in a conflict of interest to the agency. In these cases, NGA may be required to complete investigations of complaints filed against other agencies.

The claims accepted by ODE and any incidents relevant to the complaint constitute the purview of the investigations ordered under this contract. While a complainant may add or delete bases and/or issues for their allegations at any time, any new claim raised by the complainant at the investigative stage shall be referred to ODE. ODE retains the sole authority to accept or dismiss the new claim. The Investigator shall not investigate, agree to investigate or comment on the acceptability of any new claims/allegations.

The investigator shall submit an investigative plan (IP) to NGA/ODE within (5) business days after assignment. The IP must be approved by ODE before the investigator begins the investigation.

The initial IP shall be either a Word or writable PDF document, allowing ODE to make comments, if needed. Once approved, the final IP shall be a PDF document for inclusion in the Report of Investigation (as described later in this PWS). The IP shall contain the following information:

I. Complainant Information

· Name, address, home phone, work phone

· Complainant’s Representative information – name, address, phone, email II. Respondent Information – most often that will be The Department of Defense SECRETARY of DEFENSE NAME National Geospatial-Intelligence Agency 7500 GEOINT Drive Springfield, VA 22150 III. Report of Investigation Timeline

· Date complaint file received

· Contents of file (i.e., complainant’s statement, EEO Counselor’s report)

· Date IP submitted

· ROI due date – standard due date is 75 days after receiving approval of the IP, unless otherwise noted by ODE; additional time must be approved by ODE

Conducting the Investigation The investigation will identify and obtain evidence from all relevant sources and gather sufficient information relevant to the issues and bases raised in the complaints which will allow a reasonable fact finder to draw conclusions as to whether discrimination occurred.

Investigations shall be conducted via sworn written interrogatories, unless otherwise stated by ODE. The investigator may follow up with interviewees by telephone or email to clarify responses. Investigators will not have access to NGA facilities to conduct interviews. When one individual is questioned on multiple issues, interrogatory questions should be grouped by issue for clarity.

All requests for documentary and statistical evidence (data, policies, personnel records, correspondence, etc.) must come from/through ODE. An initial Request for Information may be issued with the IP, as noted in this PWS. The IP should not be mixed/confused with a formal request for information (RFI) from the Agency; a formal RFI should be documented and included in the report of investigation.

· If, during the investigation, the investigator identifies additional documentation that is relevant, she/he/they must submit another request to ODE. No documents should come directly from the complainant, complainant’s representative, responsible management officials, or witnesses. If any documents are submitted to the investigator from anyone other than an ODE representative, those documents must be sent to ODE before being considered for the investigation or placed into the ROI. This practice must be strictly adhered to for classification purposes.

Preparing Reports of Investigations (ROIs)

Investigators shall prepare the ROI to conform the standards established by the EEO MD-110 and 29 C.F.R. Part 1614.108. An investigative file will include an investigative summary and a timely and accurate written ROI will be produced that details the inquiry conducted.

The investigative file and ROI will be submitted in PDF format, appropriately bookmarked and sequentially paginated. In accordance with NGA security protocols, the final ROI will be submitted to ODE electronically using a secure platform that supports the transmission of large, encrypted files. The preferred method is DoD SAFE (Secure Access File Exchange). This submission format also aligns with MD 110, Chapter 6, Sec VIII, Complaint File, which calls for submission via an online electronic system or electronic protocol that allows for easy file sharing.

In the event electronic submission is not feasible, or, if the complainant specifically requests, the investigator shall submit two copies of the ROI on separate discs to ODE via overnight or express mail service.

The final draft of the ROI will be reviewed by ODE for completeness, clarity and to ensure the document is unclassified. If ODE determines that an ROI is deficient, a supplemental investigation may be required. The Contractor shall perform the supplemental investigation at no cost to the Government. Upon final approval by ODE, the Contractor may submit an invoice for payment.

The contents of the investigative file shall be appropriately organized and tabbed and shall include:

Cover Page A Privacy Act Notice shall be placed as the first page of each ROI. It shall read as follows: NOTICE: ALL INFORMATION CONTAINED IN THIS REPORT IS PROTECTED BY THE PRIVACY ACT OF 1974 AND MUST BE DEALT WITH ACCORDINGLY. When not in use, it is to be stored in a locked cabinet or secure area. It must be disposed of properly. Employees who violate the privacy safeguards may be subject to disciplinary actions, a fine of up to $5,000, or both (P.L. 93-579).

Case Index

· List of the contents of the file by tab and sequential page number.

· Individual documents under each tab should be consecutively numbered in addition to being identified as part of the tab (For example, A-1, A-2, etc.).

Tab A: Formal complaint and documents submitted by the Complainant

· Copy of the complaint.

· Any additional written statements presented by the Complainant.

· Any documents presented by the Complainant at the start of the process. (Usually given by the EEO Specialist as a part of the initial file.)

Tab B: EEO Counselor's Report, documents generated in the informal process and the Notice of Right to File a Formal EEO Complaint

· Copy of the EEO Counselor’s report.

· Copy of the Acknowledgment letter, Notice of Acceptance letter and any withdrawals, changes, or amendments to the complaint as documented by NGA.

Tab C: Notice of the claims accepted for investigation and a copy of any other documents bearing on the delineation of the claims/allegations.

· Statement of the claims (issue(s) and basis(es)) accepted for investigation, including a reference to the applicable statute(s) and regulations(s).

Tab D: Documentation of appellate activity and any decisions affecting the processing of the complaint, e.g., remand of a dismissal.

Tab E: Evidence, documents, affidavits, and interrogatories in a logical order, with documents further separated by numerical tabs as necessary.

· This discussion should tell the story of what happened regarding the claims accepted for investigation.

Tab F: Statistical Information and other miscellaneous material.

· Comparative data analysis of the treatment of complainant and members of complainant's protected group as compared with the treatment of others not in complainant's protected group, who are similarly situated to complainant in the organizational segment ("Title VII Analysis").

· Background information, including relevant workforce statistics.

· All documents collected by the investigator.

Quality Assurance

All deliverables will be reviewed for quality of work under the following standards:

1) Meeting NGA established suspense delivery dates, times and completeness requirements and accuracy requirements.

a) All ROIs have an established suspense delivery date and time and shall be delivered to NGA/ODE in accordance with designated receipt date and time established at notification to the contractor.

b) All individual ROIs delivered after the suspense date will be designated as late and assessed a penalty of 20% of the invoice submitted.

c) All ROIs delivered that are incomplete and/or inaccurate and require NGA to return the product after the suspense date will be designated as late (regardless of the original delivery date) and shall be assessed a penalty of 20% of the invoice submitted.

2) Meeting NGA established definition of ROI completeness includes:

a) Copy of the complaint.

b) Copy of the EEO Counselor’s report.

c) Copy of the Acknowledgment letter, Acceptance letter and any withdrawals, changes, or amendments to the complaint as documented by NGA.

d) Background information, including relevant workforce statistics.

e) Statement of the claims/allegations and basis(es) accepted for investigation, including a reference to the relevant statute(s) and regulations(s).

f) All documents collected by the investigator.

g) Separate discussion of each claim/allegation with reference to the appropriate exhibits by relevant page number. This discussion should tell the story of what happened regarding the claims/allegations accepted for investigation.

h) Comparative analysis of the treatment of complainant and members of complainant's protected group as compared with the treatment of others not in complainant's protected group, who are similarly situated to complainant in the organizational segment ("Title VII Analysis").

i) Case index, including a list of the contents of the file by tab and sequential page number. Individual documents under each tab should be consecutively numbered in addition to being identified as part of the tab (For example, A-1, A-2, etc.).

j) A summary of the investigation.

k) It shall be paginated sequentially from the first page to the last page.

l) The electronic (pdf) version shall be tabbed and bookmarked.

4) Meeting NGA established definition of accuracy.

a. All pages will be delivered and included in the electronic version of the document.

b. All products will be paginated sequentially from the first page to the last page.

c. All documents that include Privacy Act protected information will include a coversheet stating the same.

d. The ROI will include an index that begins on a separate page. This index will include the page numbers on which the referenced document can be found in the report.

Withdrawal/Resolution/Settlement

The Contractor shall abide by the following with respect to withdrawal, resolution, and/or settlement:

DO NOT DELAY ANY INVESTIGATION AT ANY TIME DUE TO AN OFFER OF SETTLEMENT OR FOR SETTLEMENT NEGOTIATIONS UNLESS SPECIFICALLY INSTRUCTED TO DO SO BY THE COR.

DO NOT ATTEMPT TO SETTLE OR BROKER A SETTLEMENT OF ANY COMPLAINT AT ANY TIME.

Complaints may be withdrawn, and the investigation stopped/canceled at any time by a written statement from the complainant. Complaints may also be closed at any time by a fully executed written settlement agreement between NGA, the concerned managers, and the complainant.

Should a complainant announce his/her desire to withdraw a complaint, the contract investigator shall have the complainant contact ODE to effectuate the withdrawal. ODE will ensure the proper process is followed in accordance with EEOC guidelines and confirm the withdrawal with the COR. The COR will then accept the withdrawal as the completed, full delivery of the assignment should the withdrawal be valid and occur during the period of performance. Upon confirmation of the complaint withdrawal from ODE, the COR will officially stop the investigation. Upon notification of stopping the investigation, the contract investigators should send ODE any documents drafted, created, or obtained during the investigation. The investigator shall also stop all outstanding document requests or requests for statements, as well as cancel any scheduled interviews.

If a definitive settlement of the complaint is reached and fully executed by all necessary parties, the case assigned will be officially stopped by the COR and considered complete. Upon acceptance of the fully executed settlement agreement, investigators shall send ODE any documents drafted, created, or obtained during the investigation. The investigator shall also stop all outstanding document requests or requests for statements, as well as cancel any scheduled interviews.

Assignments ordered under the award may be canceled and the investigation discontinued by the Contracting Officer at any time due to unforeseen legal requirements. If so, the Contractor shall be paid for the number of issues per case not completed under the discontinue order terms of the contract.

Period/Place of Performance

The headquarters of the National Geospatial -Intelligence Agency, Office of Diversity, Inclusion, and Equal Employment Opportunity (ODE) is located at 7500 GEOINT Drive in Springfield, VA, with a smaller ODE contingent at 2nd Street in St. Louis, MO. All work will primarily be performed via telephone and email from the contractor’s place of business unless otherwise designated by NGA. The ordering period shall commence from contract award through five years. NGA reserves the right to terminate any BPA for failure to meet all of the requirements identified in this agreement.

Inspection and Acceptance

NGA reserves the right to inspect all services and deliverables for quality and timeliness. Inspection, to the extent practicable, may take place at all places and times, including during the period of investigation and in any event before final acceptance. NGA shall perform inspections and tests in a manner that will not unduly delay the work. However, should the product prove defective, either in format or content, NGA reserves the right to return the product and request correction, revisions, editing, further research or further investigation without additional cost.

Upon delivery of the services and/or product, NGA will conduct a final inspection. Once final inspection is conducted to both party’s satisfaction, NGA will grant the deliverables final acceptance. All products (investigations) shall conform to the standards established by the EEOC. The investigation will identify and obtain evidence from all relevant sources and gather sufficient information relevant to the issues in the complaint to ascertain the validity of the allegation. All investigations will be completed within seventy-five (75) days of receiving the request, unless otherwise indicated in the written request for investigation.

Special Consideration

All BPA holders shall be required to sign a Non-Disclosure Agreement. The agreement is legally binding and prohibits the company from disclosing, discussing, publishing or releasing any information regarding EEO discrimination complaints, complainants, or NGA that they gained, collected or obtained access to through the course of work on this contact. All BPA holders shall have a designee available to attend emergency meetings either in person or telephonically to discuss information pertaining to PWS issues that may arise during contract performance periods.

Security

Firms may be required to obtain security clearances. Uncleared investigators will not have access to classified information. Should the need arise for an investigator to gain access to an NGA campus, a Government representative will serve as liaison and escort.

Personal Identifiable Information (PII)

Mission Oversight and Compliance (MOC) recommends that all NGA personnel who process Personally Identifiable Information (PII) outside of a classified environment do so within the NGA Sensitive but Unclassified (SBU) environment or other approved application.

If SBU or other approved applications are not available and mission requirements drive NGA to accept the risks of having PII on business/personal IT devices, MOC recommends the following safeguards that are applicable to EEO complaint documents, Final Agency Decisions and Reports of Investigation:

· For PII transmitted/transferred from non-NGA SBU environment (business/personal) to NGA SBU environment

1. Documents containing PII created, drafted, downloaded and/or saved on non-NGA SBU environment and all documents containing PII used to create or draft documents containing PII need to be password protected upon saving on a non-NGA SBU environment, regardless of whether it will be transmitted/transferred to NGA SBU environment.

2. Transmit/transfer the document with DoD SAFE using the following safeguards:

a. Attach the password protected document from Step 1 and provide the password to the recipient through a separate communication method, preferably an encrypted method.

b. Before transmitting/transferring the document in DoD SAFE, the option to encrypt every file needs to be checked. The encryption password that was set needs to be provided to the recipient through a separate communication method, preferably an encrypted method. In total, the recipient should receive two separate communications with two separate passwords.

3. If DoD SAFE is not available, then transmit/transfer the document using a business email and, as last resort, a personal email with the following safeguards:

a. Digital signature.

b. Attach the password protected document from Step 1 and provide the password to the recipient in a separate email with a different “subject” line.

c. Verify that the correct email address is selected and that the recipient have a “need to know” before sending.

d. Never include PII in an email subject line or body.

e. Verify the attachment to ensure you have the right document.

f. Ensure the subject line contains “FOUO – Privacy Sensitive” and place in the body of the email the following warning, “This email may contain information subject to the Privacy Act of 1974 and is For Official Use Only. Any misuse or unauthorized disclosure may result in both civil and criminal penalties.”

g. Delete/remove the email sent from the “Sent” folder and afterwards also from the “Trash” folder.

· For PII transmitted/transferred from non-NGA SBU environment (business/personal) to a non-NGA SBU environment (business/personal)

All information containing PII shall not be transmitted from non-SBU environment to another non-NGA SBU environment unless in final draft format (i.e. supervisory reviews of final drafts).

1. Documents containing PII created, drafted, downloaded and/or saved on non-NGA SBU environment and all documents containing PII used to create or draft documents containing PII needs to be password protected upon saving on a non-NGA SBU environment, regardless of whether it will be transmitted/transferred.

2. If DoD SAFE and NGA OWA is not available, then transmit/transfer the document using a business email and, as last resort, a personal email with the following safeguards:

a. Digital signature.

b. Attach the password protected document from Step 1 and provide the password to the recipient in a separate email with a different “subject” line.

c. Verify that the correct email address is selected and that the recipient have a “need to know” before sending.

d. Never include PII in an email subject line or body.

e. Verify the attachment to ensure you have the right document.

f. Ensure the subject line contains “FOUO – Privacy Sensitive” and place in the body of the email the following warning, “This email may contain information subject to the Privacy Act of 1974 and is For Official Use Only. Any misuse or unauthorized disclosure may result in both civil and criminal penalties.”

g. Delete/remove the email sent from the “Sent” folder and afterwards also from the “Trash” folder.

· For mail transmission/transfer of PII originating from a NGA or non-NGA SBU environment

1. Documents containing PII created, drafted, downloaded and/or saved on NGA SBU environment or a non-NGA SBU environment for the purpose of being transmitted/transferred through mail need to be password protected upon being saved to the environment.

2. Transmit/transfer the document through mail using the following safeguards:

a. Print the document or store the password protected document from Step 1 on a CD, DVD, hard drive, USB flash drive, floppy disk or other removable media and provide the password to the recipient through a separate communication method.

b. Seal the printed document or media from the previous step in an opaque envelope or container, address the envelope or container to the recipient, mark that envelope or container “FOUO – Privacy Sensitive,” and place that sealed envelope or container in a second sealed, unmarked envelope or container addressed to the recipient.

c. Use First Class or Priority Mail, or a commercial delivery service (e.g., DHL, FedEx, or UPS) to mail the envelope or container.

d. Verify that the recipient received the information.

Destruction of Documents

Documents should be retained for one year after payment for final invoice, unless otherwise instructed by NGA/ODE. As soon as the document is no longer needed for an official purpose on a non-NGA SBU environment it needs to be disposed using approved NGA, DoD, or National Institute of Standards and Technology (NIST) disposal methods IAW NGA Records Schedule. Disposal methods are considered adequate if the personal data is rendered unrecognizable or beyond reconstruction. IAW NIST SP 800-88 Rev.1, purging is the appropriate disposal/sanitation method required for files/documents that are outside the agency’s control. Some methods of purging (which vary by media) include overwrite, block erase, and Cryptographic Erase, through the use of dedicated, standardized device sanitize commands that apply media-specific techniques to bypass the abstraction inherent in typical read and write commands.