EEO Investigation Services PWS Revised 201019 1454.pdf

PERFORMANCE WORK STATEMENT (PWS)

Investigative Services for Equal Employment Opportunity, Federally Funded, and

Assisted Program Complaints

Part 1

General Information

1. GENERAL: This is a non-personnel services contract to provide Investigative

Services for Equal Employment Opportunity, Federally Funded, and Assisted Program

Complaints. The Government shall not exercise any supervision or control over the contract service providers performing the services herein. Such contract service providers shall be accountable solely to the Contractor who, in turn is responsible to the

Government.

1.1 Description of Services/Introduction: The contractor shall provide all personnel, equipment, supplies, facilities, transportation, tools, materials, supervision, and other items and non-personal services necessary to perform EEO Investigative Services as defined in this Performance Work Statement except for those items specified as government furnished property and services. The contractor shall perform to the standards in this contract.

1.2 Background: The Office of Equal Rights (OER) has responsibility for ensuring that complaints of discrimination filed against the DHS/Federal Emergency Management

Agency (FEMA) are processed fairly, promptly, and in accordance with the complaint processing procedures as set forth in Equal Employment Opportunity Commission

(EEOC) and FEMA regulations and federal laws. In addition, FEMA has responsibility for conducting formal investigations of discrimination in federally funded and conducted programs and making findings and recommendations based on the investigations.

1.3 Objectives: Contract investigators support to assist with the processing and investigation of FEMA complaints of discrimination filed against FEMA by its employees, applicants for employment and recipients of Federal financial assistance on the basis of race, color, national origin, sex, age, religion, genetic information, disability, and/or retaliation for protected EEO activity. In addition, economic status, limited

English proficiency, sexual orientation, and parental status may also be accepted for investigation.

1.4 Scope: The contractor(s) shall perform work in accordance with the most current applicable laws, regulations, and executive orders that pertain to processing investigations under this contract and provided by DHS/FEMA to the contractor within seven (7) days the execution of the agreement. Prior to initiating the investigation, the

Contractor shall submit a copy of an Investigative Plan to the Office of Equal Rights for approval. The investigative plan must include the following:

(a) Issues under investigation

(b) Witness List

(c) Questions planned for each witness and “Named Official”

(d) Document Request

The work shall encompass performance of tasks that consist of the following:

(a) Telephonic investigations of complaints of discrimination based on any of the following: race, color, national origin, sex, age, religion, disability, and/or retaliation. In addition, economic status, limited English proficiency, sexual orientation, genetic information, and parental status may also be accepted for investigation.

(b) Preparation and submission of investigative files and the report of investigation (ROI).

At no time will an investigator initiate an investigation prior to receiving an Official

Authority to Investigate Letter signed by the Director, Office of Equal Rights or

Designated Representative. This letter must be sent forward to the Complainant as well as others whom may be interviewed for the case.

1.5 Period of Performance: The period of performance shall be for one (1) Base Year of

12 months and four (4) 12-month option years. The Period of Performance reads as follows:

Base Year

Option Year I

Option Year II

Option Year III

Option Year IV

1.6 General Information

1.6.1 Quality Control: The contractor shall develop and maintain an effective quality control program to ensure services are performed in accordance with this PWS. The contractor shall develop and implement procedures to identify, prevent, and ensure non-recurrence of defective services. The contractor’s quality control program is the means by which he assures himself that his work complies with the requirement of the contract.

The QCP is to be delivered within 30 days after contract award or with the contractor proposal to the CO and COR. After acceptance of the quality control plan the contractor shall receive the contracting officer’s acceptance in writing of any proposed change to his QC system.

1.6.2 Quality Assurance: The government shall evaluate the contractor’s performance under this contract in accordance with the Quality Assurance Surveillance Plan. This plan is primarily focused on what the Government must do to ensure that the contractor has performed in accordance with the performance standards. It defines how the performance standards will be applied, and the frequency of surveillance.

The following performance standards represent the measurements FEMA considers appropriate to the performance evaluation of the deliverables and services that the

Agency expects to receive from the Contractor:

1.6.2.1 Timeliness of deliverables completed (technical exhibit 12.2)

1.6.2.2 Degree of quality attained with respect to deliverables

1.6.2.3 Responsiveness of Contractor Staff

o Availability of designated Key Points of Contact: Program Managers and

Investigators o Working with staff to ensure deliverables are meeting needs.

1.6.3 Recognized Holidays: Contractor is Not Required to work.

New Year’s Day Labor Day

Martin Luther King Jr.’s Birthday Columbus Day

President’s Day Veteran’s Day

Memorial Day Thanksgiving Day

Independence Day Christmas Day

1.6.4 Hours of Operation: The contractor is responsible for conducting business, between the hours of 9:00am – 5:30pm Monday thru Friday except Federal holidays or when the Government facility is closed due to local or national emergencies, administrative closings, or similar Government directed facility closings. For other than firm fixed price contracts, the contractor will not be reimbursed when the government facility is closed for the above reasons. The Contractor must at all times maintain an adequate workforce for the uninterrupted performance of all tasks defined within this

PWS when the Government facility is not closed for the above reasons. When hiring personnel, the Contractor shall keep in mind that the stability and continuity of the workforce are essential.

1.6.5 Place of Performance: It is anticipated the Contractor will perform work mainly off-site at the Contractor’s facility and at any FEMA facilities, including joint field offices, and 10 regional offices including the Washington metro area. Contractors should anticipate investigating in the following Regions listed below:

Region 1: Connecticut; Maine, Massachusetts, New Hampshire, Rhode Island and

Vermont

Region 2: New Jersey, New York, Puerto Rico, and U.S. Virgin Islands

Region 3: District Columbia (Headquarters), Delaware, Maryland, Pennsylvania, Virginia and West Virginia

Region 4: Alabama, Florida, Georgia, Kentucky, North Carolina, South Carolina, Tennessee, and Mississippi

Region 5: Illinois, Indiana, Michigan, Minnesota, Ohio, and Wisconsin

Region 6: Arkansas, Louisiana, New Mexico, Oklahoma, and Texas

Region 7: Missouri, Kansas, Nebraska, and Iowa

Region 8: Montana, North Dakota, South Dakota, Wyoming, Utah, and Colorado

Region 9: Arizona, California, Hawaii, Nevada & Pacific Islands

Region 10: Idaho, Oregon, Washington, and Alaska

1.6.6 Type of Contract: FEMA intends to award Multiple Blanket Purchase Agreements

(BPA) with the intent to issue Firm Fixed Price Call Orders.

1.6.7 Security Requirements: Contractor personnel performing work under this contract must have a successful adjudication of FEMA Contractor Fitness at the Non-IT Moderate

Risk level prior to performing work on the contract. The contractor must maintain the level of security required for the life of the contract.

1.6.7.1 PHYSICAL Security: The contractor shall be responsible for safeguarding all government equipment, information and property provided for contractor use.

1.6.8 Special Qualifications:

The contractor shall provide EEO investigative support services utilizing EEOC certified investigators to assist with the processing and investigation of FEMA EEO complaints of discrimination filed against FEMA or its recipients of Federal financial assistance, on the basis of race, color, national origin, sex, age, religion, disability, and/or retaliation for protected EEO activity, which may also include complaints filed on the basis of economic status, limited English proficiency, sexual orientation, genetic information, and parental status.

1.6.9 Post Award Conference/Periodic Progress Meetings: The Contractor agrees to attend any post award conference convened by the contracting activity or contract administration office in accordance with Federal Acquisition Regulation Subpart 42.5.

The meetings will occur on an ad-hoc basis. The contracting officer, Contracting Officers

Representative (COR), and other Government personnel, as appropriate, may meet periodically with the contractor to review the contractor's performance. At these meetings the contracting officer will apprise the contractor of how the government views the contractor's performance and the contractor will apprise the Government of problems, if any, being experienced. Appropriate action shall be taken to resolve outstanding issues. These meetings shall be at no additional cost to the government.

1.6.10 Contracting Officer Representative (COR): The (COR) will be identified by separate letter. The COR monitors all technical aspects of the contract and assists in contract administration The COR is authorized to perform the following functions: assure that the Contractor performs the technical requirements of the contract: perform inspections necessary in connection with contract performance: maintain written and oral communications with the Contractor concerning technical aspects of the contract: issue written interpretations of technical requirements, including Government drawings, designs, specifications: monitor Contractor's performance and notifies both the

Contracting Officer and Contractor of any deficiencies; coordinate availability of government furnished property, and provide site entry of Contractor personnel. A letter of designation issued to the COR, a copy of which is sent to the Contractor, states the responsibilities and limitations of the COR, especially with regard to changes in cost or price, estimates or changes in delivery dates. The COR is not authorized to change any of the terms and conditions of the resulting order.

1.6.11 Key Personnel: The follow personnel are considered key personnel by the government: Identified

Program Managers and Investigators. The contractor shall provide a contract manager who shall be responsible for the performance of the work. The name of this person and an alternate who shall act for the contractor when the manager is absent shall be designated in writing to the contracting officer. The contract manager or alternate shall have full authority to act for the contractor on all contract matters relating to daily operation of this contract. The contract manager or alternate shall be available between

9:00am – 5:30pm, Monday thru Friday except Federal holidays or when the government facility is closed for administrative reasons. Qualifications for all key personnel are listed below: Certified EEOC

Investigators.

1.6.12 Identification of Contractor Employees: All contract personnel attending meetings, answering Government telephones, and working in other situations where their contractor status is not obvious to third parties are required to identify themselves as such to avoid creating an impression in the minds of members of the public that they are

Government officials. They must also ensure that all documents or reports produced by contractors are suitably marked as contractor products or that contractor participation is appropriately disclosed.

1.6.13 Contractor Travel: Travel may be required to obtain Government Furnished

Equipment (GFE) or to resolve issues with GFE. All travel required by the Government outside the local commuting area (50 mile radius outside a FEMA location) will be reimbursed to the Contractor in accordance with the Federal Travel Regulations, and as approved by the COR. The Contractor shall be responsible for obtaining COR approval

(electronic mail is acceptable) for all reimbursable travel in advance of each travel event

Contractor will be required to travel within the NCR during the performance of this contract to attend meetings.

1.6.15 Data Rights The Government has unlimited rights to all documents/material produced under this contract. All documents and materials, to include the source codes of any software, produced under this contract shall be Government owned and are the property of the Government with all rights and privileges of ownership/copyright belonging exclusively to the Government. These documents and materials may not be used or sold by the contractor without written permission from the Contracting Officer.

All materials supplied to the Government shall be the sole property of the Government and may not be used for any other purpose. This right does not abrogate any other

Government rights.

1.6.16 Organizational Conflict of Interest: The Contractor shall notify the Contracting

Officer immediately whenever it becomes aware that such access or participation may result in any actual or potential OCI and shall promptly submit a plan to the Contracting

Officer to avoid or mitigate any such OCI. The Contractor’s mitigation plan will be determined to be acceptable solely at the discretion of the Contracting Officer and in the event the Contracting Officer unilaterally determines that any such OCI cannot be satisfactorily avoided or mitigated, the Contracting Officer may effect other remedies as he or she deems necessary, including prohibiting the Contractor from participation in subsequent contracted requirements which may be affected by the OCI.

If for any reason the agency or the contractor determines that the Contractor and/or an employee of the Contractor faces a potential, perceived, or real conflict of interest, the agency shall notify the Contractor or the Contractor shall notify the agency, and the contractor and/or contract employee shall cease all work on, reassign the task, or proceed at the discretion of the agency. At the discretion of the agency, the Contractor may provide an acceptable replacement investigator.

1.6.17 PHASE IN /PHASE OUT PERIOD ): To minimize any decreases in productivity and to prevent possible negative impacts on additional services, the Contractor shall have personnel on board, during 90 day phase in/ phase out periods. During the phase in period, the Contractor shall become familiar with performance requirements in order to commence full performance of services on the contract start date.

PHASE OUT PERIOD:

On notice of the Contracting Officer and within the timeframe specified by the

Contracting Officer, the Contractor shall, at a minimum, provide FEMA with the following in the format specified by the Contracting Officer:

• All case files for claims maintained for FEMA claimants on the assigned FEMA laptop, management information reports, other data files, and hard copy forms received, produced and maintained throughout the life of the contract along with such specifications, documentation, and assistance to assure access and use by the recipient or successor performer;

• A final report outlining all work accomplished under this contract and the problems encountered; and.

• A Transition Plan for the transfer of the performance of services for the

Contractor to another Contractor.

PART 2

DEFINITIONS & ACRONYMS

2. DEFINITIONS AND ACRONYMS:

2.1. DEFINITIONS:

2.1.1. CONTRACTOR. A supplier or vendor awarded a contract to provide specific supplies or service to the government. The term used in this contract refers to the prime.

2.1.2. CONTRACTING OFFICER. A person with authority to enter into, administer, and or terminate contracts, and make related determinations and findings on behalf of the government. Note: The only individual who can legally bind the government.

2.1.3. CONTRACTING OFFICER'S REPRESENTATIVE (COR). An employee of the

U.S. Government appointed by the contracting officer to administer the contract. Such appointment shall be in writing and shall state the scope of authority and limitations.

This individual has authority to provide technical direction to the Contractor as long as that direction is within the scope of the contract, does not constitute a change, and has no funding implications. This individual does NOT have authority to change the terms and conditions of the contract.

2.1.5. DELIVERABLE. Anything that can be physically delivered, but may include non-manufactured things such as meeting minutes or reports.

2.1.6. KEY PERSONNEL. Contractor personnel that are evaluated in a source selection process and that may be required to be used in the performance of a contract by the Key

Personnel listed in the PWS. When key personnel are used as an evaluation factor in best value procurement, an offer can be rejected if it does not have a firm commitment from the persons that are listed in the proposal.

2.1.7. PHYSICAL SECURITY. Actions that prevent the loss or damage of Government property.

2.1.8. QUALITY ASSURANCE. The government procedures to verify that services being performed by the Contractor are performed according to acceptable standards.

2.1.9. QUALITY ASSURANCE Surveillance Plan (QASP). An organized written document specifying the surveillance methodology to be used for surveillance of contractor performance.

2.1.10. QUALITY CONTROL. All necessary measures taken by the Contractor to assure that the quality of an end product or service shall meet contract requirements.

2.1.11. SUBCONTRACTOR. One that enters into a contract with a prime contractor.

The Government does not have privity of contract with the subcontractor.

2.1.12. WORKDAY. The number of hours per day the Contractor provides services in accordance with the contract.

2.1.13. WORK WEEK. Monday through Friday, unless specified otherwise.

2.1.14. EXPEDIATED SERVICE. Case requiring a short turnaround time as identified in the solicitation and call order.

2.1.15. MIXED CASES. Case appealable to the Merit Systems Protection Board.

2.1.16. COMPLEX CASES. Case that is amended or consolidated cases allotted additional time to conduct the investigation based on a specific circumstance i.e. the complaint has been amended to include additional allegations, one or more cases have been joined together processing or the case involves complex allegations.

2.2. ACRONYMS: [List all acronyms used in the PWS and what they represent. At a minimum, insert the acronyms provided below].

CFR Code of Federal Regulations

CONUS Continental United States (excludes Alaska and Hawaii)

COR Contracting Officer Representative

COTR Contracting Officer's Technical Representative

COTS Commercial-Off-the-Shelf

DA Department of the Army

DD250 Department of Defense Form 250 (Receiving Report)

DD254 Department of Defense Contract Security Requirement List

EEOC Equal Employment Opportunity Commission

FAR Federal Acquisition Regulation

IP Investigative Plan

KO Contracting Officer

OCI Organizational Conflict of Interest

ODC Other Direct Costs

PIPO Phase In/Phase Out

POC Point of Contact

PRS Performance Requirements Summary

PWS Performance Work Statement

QA Quality Assurance

QAP Quality Assurance Program

QASP Quality Assurance Surveillance Plan

QC Quality Control

QCP Quality Control Program

ROI Report of Investigation

TE Technical Exhibit

PART 3

GOVERNMENT FURNISHED PROPERTY, EQUIPMENT, AND SERVICES

3. GOVERNMENT FURNISHED ITEMS AND SERVICES:

3.1. Serviceseach contract investigator with a FEMA email account and access to the

FEMA intranet.

3.3 Equipment : The Government will provide each Investigator with a FEMA laptop.

PART 4

CONTRACTOR FURNISHED ITEMS AND SERVICES

4. CONTRACTOR FURNISHED ITEMS AND RESPONSIBILITIES:

4.1 General: The Contractor shall furnish all supplies, equipment, facilities and services required to perform work under this contract that are not listed under Section 3 of this

PWS.

4.4. Equipment: The Contractor shall provide the means to conduct telephonic interviews.

PART 5

SPECIFIC TASKS

5. Specific Tasks:

5.1. Basic Services. The contractor shall provide services in accordance with the most current applicable laws, regulations, and executive orders that pertain to processing EEO investigations provided by DHS/FEMA to the Contractor and in conformance to

Management Directive 110 and 29 C.F.R. 1614.

5.2. Conduct Telephonic Investigations. The contractor shall conduct a telephonic investigation into allegations of discrimination made by the complainant.

5.3. Preparation and Submit Investigative File: The contractor shall prepare and submit an investigative file of all investigations conducted under this BPA. The investigative file must include an Investigative Summary and all relevant documents required under the paragraphs above. This file shall be prepared in accordance with the guidance defined in EEOC MD-110.

5.4. Training for EEO Complaint Investigations: must be in accordance with EEOC

Management Directive (MD 110). Within 2-weeks after award of this contract, the

Contractor shall submit to the COR in writing that all investigators working under this contract have received eight hours of update investigative training within the past year.

The COR must receive documentation annually, by September 30, reflecting that annual investigator training requirements have been met.

5.5. Investigative Plan: must be issued to the assigned case manager within ten (10) days for Amended / Complex cases and five (5) days for all other case types.

5.6. Draft Report of Investigation: must be issued to the assigned case manager within thirty-six days (36) for expedited and mixed cases, forty-six (46) days for routine and eighty-six (86) days for amended and complex

5.7. Corrections of Report of Investigation: must be completed and submitted within seven (7) days of the case manager notifying the investigator of errors within the ROI.

5.8. Final Report of Investigation must be issued to the assigned case manager within fifteen (15) days for amended / complex cases and seven (7) days for all other case types when the draft ROI is approved. If corrections are requested

5.9. Contract Management Reporting: the contractor shall provide a status of all current investigations weekly by 12:00 pm Friday. This report shall include the case number, assigned investigator, date of assignment to the investigator, date IP issued, anticipated / actual date draft ROI issued, anticipated / actual date final ROI issued, specific case notes identifying current status of investigation and any issues of the investigation. Issues may include but not be limited to, uncooperative witnesses, inability to receive pertinent documents and any other item that may delay the completion of the investigation.

PART 6

APPLICABLE PUBLICATIONS

6. APPLICABLE PUBLICATIONS (CURRENT EDITIONS) (

6.1. The Contractor must abide by all applicable regulations, publications, manuals, and local policies and procedures relevant to EEO investigations, 29 C.F.R. 1614 and MD-

110.

The authority by which DHS/FEMA conducts its investigations includes, but is not limited to the following:

• Equal Employment Opportunity o 29 C.F.R. Part 1614 o EEOC Management Directive 110 o Title VII of the Civil Rights Act of 1964, as amended o Executive Order 11478, Equal Employment Opportunity in the Federal

Government, as amended o The Age Discrimination in Employment Act of 1967, as amended o The Equal Pay Act of 1962, as amended o The Rehabilitation Act of 1973, as amended o Americans with Disabilities Act of 2008 o Genetic Information Non-Discrimination Act of 2008

• Federally Funded and Assisted Programs o Title VI of the Civil Rights Act of 1964 o Age Discrimination Act of 1975 o Civil Rights Restoration Act of 1987 o Title II of the American with Disabilities Act of 1990 o Executive Order 11478, Equal Employment Opportunity in the Federal

Government, as amended o Section 308 and 309 of the Robert T. Stafford Disaster Relief and

Emergency Assistance Act, as amended o FEMA Manual 1440.2

PART 7

SPECIAL CONTRACT REQUIREMENTS

7.1 The Contractor may be requested by the Ordering Agency to expedite the processing of an on-going investigation(s). An expedited investigation might result from an amendment to a complaint pending before an Administrative Judge (AJ) for hearing, where the AJ directs a specific authorized time period for investigation. Another might result from internal processing delays which impact authorized Agency processing timelines. The timeframes for processing expedited investigations is found in the

Delivery Times (Exhibit 1) of this document.

7.2 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 Agency or the Complainant, the Contractor must remove the investigator and assign another in his/her place. The Agency may at any time request the removal of an investigator where facts demonstrate that the investigator is biased toward either party.

7.3 To the extent necessary to develop the case, witnesses suggested by the complainant and appropriate management officials may be interviewed by the contractor as deemed appropriate. The need for interviewing other persons may become apparent as the case develops.

7.4 Maintain Forward Progress the contractor must ensure forward progress with the investigation to complete the investigation within the allowable timeframe. Steps to ensure forward progress include:

7.4.1 Formally set a due date for the return of information i.e. affidavits and document request etc. must be submitted within the IP with a five (5) day suspense date. Electronic transmissions with date/time stamps are the preferred method of delivery.

7.4.2 When suspense date arrives and no response or information has been obtained, the

Investigator shall then send a (3 day) letter to the individual seeking compliance and noting the consequences as stated in FEMA regulations and the MD-110. The standard template document shall be utilized and attached as a pdf via email. The COR and case manager shall be copied on all correspondence regarding document request/affidavits etc.

7.4.3 If second date arrives without compliance, an email shall be sent to the individual seeking compliance, allowing 24hrs to provide the requested documentation. If third suspense date arrives without compliance, investigator shall draft a formal memo to file noting the dates of failed attempts to obtain affidavits/documentation and ROI shall be submitted for approval with the memo to file.

7.5 The Contractor shall not permit any agency official or the complainant to influence or direct the investigation.

7.6 Specific information as to a person’s membership or non-membership in the complainant’s group needed to make an adjustment of the complaint, or to make an informed decision on the complaint, should, if available, be recorded by name in the investigative file. If necessary, the contractor may ask employees or applicants whether they are members or nonmembers of the complainant’s group. However, this information is voluntary and they are not required to provide this information if they do not wish to do so.

7.7 During the course of the investigation, the contractor shall remain objective and express no opinion as to whether or not discrimination has occurred.

7.8 During the course of the investigation, and in limited circumstances, investigators are allowed to use interrogatories to obtain witness testimony after obtaining written approval from the COR.

7.9 Complaint file content:

The complaint file will be assembled with a title page and contain all documents pertinent to the complaint, including the following steps

• The notice of the EEO Counselor to the complainant pursuant to 29 Code of

Federal Regulation (CFR) § 1614.105(d).

• The written report of the EEO counseling efforts pursuant to § 1614.105(c), and any attached documents.

• A copy of the complaint.

• Acknowledgment of filing of complaint. If the agency did not accept all of the claims set forth in the complaint, the complaint file should include the agency's partial dismissal determination and the agency's rationale for its action.

• If the complaint is withdrawn in whole or in part or otherwise amended or changed, the withdrawal or changes must be in writing and signed (electronic signatures are accepted) by the complainant or provided through email. A copy of the signed withdrawal or change must be made a part of the complaint file. OER must be notified of an amendment to claims during the course of the investigation.

• If resolution of the complaint is reached, the terms of the resolution must be reduced to writing and included in the complaint file.

• A statement of claim(s) to be investigated.

• A record of any activity before the EEOC, Office of Federal Operations.

• Evidence collected by the investigator.

• A summary of the investigation.

7.10 The completed complaint file shall have the following features:

• Case index to documents and exhibits.

• Tabbed sections for documents, exhibits, and explanatory material.

• A typed summary of the investigation signed and dated by the investigator and containing a discussion and analysis of the evidence.

7.11 Format for the Complaint File

Binder Heavy-duty cover or binder.

Title Page See Appendix M of EEOC MD-110.

Summary Summary of investigation/summary analysis of the facts. The summary should cite to exhibits and evidence.

Case Index The index to the file should list the contents of the file by tab and sequential page number (6-digit Bates numbering preferred).

Tab A Tab A should contain the formal complaint and all document attachments. Tab A should contain all documents provided by the Complainant in the investigation (please separate the documents gathered at the formal complaint filing stage versus the documents gathered at the investigative stage)

Tab B Tab B should contain the EEO Counselor's report and all documents generated in the informal process. Included here should be the notice of right to file a complaint.

Tab C Tab C should contain the agency's notice of claims to be investigated. Copies of any other documents bearing on delineation of the claims to be investigated should also be included. Documents pertaining to the partial dismissal of claim(s) should be included in this tab.

Tab D Tab D should document attempts at informal resolution; however, documentation should not include the substance of such attempts.

Tab E Tab E should contain any documentation of appellate activity and any decisions affecting the processing of the complaint.

Tab F Tab F should contain the evidence and documents in a logical order, with documents further separated by numerical tabs as necessary.

Tab G Tab G should contain any miscellaneous material.

7.12 The electronic file, must meet the following requirements:

7.12.1 Format

• For narrative text, Times New Roman, 12 point font is preferred. Other 12-point common business fonts (such as Arial) are acceptable.

• Page size should be 8 ½ x 11 inches with at least 1 inch margins on all sides.

• PDF documents, whenever possible, should be created from electronic source documents (such as MS Word) rather than by scanning paper documents.

• Scanned paper documents should be bi-tonal (black and white) and done at a resolution of 300 dots per inch (dpi).

• Use of color documents is discouraged.

• The Administrative Judge may refuse to accept any document submitted electronically that is illegible, un-interpretable or otherwise clearly inadequate.

• All files shall contain the following special features and be prepared in strict conformance to the following requirements:

7.12.2 Files shall not contain any security settings, password protections or other attributes that will restrict the Administrative Judge’s ability to open, cut and paste, copy or otherwise use files.

7.12.3 Adobe Acrobat automatically numbers pages in the Thumbnails palette and in the

Page Number area of the status bar of the Document pane in Arabic numerals, starting with the first page of the PDF document. This same numbering scheme shall be used when numbering the pages of the PDF document. Otherwise, the page numbers displayed in the Thumbnails palette and on the status bar will not match those shown on the document pages themselves, making it especially difficult for the reader to navigate the PDF document using the available tools.

7.12.4 Bates Numbering will be mandatory. Once the electronic Agency Investigation

File is assembled and finalized and before copies are distributed to the parties and the

Administrative Judge, the pages of the file must be electronically Bates-numbered with

Times New Roman or Arial, 14 point font, six-digit numbers (e.g., 000001, et seq.), placed at the bottom center of pages.

7.12.5 Any document converted to PDF that is five (5) pages in length or more should be made searchable using key words. Optical Character Recognition (OCR) software allows the user to search, correct and copy the text in a scanned Adobe PDF file.

7.12.6 Any document converted that is five (5) pages in length or more should be organized by sections or other components and headings levels assigned to the document headings to facilitate book marking when converted to PDF format. Consideration also should be made to creating an electronic table of contents linked to pages within the document. Agency investigation files shall be bookmarked or contain a table of contents with links to the various sections of the Report of Investigation, the attachments or exhibits and the testimonies of witnesses.

7.13 The Complainant and the Agency may elect to engage in alternative dispute resolution (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 per FAR 52.249-2. In such case, the Contractor will be so notified by the COR in order to suspend, continue and/or end the investigation. The Agency shall compensate the Contractor for the documented time spent, in accordance with the terms of the agreement, conducting the investigation to that point, prior to notification to the

Contractor.

7.14 The contractor shall notify the COR immediately of any incident, instance of confusion, question of propriety, or lack of cooperation encountered which would impact the integrity and results of the investigation. The COR will attempt to resolve any issues within the scope of the BPA and this Performance Work Statement. If the delay cannot be resolved, the COR may cancel the purchase order. If the delay is caused by lack of cooperation of witnesses within FEMA, documentation (email messages, correspondence) reflecting the contact to witnesses must be provided to the case manager or COR.

7.15 The COR or other authorized party of the ordering party shall coordinate and forward for consideration any requests by the contraction to extend the performance of work beyond the period stipulated in the task order. The extension is subject to approval by the Contracting Officer.

7.16 At the discretion of the ordering Agency, an investigation may be amended or consolidated which could impact the originally identified time limit. However, prior to any amendment or consolidation, you must have authorization from the ordering Agency, FEMA. Additional time may be added dependent upon the individual case circumstance;

i.e. amendments, consolidations and or issues will be considered by the assigned Case

Manager in conjunction with the COR.

7.17 After the Investigative Files have been cleared and deemed finalized, the contractor shall submit his/her invoice for payment under the Prompt Payment Act.

PART 8

ATTACHMENT/TECHNICAL EXHIBIT LISTING

8. Attachment/Technical Exhibit List:

8.1 Attachment 1 – Performance Requirements Summary

8.3. Attachment 2– Deliverable Timeframe

8.4. Attachment 4– FEMA Regional Map and Locations

8.5. Attachment 5- Report of Investigation Template

8.6. Attachment 6 -Record Management Obligations

8.7. Attachment 6- Security and Privacy Information and Clauses

8.8. Attachment 7– Section 504 and 508 Compliance

ATTACHMENT 1

PERFORMANCE REQUIREMENT SUMMARY

The contractor service requirements are summarized into performance objectives that relate directly to mission essential items. The performance threshold briefly describes the minimum acceptable levels of service required for each requirement. These thresholds are critical to mission success.

Performance Objective

(The service required)

Acceptable Quality Level Surveillance Disincentive

PRS #1 Training for

EEO Investigators

1. EEO training must be a completed by certified trainer.

2. COR must receive certification within 2 weeks of onboarding.

3. All investigators must have recertification on file by Sept 30 each year.

4. Timeliness of

Deliverable

Submitted documentation showing investigator certification

Investigator will not be approved for work on the contract

PRS #2 Submittal of

Investigation Plan

1. Investigative Plan submitted by or before times identified in

Attachment

2. Timelines of

Deliverable

3. Quality of Deliverable

4. Responsiveness

Submitted documentation

100%

Inspection

Failure to meet the schedule or provide acceptable deliverables will result in corrective action as determined by the Contracting

Officer in consultation with the COR.

PRS #3 Draft ROI 1. Draft ROI submitted by or before times identified in

Attachment

2. Timeliness of

Deliverable

3. Quality of Deliverable

Documentation

Failure to meet schedule or provide acceptable deliverables will result in corrective action as determined appropriate by the

Contracting Officer in consultation with the COR. The range of possible actions includes re-performance of

4. Responsiveness work, negative performance evaluations, withholding payment, renegotiating the schedule in conjunction with appropriate consideration, and partial or total termination for convenience/default.

PRS #4 Corrections to

Draft ROI if needed

1. Corrected Draft ROI submitted by or before times identified in

Attachment

2. Timeliness of

Deliverable

3. Quality of Deliverable

4. Responsiveness

PRS #5 Final ROI

Submittal

1. The Final ROI must be completed within the timeline identified in Attachment

2. Timeliness of

Deliverable

3. Quality of Deliverable

4. Responsiveness

Failure to meet the schedule or provide acceptable deliverables will result in corrective action as determined appropriate by the

Contracting Officer in consultation with the COR. The range of possible actions includes re-performance of work, withholding payment, renegotiating the schedule in conjunction with appropriate consideration, and partial or total termination for convenience/default of the task order or possibly the blanket purchase agreement

PRS #6 Contractor

Management

Reporting

1. Contractor shall submit the report by

12:00pm each Friday to the COR.

2. Timeliness of

Deliverable

3. Quality of Deliverable

4. Responsiveness

ATTACHMENT 2

DELIVERABLES SCHEDULE

Deliverable Frequency Medium/Format Submit To

Investigative Plan

Each investigati on dependent on case type

MS Word

Assigned Case manager and

COR

Investigative File and

Draft Report of

Investigation (ROI)

Each investigati on dependent

PDF Assigned Case

Manager and

COR

Final Report of

Investigation

Each investigati on dependent

PDF Assigned Case

Manager and

COR

Training of EEO

Investigators

Yearly PDF

Certification

Assigned Case

Manager and

COR

Contractor

Management Reporting

Weekly Excel

Spreadhseet

COR

ATTACHMENT 3

DELIVERY TIMEFRAME BY CASE TYPE

Expedited

Cases

Mixed

Cases

Cases Not Amended or

Consolidated (Routine)

Amended/Consolidated/

Complex Cases

Days to submit

Investigative Plan upon receipt of case file *

3 - 5

3-5

3 -5

Days to Submit

Draft Report of

Investigation upon approval of IP *

Days to submit

Final ROI upon receipt of corrections *

ATTACHMENT 4

FEMA REGIONAL MAP AND LOCATIONS

REGION I (Boston) STATES

Connecticut

Maine

Massachusetts

99 High Street, 6th Floor New Hampshire

Boston, Massachusetts 02110 Rhode Island

Vermont

REGION II (New York) STATES

New Jersey

New York

26 Federal Plaza, Room 1307 Puerto Rico

New York, New York 10278-0002 U.S. Virgin Islands

REGION III (Philadelphia) STATES

Delaware

District of Columbia

Maryland

One Independence Mall, 6th Floor Pennsylvania

615 Chestnut Street Virginia

Philadelphia, Pennsylvania 19106-4404 West Virginia

REGION IV (Atlanta) STATES

Alabama

Florida

Georgia

3003 Chamblee-Tucker Road Kentucky

Atlanta, Georgia 30341 Mississippi

North Carolina

South Carolina

Tennessee

REGION V (Chicago) STATES

Illinois

Indiana

Michigan

536 S. Clark Street Minnesota

Chicago, Illinois 60605 Ohio

Wisconsin

REGION VI (Denton) STATES

Arkansas

Louisiana

New Mexico

Federal Regional Center Oklahoma

800 N. Loop 288 Texas

Denton, Texas 76209-3698

REGION VII (KANSAS CITY) STATES

Iowa

Kansas

Missouri

9221 Ward Parkway, Suite 300 Nebraska

Kansas City, Missouri 64114-3372

REGION VIII (DENVER) STATES

Colorado

Montana

North Dakota

Denver Federal Center South Dakota

Building 710, Box 25267 Utah

Denver, Colorado 80225-0267 Wyoming

REGION IX (San Francisco) STATES

American

Samoa

Arizona

Federal Emergency Management Agency California

1111 Broadway, Suite 1200 Guam

Oakland, CA 94607-4052 Hawaii

Nevada

Commonwealth of the Mariana Islands

Federate States of Micronesia

Republic of the Marshall Islands

Republic of Palau

REGION X (Bothell) STATES

Alaska

Idaho

Oregon

Federal Regional Center Washington

130 228th Street, S.W.Bothell, Washington 98021-9796

ATTACHMENT 5

REPORT OF INVESTIGATION TEMPLATE

FEDERAL EMERGENCY MANAGEMENT AGENCY

REPORT OF EEO INVESTIGATION

IN THE COMPLAINT OF ¬¬

AGENCY CASE NUMBER

I. DESCRIPTION OF COMPLAINT

Title and Grade of Complainant’s Position

Title, Grade

Address

Phone number

E-mail address

Name and Location of Agency and Unit Involved in Complaint

Federal Emergency Management Agency

Location

Name, Address, Telephone Number, Facsimile Number of Complainant’s

Representative:

N/A

Nature of Actions, Decisions, or Conditions Giving Rise to Complaint

Whether based on race (), sex () and retaliation (), you allege that you have been subjected to … when:

• On February 10, 2009, ….

• Between July 2008 and January 2009, …

Date of Alleged Discrimination

February 10, 2009, July 2008 through January 2009

Kind of Discrimination Alleged

Race ()

Sex ()

Reprisal ()

Identity of Officials alleged to be Responsible for the Actions Giving Rise to the

Complaint

Name, title

II. DESCRIPTION OF INVESTIGATION

Description of Investigator

Name

Date Case Received by Investigator

Month xx, 20xx

Date Report of Investigation Submitted to EEO Office

Month xx, 20xx

Place of Investigation

City, State Abbreviation

Date(s) of Investigation

Month xx, 20xx to Month xx, 20xx

III. ISSUES IN THE COMPLAINT (Note: the issues, for purposes of clarity, have been listed in the same sequence as addressed in the Agency Acceptance Letter.)

• List……

IV. INTRODUCTION TO COMPLAINT

1. On Month xx, 20xx, _________, hereinafter referred to as Complainant, filed a discrimination complaint (Tab A) against the U.S. Department of Homeland

Security/Federal Emergency Management Agency.

2. The Agency accepted his complaint for investigation on Month xx, 20xx (Tab C).

Investigator was appointed on Month xx, 20xx (Tab G-1).

V. EXAMINATION OF PROCEDURES

Review of the FEMA Directors Policy: Harassment and Retaliation, this policy applies to all FEMA employees, managers, supervisors, non-employees, and contractors while engaging in business at or visiting any FEMA facility/jurisdiction. Harassment is any unwelcome verbal or physical conduct based on one of the Equal Employment

Opportunity (EEO) protected bases (race, color, religion, sex, national origin, age (over

40), disability, and reprisal), that is so objectively offensive as to alter the conditions of one’s employment where the conduct culminated in a tangible employment action or is sufficiently severe and or pervasive so as to create a hostile work environment.

VI. SURVEY OF THE GENERAL ENVIRONMENT

Complainant was a Human Service Specialist, GS-301-9. The incumbent serves as a

Level 3 Human Service Specialist and as such completes the initial disaster assistance registration procedure, processes a variety of claims or request for disaster assistance, and/or provides various types of information regarding available programs to persons applying for disasters assistance by telephone after a Presidentially-declared disaster.

A review of the FEMA, Region #, City location, State Abbreviation, Workforce Profile indicated that as of Month 20xx, there were # employees in her organizational unit. Of the #8 employees # or xx% were female and # or xx% were male. In reference to prior

EEO activity, # or xx.x% had prior EEO activity and # or xx.x% did not have prior EEO activity.

VII. DISCUSSION AND ANALYSIS

Establishing a case… (BURDEN OF PROOF, THEORY OF DISCRIMINATION)

A. Complainant’s Contentions (Tab F-1)

Narrate the whole of complainant’s contentions in prose format. Such as:

Complainant states she began working with FEMA in 2009. When she began working in the Office of Mailing in 2010, she believed she was being treated differently because of her race. She provides several examples of what she believes to be discrimination on the basis of race.

In January 2010, Complainant claims that she was singled out from the rest of her peers when she was not given a performance award and everyone else did. When Complainant went to management to ask why she wasn’t given one, her first-line supervisor, RMO #1, told her to leave him alone and get out of his office. This made Complainant feel like she was being threatened. Complainant alleges that shortly after this encounter, she began seeing her RMO # 1 treating everyone else better than he treated her.

In February 2010, RMO # 1 gave everyone else the opportunity to attend the

Mailperson’s Training Session 101, but Complainant had to stay in the office to provide coverage. Complainant believes this contributed to the hostile work environment and it was retaliation because she attempted to complain about the unfair treatment she encountered when she was not given a performance award.

B. Management/Witness Responses (Tabs F-3, F-4, F-5, F-6, and F-7)

Responsible Management Official # 1’s name (Asian Caucasian/male/prior EEO activity), Supervisory Program Specialist, FEMA, Office Name, City, State states …

RMO # 2’s name (Caucasian/male/prior EEO activity), Supervisory Human Service

Specialist, GS-12, FEMA, Washington, DC states …

RMO # 3’s name (African-American/male/prior EEO activity), Security Specialist, GS-

12, Office of Security, FEMA, Washington, DC states …

Witness # 1, (African American/female/no prior EEO activity), Human Services

Specialist III, GS-9, FEMA, Hyattsville, MD states …

Witness # 2, (African American/female/no prior EEO activity), Human Services

Specialist III, GS-9, FEMA, Hyattsville, MD states …

VIII. FACTUAL FINDINGS-ALLEGATIONS

Allegation

Whether based on race (), sex () and retaliation (), you allege that you have been subjected to ….. when:

• List….

Facts

1. Complainant was terminated on February 10, 2009. (Tabs F-1, F-3, F-4 and F-5)

2. Complainant states she was discriminated against because of her race, sex, and prior EEO activity. (Tab F-1)

3. Management denied Complainant’s race, sex, and prior EEO activity played a role in her issues.

CASE INDEX

TAB

A. Formal Complaint of Discrimination of Complainant, dated June 25, 2009.

B. EEO Counselor’s Report.

C. Letters of Acceptance of Discrimination complaint to Complainant from Office of

Equal Rights, dated August 3, 2009. (Source: EEO Complaint case file).

C-1 Letters Acknowledging receipt of formal complaint, dated July 13, 2009.

C-2 Notification to EEO Complainant Seeking Compensatory Damages.

C-3 180-day letter/election letter

C-4 Complainant’s response

D. Documentation of Attempts at Informal Resolution. (None included)

E. Documentation of Decisions Affecting Process of Complaint. (None included).

F. Evidence and Documents:

F-1 Complainant’s Affidavit, dated February 4, 2010.

F-2 Complainant’s Rebuttal Affidavits, dated January 18, 2010.

F-2A Complainant’s Rebuttal Affidavit to RMO #1, dated January 23, 2010

F-2B Complainant’s Rebuttal Affidavit to RMO #2, dated January 23, 2010

F-2C Complainant’s Rebuttal Affidavit to RMO #3, dated January 23, 2010

F-3 Affidavit of _____, Supervisory Program Specialist, dated January 15, 2010.

F-4 Affidavit of ______, Supervisory Human Service Specialist, GS-12, dated

January 21, 2010.

F-5 Affidavit of ______, Security Specialist, GS-12, dated January 13, 2010.

F-6 Affidavit of _______, Human Service Specialist, III, GS-9, dated January 29, 2010.

F-7 Affidavit of _______, Human Service Specialist, GS-9, dated January 14, 2010.

F-8 Complainant’s position description, Human Service Specialist, GS-9. Source:

F-9 Documentation on Complainant termination. Source:

F-10 Comparative data regarding terminations from FY 2007 to FY 2009. Source:

F-11 Documentation of previous Disciplinary actions against Complainant. Source:

F-12 Complainant’s performance appraisal, FY 2005 to FY 2007. Source:

F-13 Documentation of Complainant reporting harassment, dated April 7, 2006.

Source:

F-14 FEMA No. 2-05, re: Harassment and Retaliation, dated November 8, 2005.

F-15 FEMA, Disciplinary/Adverse Actions Procedures.

F-16 FEMA 1200.1, Violence in the Workplace.

F-17 Document Request and Agency’s response

G. Miscellaneous

G-1 Authorization to Investigate, dated October 8, 2009.

G-2 Workforce Profile, FEMA, NPSC, Hyattsville, MD, in effect Region IX, Office of the Regional Administrator, in effect January 2009. Source:

G-3 Investigative Plan

ATTACHMENT 6

RECORD MANAGEMENT OBIGATIONS

A. Applicability

B. Definitions

“Federal record” as defined in 44 U.S.C. § 3301, includes all recorded information, regardless of form or characteristics, made or received by a Federal agency…