HSCG23-16-F-GHB001.pdf

HSCG23-16-R-GHB001

Ombudsman Notice

NOTICE FOR FILING AGENCY PROTESTS

United States Coast Guard Ombudsman Program

It is the policy of the United States Coast Guard (USCG) to issue solicitations and make contract awards in a fair and timely manner. The Ombudsman Program for Agency Protests (OPAP) was established to investigate agency protest issues and resolve them without expensive and time-consuming litigation. OPAP is an independent reviewing authority that is empowered to grant a prevailing protester essentially the same relief as the Government Accountability Office (GAO).

Interested parties are encouraged to seek resolution of their concerns within the USCG as an Alternative Dispute Resolution (ADR) forum rather than filing a protest with the GAO or some external forum. Interested parties may seek resolution of their concerns informally or opt to file a formal agency protest.

Informal Forum with the Ombudsman. Interested parties who believe a specific USCG procurement is unfair or otherwise defective should first direct their concerns to the applicable Contracting Officer. If the Contracting Officer is unable to satisfy their concerns, interested parties are encouraged to contact the U.S. Coast Guard Ombudsman for Agency Protests. Under this informal process the agency is not required to suspend contract award performance. Use of an informal forum does not suspend any time requirement for filing a protest with the agency or other forum. In order to ensure a timely response, interested parties should provide the following information to the Ombudsman: solicitation/contract number, contracting office, Contracting Officer, and solicitation closing date (if applicable).

Formal Agency Protest with the Ombudsman. Prior to submitting a formal agency protest, protesters must first use their best efforts to resolve their concerns with the Contracting Officer through open and frank discussions. If the protester’s concerns are unresolved, an Independent Review is available by the Ombudsman. The protester may file a formal agency protest to either the Contracting Officer or as an alternative to that, the Ombudsman under the OPAP program.

Contract award or performance will be suspended during the protest period unless contract award or performance is justified, in writing, for reasons of unusual and compelling urgency or is determined in writing to be in the best interest of the Government. The agency’s goal is to resolve protests in less than 35 calendar days from the date of filing. Protests shall include the information set forth in FAR 33.103(d) (2). If the protester fails to submit the required information, resolution of the protest may be delayed or the protest may be dismissed. To be timely protests must be filed within the period specified in FAR 33.103(e). Formal protests filed under the OPAP program shall be submitted electronically to OPAP@uscg.mil and the Contracting Officer or by hand delivery to the Contracting Officer.

The Ombudsman Hotline telephone number is 202.372.3695.

2703 Martin Luther King Jr. Ave., SE Mail Stop 7828

Washington, D.C. 20593-7828 Staff Symbol: CG-9122 Phone: (202) 475-3239 Email: Khia.E.Baylor-Davis@uscg.mil

January 8, 2016

To: Prospective Offerors

Subject: Request for Proposal (RFP) No. HSCG23-16-R-GHB001 for Contractor Investigative and Counseling Services

The United States Coast Guard (USCG) intends to award a Requirements contract with a not-to-exceed ceiling of $2,250.000.00. This acquisition is restricted to small businesses.

The contract shall provide Contractor Investigative and Counseling Services for the U.S. Coast Guard (USCG), Civil Rights Directorate (CRD), Equal Employment Opportunity (EEO) Office pursuant to Attachment I, Statement of Work (SOW). The period of performance will be sixty (60) months, which is inclusive of 5 one-year Ordering Periods.

I. SUBMISSION INSTRUCTIONS

Proposals submitted shall be either font size 11 or 12 Times New Roman for text. For tables or graphics, text may be as small as 10 pt. Margins shall not be smaller than .75 inches on all sides.

Offerors shall provide cover sheets for each volume. Cover sheets shall at a minimum include the Offeror’s Company Name, Primary Point of Contact name, email address, and phone number, Mailing Address and business size standard. The Cover sheet for Technical/Management Approach shall consist of two (2) pages – a standard cover sheet, and a second page that provides a listing of any Subcontractors or Partners that are to be utilized, to include their mailing address and size standard.

Proposals shall be submitted via email to the Contracting Officer, Wendy Paulo, via email at wendy.l.paulo@uscg.mil and the Contract Specialist, Khia Baylor-Davis, via email at khia.e.baylor-davis@uscg.mil. Proposals submitted by other means other than those previously described in this section may not be considered. Please submit your proposal on or before 1400 ET on February 8, 2016.

Proposals shall be sectioned into three volumes:

Volume I – Technical and Management Approach– 20 pages Volume II – Past Performance – 5 pages Volume III – Price– No Page limit

Pages that are over the stated maximums will not be evaluated.

Title pages, Table of Contents, Cover sheets, Indexes, Resumes, Sub-contractor Listings, Past Performance Questionnaires and Contractor Performance Assessment Reporting System (CPARS) are not included in the inclusive page count, but resumes are limited to 2 pages for each person. Proposals shall be sectioned into three volumes with the following page maximums for each section:

Volume I – Technical and Management Approach:

a. The Offeror shall explain their relevant experience, detailing the scope and complexity in each effort, with providing counseling, performing investigations of informal and formal EEO complaints, and preparing Final Agency Decisions (FADs). This submission shall also include a statement on how the work was completed and how that experience can be applied to the following sections of this SOW.

1. 5.1 and all subsections

2. 5.2 and all subsections

3. 5.3 and all subsections

4. 5.4 and all subsections

b. The Offeror shall provide one representative resume for each of the Key Personnel positions as described in the Attachment I – Statement of Work. Minimum Personnel Qualifications are listed in Attachment IV – Personnel Qualifications.

c. The Offeror shall submit a written response containing their approach to Attachment VIa – Sample Case. The response shall include the process for completing an investigation, the process for completing a status report of current investigations, an Investigative Plan (IP), a Letter of Authority (LOA) and a Report of Investigation (ROI). The Offeror shall provide all required listed deliverables for the Sample Case as listed in Attachment VIb – List of Deliverables for the Sample Case File.

d. The Offeror shall explain in detail how they will effectively manage personnel working on this requirement and any personnel changes. Offerors shall also explain how the company will optimize recruitment, training, and retention of qualified personnel to ensure consistent staffing over the life of this contract. This explanation shall include any teaming arrangements (including identification of all partners and/or subcontractors); identifying what requirements are being performed by the prime contractor, a partner or subcontractor(s); and how the prime contractor will effectively manage/coordinate completion of all requirements.

Volume II – Past Performance:

Volume II shall contain a maximum of five (5) past performance references. Past Performance references shall be for projects of similar nature, scope and complexity and be ongoing or completed within the last three (3) years. Each and every instance of past performance cited in the Technical/Management Approach submission described above must be submitted as one of the maximum of five (5) past performance evaluations required under this submission instruction.

References for subcontractors will be accepted. At least one of the references shall be for the prime contractor. For each reference, the contractor shall provide the following information:

a. Name and address of the company or agency

b. Current Points of Contact (POC)

c. Current telephone numbers and email addresses of POC

d. Contract type of contract/order and contract/order number

e. Identify if you were Prime or Subcontractor

f. Contract Value inclusive of options (Explain any Cost Growth)

g. Total Period of Performance (Explain any delays)

h. Type of work performed

i. Problems encountered and their resolutions

j. Any subcontractors or partnerships

For references where a CPARS report has been finalized within the last three (3) years, the Offeror shall include the CPARS report in the proposal response. For references where a CPARS report has not been finalized, the Offeror shall use the Past Performance Questionnaire (PPQ) provided in Attachment V. Offerors shall forward the PPQ to each of the references provided and request a complete response be submitted by the solicitation closing date to the e-mail addresses specified in the PPQ.

Volume III – Price:

Volume III shall document the price information for each Contract Line Item Number (CLIN). The Offeror shall provide the following in its Volume III in order to be considered complete:

a. Attachment II – Proposal Pricing Sheet. The price proposal shall document all prices for the contract. The Offeror shall complete and return the attached Microsoft Excel Proposal Pricing Sheet unlocked with formulas visible, if used.

Rounding shall be to the nearest cent. Failure to complete the Proposal Pricing Sheet may result in a determination of non-responsiveness. All pricing shall be quoted at the Contractors’ site.

It is DHS policy that pricing for competitive negotiations should be based on adequate price competition. However, in the event only one responsible Offeror is obtained as a result of this solicitation, that Offeror may be required to submit either certified Cost or Pricing Data (FAR 15.403-

4) or Data Other than Certified Cost or Pricing Data (FAR 15.403-3) to support price negotiations.

II. EVALUATION CRITERIA

A Requirements contract shall be awarded in response to the proposal to the Offeror determined to represent the best value to the USCG using the tradeoff source selection process. Best value will be determined based on the evaluation of proposals using the following evaluation factors. Factors are listed in descending order of importance:

1. Technical and Management Approach:

a. The Government will evaluate each Offeror’s demonstrated depth and quality of experience providing counseling, performing investigations of informal and formal EEO complaints, and preparing Final Agency Decisions (FADs) during last three years. From this demonstrated experience, the Government will evaluate each Offeror’s ability to meet or exceed the performance expectations set out in the sections of the SOW listed below. Demonstrated experience performing the requirements listed below will be evaluated most highly.

1. 5.1 and all subsections

2. 5.2 and all subsections

3. 5.3 and all subsections

4. 5.4 and all subsections

b. Offerors proposing personnel who exceed the requirements in Attachment IV –

Personnel Qualifications in ways that bring beneficial skills, knowledge and abilities to this requirement, will be rated more highly.

c. The Government will evaluate the Offerors’ written response and Oral Presentation to Attachment VIa – Sample Case to ensure consistency with the Offeror’s Technical Approach and the technical requirements in the SOW.

d. Offerors will be evaluated on how their demonstrated ability to effectively manage personnel and personnel changes, including the Offeror’s approach to managing partners and/or subcontractors, indicates that they will meet or exceed the performance expectations of the sections of the SOW stated above. Proposals that clearly demonstrate management policies and practices most likely to result in overall performance exceeding the requirements in ways that provide additional benefits to the Government will be rated more highly.

2. Past Performance:

a. The Government will evaluate the past performance information received to determine if the contractor has performed on contracts of similar nature, scope, and complexity. Only performance on contractual efforts of the same or very similar nature, scope and complexity will be considered relevant and will be evaluated. The Government will determine the extent to which the contractor’s past performance demonstrates its capability and capacity to successfully perform the requirements of the solicitation. Past performance evaluated more favorably by past customers will be given more favorable consideration for this evaluation.

b. The Government reserves the right to review sources other than those identified in the proposal, including, but not limited to CPARS, PPIRS, and other similar databases. A contractor without a record of relevant past performance or for which relevant past performance is not available will be rated as neutral.

3. Price:

a. The Government will not rate or score price, but will analyze each Offeror’s price for reasonableness in accordance with FAR Subparts 12.209 and 13.106-3. The Government may eliminate a proposal from consideration for award as nonresponsive if an Offeror fails to complete the pricing spreadsheet, as instructed.

b. The Government will use the Total Contract Price as calculated from Attachment II, Proposal Price Sheet, when conducting its best value tradeoff analysis.

Proposals must address each of the evaluation factors listed above in accordance with the submission instructions. This RFP shall not be considered direction to proceed with the subject effort, nor a promise of future direction to proceed. Offerors are solely responsible for any perceived or incurred submission costs.

ORAL PRESENTATION

Within fourteen (14) days after the solicitation closing date, the most highly rated Offerors will be provided with a meeting date and time to present an Oral Presentation, which will be held at the USCG Headquarters in Washington, D.C. The Oral Presentation shall only address the Sample Case written response submission. The Oral Presentation time limit shall not exceed one (1) hour in duration. An electronic copy of the Oral Presentation PowerPoint slides shall be provided to the Government at least one (1) business day before the Offeror’s scheduled presentation. Hard Copies of the slides shall be provided to the Government at the beginning of the Oral Presentation.

Proposals that are not rated highly may be removed from further consideration and may not be invited to participate in the Oral Presentation.

The Oral Presentation shall only convey information provided in the Sample Case and submitted with the Offeror’s proposal. The Government does not intend to allow questions and answers during the Oral Presentation.

III. AWARD DECISION

Selection and offer of the resultant Requirements contract will be based on a tradeoff source selection process between the price and non-price evaluation factors. Proposals will be evaluated based on the following evaluation factors: (1) Technical and Management Approach; (2) Past Performance; and,

(3) Price. Technical and Management Approach and Past Performance, when combined, are significantly more important than Price. As evaluations of proposals using non-price factors become closer in comparison, Price will become more important in determining best value.

All terms and conditions of this Requirements contract shall apply to any resulting task order. In responding to this RFP, it is the Offeror’s responsibility to provide current, relevant, complete and accurate information in the proposal.

QUESTIONS

Any questions or concerns regarding any aspect of this RFP shall be forwarded to the Contracting Officer, Wendy Paulo, via email at wendy.l.paulo@uscg.mil and the Contract Specialist, Khia Baylor-Davis, via email at khia.e.baylor-davis@uscg.mil by January 22, 2016 at 1400 ET, so that they can be addressed prior to the submission of your proposal. Offerors are highly encouraged to ask questions instead of making assumptions.

ATTACHMENTS

Attachment I – Statement of Work (SOW) Attachment II – Proposal Pricing Sheet Attachment III – Additional Contract Clauses, Provisions and Invoicing Instructions Attachment IV – Personnel Qualifications Attachment V – Past Performance Evaluation Questionnaire Attachment VIa – Sample Case File Attachment VIb – List of Deliverables for the Sample Case File

Sincerely, WENDY L. PAULO

Contracting Officer

Attachment I –Statement of Work (SOW)

REQUIREMENTS CONTRACT FOR CONTRACTOR TECHNICAL SUPPORT

SERVICES FOR THE U.S. COAST GUARD (USCG), EQUAL EMPLOYMENT

OPPORTUNITY (EEO) OFFICE

STATEMENT OF WORK (SOW)

7 JANUARY 2016

1.0 GENERAL.

1.1 Scope. The purpose of this Statement of Work (SOW) is to obtain Contractor Investigative Counseling and Final Agency Decision (FAD) Services for the U.S. Coast Guard (USCG), Civil Rights Directorate (CRD), Equal Employment Opportunity (EEO) Office for counseling informal EEO complaints and performing investigations of formal EEO complaints filed against the Secretary of Homeland Security by USCG members and civilians, applicants for employment, and former USCG employees.

1.2 Background. The Department of Homeland Security (DHS) Office of Civil Rights and Civil Liberties (DHS OCR/CL) has directed all component agencies to take responsibility for processing all formal complaints of discrimination filed by component employees or members on or after October 1, 2003. This includes accepting issues for investigation, recommending dismissal of issues before investigation, investigating accepted complaints, and issuing Reports of Investigation (ROIs).

The USCG requires Contractor support to meet the requirements set forth by DHS.

1.3 CONTRACTOR PERSONNEL.

1.3.1 Project Manager. The Contractor shall provide a Project Manager who shall be responsible for all Contractor work performed under this SOW. The Project Manager is designated as Key by the USCG.

The Project Manager shall be a single point of contact for the Contracting Officer and the Contracting Officer Representative (COR). The name of the Project Manger, and the name(s) of any alternate(s) who shall act for the Contractor in the absence of the Project Manger, shall be provided to the USCG as part of the Contractor’s proposal. The Project Manager must be available to communicate with the COR during 0900 and 1630 hours local time. The minimum qualifications for the Project Manager are in Attachment IV – Personnel Qualifications.

1.3.2 Qualified Personnel. The Contractor shall provide qualified personnel to perform all requirements in this SOW and all task orders issued under this contract. The minimum qualifications for all personnel under this SOW are in Attachment IV – Personnel Qualifications.

1.3.3 Employee Identification. Contractor employees working on-site at Government facilities shall wear a Government issued visitor identification badge. All contractor employees shall identify themselves as Contractors when their status is not readily apparent and display all identification and visitor badges in plain view above the waist at all times. Contractor employees visiting Government facilities shall wear an identification badge that, at minimum, displays the Contractor name, the employee’s photo, name, clearance-level and badge expiration date. Visiting Contractor employees shall comply with all USCG escort rules and requirements.

1.3.4 Employee Conduct. Contractor employees shall remain objective throughout the EEO process and express no opinion to parties or witnesses as to whether prohibited discrimination has occurred.

1.3.5 Removing Employees for Misconduct or Security Reasons. The USCG may, at its sole discretion, direct the Contractor to remove any Contractor employee from Coast Guard and Department of Homeland Security facilities or this contract for misconduct or security reasons. Such removal does not relieve the Contractor of the responsibility to provide sufficient qualified personnel for adequate and timely service.

1.3.6 Conflict of Interest. Conflicts of interest shall disqualify investigators from performing services under this SOW. The Contractor shall not employ any person who is an employee of the United States Government if that employment would, or appear to cause a conflict of interest. If either the Contractor or the USCG determines that the Contractor and/or an employee of the Contractor faces a potential, perceived, or actual conflict of interest, the individual that determined the existence of the conflict shall notify the other party (i.e. the Contractor/USCG) and the Contractor and/or contractor employee shall cease all work on the assigned task. At the USCG’s option, the Contractor shall provide an acceptable replacement.

1.4 KEY PERSONNEL.

(a) The personnel specified below are considered essential to the work being performed under this contract and may, with the consent of the contracting parties, be changed from time to time during the course of the contract by adding or deleting personnel, as appropriate.

(b) Before removing or replacing any of the specified individuals, the Contractor shall notify the Contracting Officer, in writing, no less than fourteen (14) days before the change becomes effective. The Contractor shall submit sufficient information to support the proposed action and to enable the Contracting Officer to evaluate the potential impact of the change on this contract. The Contractor shall not remove or replace personnel until the Contracting Officer approves the change. The following are designated as Key Personnel under this contract:

Project Manager Counselor Investigator FAD Writer

1.5 NON-PERSONAL SERVICES.

It is a matter of policy within the United States Government to rely on the private sector for needed commercial services. However, using Contractor support must be done in a way that does not interfere with the Government’s ability to effectively create government policy, monitor contractor performance, or maintain a competent and highly-skilled workforce. Information provided herein sets forth guidance stating the Government’s limitation on contractors performing personal services and its’ restriction of contractors performing inherently governmental activities for government requirements.

In accordance with federal procurement policies and regulations, no personal services or inherently governmental activities shall be performed under this contract. No Contractor employee shall be directly supervised by a Government employee. All individual contractor employee assignments, and daily work direction, shall be given by the applicable employee supervisor. If the Contractor believes any Government action or communication has been given that would create a personal services relationship and/or result in a contractor performing inherently governmental activities between the Government and any Contractor employee, the Contractor shall promptly notify the Contracting Officer of this communication, direction or action.

An activity may be provided by Contractor support where the Contractor does not have the authority to decide on the course of actions, but is tasked to develop options or implement a course of actions with agency oversight. Furthermore, any commercial activity related to the procurement of these requirements shall not be so intimately related to the public interest as to mandate performance by Government personnel.

The Contractor shall ensure that all of its employees supporting these subsequent requirements are informed of the substance of this stipulation. Nothing in this requirement shall limit the Government’s rights in any way under any other provision, including those related to the Government’s right to inspect and accept the services to be performed in accordance with this contract. The substance of this requirement shall be included in all subcontracts at any tier and/or teaming arrangements.

1.6 SECURITY.

Contractor employees shall have access to sensitive and private information while performing work under this SOW. All Contractor employees shall be responsible for safeguarding this information against unauthorized disclosure in accordance with all applicable statutes and Government regulations.

Additional security requirements will be provided in each task order. The Contractor shall cooperate in any background check the Government determines is necessary to protect the integrity of the complaint process or any material or information that is likely to be the subject of any inquiry made in connection with a counseling or investigation performed under each task order.

1.6.1 Privacy Act and Personally Identifiable Information. The Contractor shall preserve the privacy of nonparties whose personal information may be contained in records and documents obtained in the course of the counseling and investigation, before such documents or records are inserted in the counseling file and investigative file, including but not limited to masking names and social security numbers in accordance with the guidelines listed Report of Investigation (ROI) format and applicable authorities section of this SOW. All counselors’ reports and ROI shall contain a Privacy Act Notice on the cover page of the document.

1.7 PERIOD OF PERFORMANCE.

The period of performance for this contract is sixty (60) months, inclusive of five (5) one-year ordering periods.

1.8 PLACE OF PERFORMANCE.

The primary place of performance is the Contractor’s facility. In the instance of EEO Counseling, the counseling shall be conducted telephonically, unless otherwise specified.

1.9 TRAVEL.

Counseling or investigations may be conducted at the government location; however, there is no travel anticipated under this contract.

1.10 HOURS OF OPERATION.

Contractor employees providing services under each task order shall perform duties in a manner to meet established due dates for timely completion of assignments.

1.11 POST AWARD CONFERENCE.

The Contractor shall meet with the Contracting Officer and the COR to discuss the terms and conditions under this SOW and task order objectives not later than five (5) business days after the date of award.

This Post Award Conference shall be held at a mutually agreed upon location or via teleconference.

1.12 STATUS REPORTS.

The Project Manager shall provide a weekly status report on Wednesday to the Contracting Officer and the COR via electronic mail. If that Wednesday falls on a holiday, the report shall be due on the next business day. At minimum, this report shall include:

Each open counseling by case number and the initials of the counselee, what parts of the counseling the counselor completed and the next due date in the process. The report shall also identify if there is an extension and the number of days of the extension.

Each open complaint by case number and the initials of the complainant, what parts of the investigation the investigator completed and the next due date in the process. The report shall also identify if the investigator needs an investigator extension and for how many days

Identify each open complaint by case number and the initials of the complainant, the current status of the FAD and the next due date in the process.

1.13 PROGRESS MEETINGS.

The Project Manager shall be responsible for keeping the COR informed about Contractor progress and the status of investigations throughout the performance period of each task order and ensure Contractor activities are aligned with USCG objectives. The Project Manager shall be required to meet with the COR periodically to discuss task order progress, exchange information and resolve emergent problems and issues. The COR and Project Manager shall also meet quarterly to discuss the status of the performance of the contract. Meetings are not required to be in person, but may take place via teleconference.

1.14 GENERAL REPORT REQUIREMENTS.

The Contractor shall provide all written reports in electronic format with read/write capability using applications that are compatible with Coast Guard Standard Workstation (Windows 7, Microsoft Office Applications and Adobe PDF). The Contractor shall provide all written work products in electronic format with read/write capability using applications that are compatible with USCG Standard Workstations (Microsoft Office Applications). The work products shall follow the format/template provided to the contractor. Work products shall be submitted via e-mail, compressed (i.e. Winzip) and encrypted. The encrypted file shall be sent to the COR.

1.14.1 Due to USCG Internet restrictions, electronic mail attachments over 5 MB in size may not be accepted. Upon request, the Contractor shall provide any electronic deliverable exceeding 5 MB in size on CD-ROM or applicable network shared drive.

1.15 ELECTRONIC TRANSFER OF MATERIALS.

All email correspondence between the Contractor and the USCG must be encrypted and password protected. The USCG will transmit the password to the Contractor’s Case Manager on an annual basis at the beginning of each fiscal year. All email referencing EEO complaints must only contain the case number and initials of the complainant in the subject line of the email. All email must contain a privacy act notice in the email.

1.16 TIME PERIODS

All time periods set out in this SOW are stated in calendar days unless otherwise indicated. The first day counted is the day after the event from which the time period begins to run and the last day of the period shall be included unless it falls on a Saturday or Sunday or federal holiday, in which case the period shall be extended to include the next business day.

2.0 GOVERNMENT TERMS & DEFINITIONS.

Additional Issue – An additional claim that is filed with the original formal complaint ADR – Alternative Dispute Resolution Amendment-Pre Draft ROI – An amendment that is filed after the filing of a formal EEO complaint but before the Draft ROI is provided to the USCG Amendment-Post Draft ROI – An amendment that is filed after the filing of a formal EEO complaint and after the Draft ROI is provided to the USCG COR – Contracting Officer Representative DHS – Department of Homeland Security Document Certification Form – form that identifies the document custodian and/or the individual submitting the document as an exhibit in the report of investigation EEO – Equal Employment Opportunity EEOC – Equal Employment Opportunity Commission FAD – Final Agency Decision GFP – Government Furnished Property IP – Investigative Plan KO – Contracting Officer Letter of Authorization – The letter from the COR that gives the contractor the authority to conduct the EEO investigation.

SOW – Statement of Work ROI – Report of Investigation USCG – United States Coast Guard

3.0 GOVERNMENT FURNISHED PROPERTY (GFP).

When investigations take place at the Government’s site, the Government is responsible for furnishing a room to conduct any interviews.

4.0 CONTRACTOR FURNISHED PROPERTY.

The Contractor shall furnish all facilities, materials, equipment, personnel, and services necessary to fulfill the requirements of each task order, except for the Government Furnished Property specified in Section 3.0.

5.0 REQUIREMENTS.

5.1 Counseling. The Contractor shall provide certified counselors to provide counseling services in accordance with the Equal Employment Opportunity Commission (EEOC) regulations set forth at 29 C.F.R. Part 1614, EEO Management Directive (MD)-110 for individual, class and amended claims. The counseling service shall in include at a minimum the following:

5.1.1 Counseling Activity Action Plan. The Contractor shall, upon the COR’s request, provide a plan of action to complete the counseling. The counseling plan shall be in Microsoft Word format, including a timeline, describe proposed steps and identify individuals to contact as part of the counseling.

5.1.2 Counselor’s Report. The Contractor shall complete a Counselor’s Report in accordance with the format outlined in MD 110, Chapter 2. The report shall be submitted to the COR within five (5) business days of issuance of Notice of Right to File.

5.2. Harassment/Hostile Work Environment

5.2.1 The Contractor shall provide certified investigators to conduct all aspects of the investigative process for claims of Harassment/Hostile Work Environment, to include providing investigative support in the event of any additional issues and/or amendments to the initial claim.

5.2.2 Investigations – Description of Requirements. This requirement includes, but is not limited to, preparation of Investigative Plan (IP), interviews of parties and witnesses, requests for evidence and obtaining the necessary evidence (to include compensatory damages when claimed and relevant statistical evidence), compilation of investigative files and preparation of the ROI. All harassment/hostile work environment complaints shall be identified as a one claim cost with several incidents and not treated as additional issues. The USCG Contracting Officer/ COR will determine the type of complaint (e.g.

individual complaint, consolidated complaint) and number of issues contained in each complaint. Any disagreement between the USCG and the Contractor regarding the type of complaint and/or number of issues will be resolved through discussion between the USCG and the Contractor. If after discussion an agreement between the parties is not reached, the USCG’s EEO Director or designee will make the final determination. All investigations shall be conducted in accordance with EEOC Regulations at 29 C.F.R.

§1614 et. seq. and MD-110.

5.2.3 The Contractor shall prepare a thorough IP in accordance with technical guidance to be provided by the USCG and Department of Homeland Security. The IP shall support a comprehensive investigation and an ROI that complies with Coast Guard, DHS and EEOC policy and guidelines. The Contractor shall be responsible for obtaining information relevant to the issues accepted for investigation and any defenses. The IP shall identify, with maximum possible specificity the likely sources of documentary and/or testimonial evidence that would tend to establish or rebut each prima facie element of each issue accepted by the Coast Guard for investigation or to lead to the discovery of sources of such evidence. The IP shall include all techniques to be used to obtain information, including but not limited to; written data requests, written interrogatories, witness interviews, sworn statements and any on-site visits the Contractor recommends to observe non-documentary evidence.

5.2.4 The Contractor shall submit the IP to the COR within ten (10) business day after assignment of the complaint. The Contractor shall not proceed with any investigative activities on the complaint until the IP has been approved and signed by the COR. The Contractor shall adhere to the IP in conducting the investigation; however, the Contractor shall also modify the IP whenever it becomes necessary as a result of new information obtained during the course of investigation (e.g. new witnesses to interview, additional site visits), and notify the COR of the nature of these changes as they occur. The Contractor shall also obtain COR approval prior to implementing any changes to the IP. If the IP is disapproved, the Contractor must submit a revised plan within three (3) days of the disapproval.

5.2.5 Each IP shall contain, at a minimum, the case number, accepted claim, relevant legal framework, questions the investigator shall ask of all identified affiants, the document request, name and contact information for the USCG contact person, and the name and contact information for the complainant. In the event the Contractor requires information or assistance to explain the Coast Guard’s military protocols the Contractor shall notify the assigned POC or the COR.

5.2.6 Method of Investigations. The USCG will determine the method of investigation on a case by case basis. Investigations can either be conducted telephonically or face to face.

5.2.7 Amendments. The Contractor shall notify the COR immediately whenever the complainant indicates a desire to amend a complaint, and shall amend the IP as appropriate, notify the COR of the nature of such IP amendments, and proceed with the investigation according to the amended IP only upon approval from the COR.

5.2.8 Regional Point of Contact. The Contractor shall cc: the COR on any request to regional Civil Rights Service Providers.

5.2.9 Report of Investigation (ROI). Upon completion of the investigation, a draft ROI shall be submitted in hard copy and CD-R (non-rewritable format). The first page of the electronic copy and hard copy must contain a copy of the Privacy Act Notice. Per DHS Departmental Equal Employment Opportunity Complaint Procedures, all CDs must be compliant with Section 508 of the Rehabilitation Act. Also, the CDs should be formatted according to the EEOC File Exchange requirements (i.e.

electronically bookmarked in a manner consistent with MD-110, PDF searchable and sequentially bates numbered). The Contractor shall also submit a separate list of the Alleged Discriminating Individuals & Witnesses in an Excel format with the draft ROI. The draft ROI is due forty-five (45) calendar days after approval of the IP. The Contractor shall issue the approved final ROI [one (1) unsanitized original CD, two (2) unsanitized copy CDs and one (1) sanitized copy for a total of four CDs] and [one (1) original unsanitized hard copy, and four (4) sanitized hard copies for a total of five hard copies] within fifteen business days after receipt from the assigned USCG Equal Employment Specialist. In some cases, the USCG may require digital copies in lieu of paper copies. Exceptions and extensions due to emergent problems shall require coordination and approval by the COR. Extension for the delivery of the draft ROI must be requested two weeks prior to the due date.

5.2.10 ROI Format. The ROI shall include the applicable files referenced in the sample format outlined in Chapter 6 of MD-110 and meet the general requirements and digital bookmark requirements as outlined in MD-110. The file organization of the ROI shall be provided at the Post Award Conference.

The draft ROI and final ROI shall be submitted in a clean bound volume that is clearly labeled as the U.S.

Department of Homeland Security, U.S. Coast Guard Report of Investigation for the applicable complainant and complaint number. Each cover of the ROI volume shall identify whether it is a sanitized copy or original, if there are multiple volumes in the set, the number of volumes (e.g. Vol. 1 of 3), and include a Privacy Act Notice.

5.2.11 Corrections to the ROI. When the USCG determines that additional investigative action is required after the Contractor submits the investigative file, the Contractor shall respond to the COR’s request for additional action, within five (5) business days after notification. In the event the Contractor is unable to complete the additional investigative action within five (5) business days, the Contractor shall provide a written explanation and estimated timeline for completing the action.

5.2.12 Affidavits. The USCG will not accept unsigned affidavits unless there is a statement and documentation to reflect attempts to acquire the signed affidavit. Each affidavit shall identify the questions presented to the affiant followed by the affiant’s response. Each affidavit shall include the questions posed to the affiant.

5.2.13 Sanitization. The original ROI shall include markings/warnings to indicate unredacted personally identifiable information (PII). The copies of the final ROI shall sanitize the home address, home telephone number, tax identification numbers, medical record numbers, date of birth, and social security number for all witnesses and other individuals (e.g. applicants for employment). In age discrimination complaints, only the year of birth and individual’s age shall be provided (e.g. 1970, 42). If there is a question as to whether information represents PII that should be sanitized, the Contractor shall contact the COR or guidance.

5.2.14 Lack of Response. If a complainant, witness or responding management official fails to respond to the initial request for an affidavit within the stated time frame, the Contractor shall issue a 15 day demand letter including the notice described in EEOC Regulation 29 C.F.R. §§ 1614.107(a)(7) and 108(c)(3) for the complainant and the notice described in EEOC Regulation 29 C.F.R. § 108(c)(3) for all other witness or alleged responsible management officials.

5.2.15 Extensions to the 180 day Investigative Time Frame. All extensions to the investigative time frame, other than unilateral extensions described in EEOC Regulation 29 C.F.R. § 1614.108(e), must be a written agreement between the complainant and the USCG. The USCG may agree to one extension for a response to an affidavit request in emergent situations and will be considered on a case by case basis.

5.2.16 Documents. All documents shall be legible and all exhibits shall include a certification document stating that the document(s) in the exhibit are a true and correct copy and provided by the custodian of the document. The document certification form shall also list the corresponding item number from the investigator’s document request, the total number of pages in the exhibit, and bear the name of the document custodian, the custodian’s title, office and the date the custodian signed the certification.

5.3 Disparate Treatment

5.3.1 The Contractor shall provide certified investigators to conduct all aspects of the investigative process for claims of Disparate Treatment, to include providing investigative support in the event of any additional issues and/or amendments to the initial claim.

5.3.2 Investigations - Description of Requirement. This requirement includes, but is not limited to, preparation of Investigative Plans (IP), interviews of parties and witnesses, requests for evidence and obtaining the necessary evidence (to include compensatory damages when claimed and relevant statistical evidence), compilation of investigative files and preparation of the ROI. Any disagreement between the USCG and the Contractor regarding the type of complaint and or number of issues will be resolved through discussion between the USCG and the Contractor. If after discussion an agreement between the parties is not reached, the USCG’s EEO Director or designee will make the final determination. All investigations shall be conducted in accordance with EEOC Regulations at 29 C.F.R. §1614 et. seq. and

MD-110.

5.3.3 The Contractor shall prepare a thorough IP in accordance with technical guidance to be provided by the Coast Guard and Department of Homeland Security. The IP shall support a comprehensive investigation and an ROI that complies with Coast Guard, DHS and EEOC policy and guidelines. The Contractor shall be responsible for obtaining information relevant to the issues accepted for investigation and any defenses. The IP shall identify, with maximum possible specificity the likely sources of documentary and/or testimonial evidence that would tend to establish or rebut each prima facie element of each issue accepted by the Coast Guard for investigation or to lead to the discovery of sources of such evidence. The IP shall include all techniques to be used to obtain information, including but not limited to; written data requests, written interrogatories, witness interviews, sworn statements and any on-site visits the Contractor recommends to observe non-documentary evidence.

5.3.4 The Contractor shall submit the IP to the COR within ten (10) business day after assignment of the complaint. The Contractor shall not proceed with any investigative activities on the complaint until the Investigative Plan has been approved and signed by the COR. The Contractor shall adhere to the IP in conducting the investigation; however, the Contractor shall also modify the IP whenever it becomes necessary as a result of new information obtained during the course of investigation (e.g. new witnesses to interview, additional site visits), and notify the COR of the nature of these changes as they occur. The Contractor shall also obtain COR approval prior to implementing any changes to the IP. If the IP is disapproved, the Contractor must submit a revised plan within three (3) days of the disapproval.

5.3.5 Each IP shall contain at a minimum the case number, accepted claim, relevant legal framework, questions the investigator shall ask of all identified affiants, the document request, name and contact information for the USCG contact person, and the name and contact information for the complainant. In the event the Contractor requires information or assistance to explain the Coast Guard’s military protocols or to facilitate navigation of the Coast Guard’s military member, the Contractor shall notify the assigned POC or the COR.

5.3.6 Method of Investigations. The USCG will determine the method of investigation on a case by case basis. Investigations can either be conducted telephonically or face to face.

5.3.7 Amendments. The Contractor shall notify the COR immediately whenever the complainant indicates a desire to amend a complaint, and shall amend the IP as appropriate, notify the COR of the nature of such IP amendments, and proceed with the investigation according to the amended IP only upon approval from the COR.

5.3.8 Regional Point of Contact. The Contractor shall cc: the COR on any request to regional Civil Rights Service Providers.

5.3.9 Report of Investigation (ROI). Upon completion of the investigation, a draft ROI shall be submitted in hard copy and CD-R (non-rewritable format). The first page of the electronic copy and hard copy must contain a copy of the Privacy Act Notice. Per DHS Departmental Equal Employment Opportunity Complaint Procedures, all CDs must be compliant with Section 508 of the Rehabilitation Act. Also, the CDs should be formatted according to the EEOC File Exchange requirements (i.e.

electronically bookmarked in a manner consistent with MD-110, PDF searchable and sequentially bates numbered). The Contractor shall also submit a separate list of the Alleged Discriminating Individuals & Witnesses in an Excel format with the draft ROI. The draft ROI is due forty-five (45) calendar days after approval of the IP. The Contractor shall issue the approved final ROI [one (1) unsanitized original CD, two (2) unsanitized copy CDs and one (1) sanitized copy for a total of four CDs] and [one (1) original unsanitized hard copy, and four (4) sanitized hard copies for a total of five hard copies] fifteen business days from assigned USCG Equal Employment Specialist’s receipt of the ROI. In some cases, the USCG may require digital copies in lieu of paper copies. Exceptions and extensions due to emergent problems shall require coordination and approval by the COR. Extension for the delivery of the draft ROI must be requested two weeks prior to the due date.

5.3.10 ROI Format. The ROI shall include the applicable files referenced in the sample format outlined in Chapter 6 of MD-110 and meet the general requirements and digital bookmark requirements as outlined in MD-110. The file organization of the ROI shall be provided at the Post Award Conference.

The draft ROI and final ROIs shall be submitted in a clean bound volume that is clearly labeled with the U.S. Department of Homeland Security, U.S. Coast Guard Report of Investigation for the applicable complainant and complaint number. Each cover of the ROI volume shall identify whether it is a sanitized copy or original, if there are multiple volumes in the set, the number of volumes (e.g. Vol. 1 of 3), and include a Privacy Act Notice.

5.3.11 Corrections to ROI. When the USCG determines that additional investigative action is required after the Contractor submits the investigative file, the Contractor shall respond to the COR’s request for additional action, within five (5) business days after notification. In the event the Contractor is unable to complete the additional investigative action within five (5) business days, the Contractor shall provide a written explanation and estimated timeline for completing the action.

5.3.12 Affidavits. The USCG will not accept unsigned affidavits unless there is a statement and documentation to reflect attempts to acquire the signed affidavit. Each affidavit shall identify the questions presented to the affiant followed by the affiant’s response. Each affidavit shall include the questions posed to the affiant.

5.3.13 Sanitization. The original ROI shall include markings/warnings to indicate unredacted personally identifiable information (PII). The copies of the final ROI shall sanitize the home address, home telephone number, tax identification numbers, medical record numbers, date of birth, and social security number for all witnesses and other individuals (e.g. applicants for employment). In age discrimination complaints, only the year of birth and individual’s age shall be provided (e.g. 1970, 42). If there is a question as to whether information represents PII that should be sanitized, the Contractor shall contact the COR or for guidance.

5.3.14 Lack of Response. If a complainant, witness or responding management official fails to respond to the initial request for an affidavit within the stated time frame, the Contractor shall issue a 15 day demand letter including the notice described in EEOC Regulation 29 C.F.R. §§ 1614.107(a)(7) and 108(c)(3) for the complainant and the notice described in EEOC Regulation 29 C.F.R. § 108(c)(3) for all other witness or alleged responsible management officials.

5.3.15 Extensions of the 180 day Investigative Time Frame. All extensions to the investigative time frame, other than unilateral extensions described in EEOC Regulation 29 C.F.R.