SOW Review of U.S. Coast Guard’s EEO Process.pdf

Updated 4/12/19

DEPARTMENT OF HOMELAND SECURITY (DHS)

OFFICE OF THE INSPECTOR GENERAL

STATEMENT OF WORK (SOW)

FOR

Review of U.S. Coast Guard’s EEO Process

1.0 GENERAL

1.1 BACKGROUND

The FY21 NDAA,1 Section 8286 required the DHS OIG to conduct a study “on the need to separate Equal Opportunity Advisors and Equal Employment Opportunity Specialists, as practicable, through the pre-complaint and formal discrimination complaint processes, for the complainant, the opposing party, and the commanding officers and officers in charge.”

During discussions in March 2022 with DHS OIG Office of Inspections and Evaluations (OIE), Congressional staffers clarified the mandate language further and indicated they were most concerned with whether the EO Advisors and EEO Specialists should advise both the complainant and the command during the process. More generally, the staffers asked for an OIG review to better understand the EEO process within Coast Guard, and to present ideas for possible improvement.

Coast Guard’s Civil Rights Manual2 sets forth policy and guidance for both its Military Equal Opportunity (EO) and Civilian Equal Employment Opportunity (EEO) programs. The EEO program operates within the parameters of regulations established by the U.S. Equal Employment Opportunity Commission (EEOC). Coast Guard has discretion in establishing a process for military members; it chose to use the same process for military members and civilian members to the maximum extent possible. Collectively, EO Advisors (for the military process) and EEO Specialists (for the civilian process) serve as EEO/EO counselors and carry out the civil rights functions at the Coast Guard, including conducting EEO/EO counseling, training, and providing civil rights guidance. The Civil Rights Manual describes the role of EEO/EO Counselors, who assist Coast Guard personnel through both the pre-complaint and formal complaint process3 for those who believe they have been subjected to unlawful discrimination.

The civil rights complaint resolution process is as follows:

1. Pre-complaint – The aggrieved party contacts an EEO/EO counselor within 45 days of the action giving rise to the complaint. The party then meets with the EEO/EO counselor, who explains the complaint process, provides rights and responsibilities, 1 https://www.congress.gov/116/plaws/publ283/PLAW-116publ283.pdf 2 https://www.uscg.mil/Portals/0/Headquarters/civilrights/PDFs/USCG-Civil-Rights-Manual-COMDTINST-M5350- 4E.pdf?ver=t78ky-ihps4Qfv3il3HTng%3d%3d&timestamp=1606241049129 3 “U.S. Coast Guard Complaint Milestones in Calendar Days,” undated, https://www.uscg.mil/Portals/0/Headquarters/civilrights/PDFs/Complaint_Timeline.pdf?ver=2017-05-31-083420-907.

https://www.congress.gov/116/plaws/publ283/PLAW-116publ283.pdf https://www.uscg.mil/Portals/0/Headquarters/civilrights/PDFs/USCG-Civil-Rights-Manual-COMDTINST-M5350-4E.pdf?ver=t78ky-ihps4Qfv3il3HTng%3d%3d&timestamp=1606241049129 https://www.uscg.mil/Portals/0/Headquarters/civilrights/PDFs/USCG-Civil-Rights-Manual-COMDTINST-M5350-4E.pdf?ver=t78ky-ihps4Qfv3il3HTng%3d%3d&timestamp=1606241049129 https://www.uscg.mil/Portals/0/Headquarters/civilrights/PDFs/Complaint_Timeline.pdf?ver=2017-05-31-083420-907 and attempts to resolve the matter. The aggrieved party can either address the complaint through “traditional counseling” or “alternative dispute resolution.” If the complaint follows the EO process, the command has 15 days to try to resolve the matter before continuing through the complaint process.

2. Inquiry, resolution, or issuance of Right to File formal complaint – The EEO/EO counselor has 30 days to either inquire more about the matter, assist the complainant with resolving the matter, or notifying the complainant of the right to file a formal complaint.

3. Formal complaint – Coast Guard has 180 days to complete a formal investigation after formal complaint is filed.

4. For civilians: Either DHS/CRCL, EEOC, or a district court have final decision authority. For military: Coast Guard Office of Civil Rights and DHS have final decision authority.

1.2 SCOPE

The scope of this contract is to acquire the services of a company to review Coast Guard’s EEO process to determine whether changes are required to comply with the law or best practices. Review of other military or similar organizations EEO process may be necessary.

1.3 OBJECTIVE

Determine whether the Coast Guard’s EEO processes status quo complies with applicable laws and policies, particularly with respect to EOA and EEOS roles and responsibilities. Identify whether there are other concerns associated with status quo processes. Propose alternatives to address those concerns (if any) and highlight associated potential benefits and drawbacks. The contractor will provide a final written product that will be provided to DHS, Coast Guard, and the public.

1.4 APPLICABLE DOCUMENTS

1.4.1 Compliance Documents

The following documents provide specifications, standards, or guidelines that must be complied with in order to meet the requirements of this contract:

• CIGIE Quality Standards for Inspection and Evaluation (December 2020) (Blue Book)

1.4.2 Reference Documents

The following documents may be helpful to the Contractor in performing the work described in this document:

a. Coast Guard’s Civil Rights Manual, COMDTINST M5350.4E, 21 October

2.0 SPECIFIC REQUIREMENTS/TASKS

2.1 TASK ONE. Current Coast Guard’s EEO Process

2.1.1 Summarize laws, policies, procedures, and guidance relevant to shaping the Coast Guard’s EEO process.

2.1.2 Map EEO processes along with organizational and personnel roles/responsibilities as formalized in doctrine/policy and as conducted in practice, considering both civilian and military processes.

2.1.3 Connect process stages, decisions, and/or other characteristics to applicable laws and other guidance.

2.2 TASK TWO. Assess Practice Related to EO Advisors and EEO Specialists

2.2.1 Characterize EO Advisor and EEO Specialist processes that directly map to applicable laws and guidance, and any areas that may diverge, focusing particularly on those related to EO advisors and EEO specialists

2.2.2 Identify potential risks incurred as a result of any divergence

2.2.3 Identify other potential risks of current EEO practices (e.g., perceptions of justice, willingness to report concerns, morale, impacts on aggrieved parties, etc.)

2.3 TASK THREE. Identify and Assess Alternative Practices

2.3.1 Explore EEO processes in other organizations identified in coordination with sponsor, particularly the roles of EO advisors and EEO specialists.

2.3.2 Identify up to three alternatives for the Coast Guard’s EEO processes that address concerns identified in prior tasks.

2.3.3 Identify pros and cons of each alternative to enable comparison with the status quo, including both strictly legal aspects as well as considering mitigation of an other risks identified in Task 2, and identifying the impact of any alternatives on management structure of other changes that may be required.

2.4 Task Four. Formal Documentation

2.4.1 Document research findings and recommendations in draft document.

2.4.2 Document research findings and recommendations in final document

3.0 CONTRACTOR PERSONNEL

Ensuring successful completion of all requirements under this Statement of Work is imperative. The contractor is responsible for providing sufficient personnel, both in terms of number and relevant experience and expertise, to meet all requirements within the deadlines specified in the contract.

3.1 Qualified Personnel

The Contractor shall provide qualified personnel to perform all requirements specified in this SOW.

3.2 Continuity of Support

The Contractor shall ensure that the contractually required level of support for this requirement is maintained at all times. The Contractor shall ensure that all contract support personnel are present for all hours of the workday. If for any reason the Contractor staffing levels are not maintained due to vacation, leave, appointments, etc., and replacement personnel will not be provided, the Contractor shall provide e-mail notification to the Contracting Officer’s Representative (COR) prior to employee absence. Otherwise, the Contractor shall provide a fully qualified replacement.

3.3 Key Personnel

Before replacing any individual designated as Key by the Government, the Contractor shall notify the Contracting Officer no less than 15 business days in advance, submit written justification for replacement, and provide the name and qualifications of any proposed substitute(s). All proposed substitutes shall possess qualifications equal to or superior to those of the Key person being replaced, unless otherwise approved by the Contracting Officer. The Contractor shall not replace Key Contractor personnel without approval from the Contracting Officer. The following Contractor personnel are designated as Key for this requirement. Note: The Government may designate additional Contractor personnel as Key at the time of award.

• Equal Employment Opportunity Subject Matter Experts o Minimum standard: Bachelor's degree or certification in employment law or a minimum of 10 years specialized and related work experience serving as a subject matter expert in EEO or employment law.

o Have experience investigating, auditing, or otherwise evaluating adherence to applicable standards related EEO process and laws.

o Have experience objectively critiquing agency EEO programs.

o Have experience serving as a subject matter expert providing advice, guidance, or testimony on EEO programs or systems.

o Have experience formulating recommendations or other steps to address issues, violations, or concerns identified as part of an review or other type of inquiry.

o Experience with Military and Civilian EEO processes and programs.

3.4 Project Manager

The Contractor shall provide a Project Manager who shall be responsible for all Contractor work performed under this SOW. The Project Manager shall be a single point of contact for the Contracting Officer and the COR. The name of the Project Manager, and the name(s) of any alternate(s) who shall act for the Contractor in the absence of the Project Manager, shall be provided to the Government as part of the Contractor's proposal. The Project Manager is further designated as Key by the Government. During any absence of the Project Manager, only one alternate shall have full authority to act for the Contractor on all matters relating to work performed under this contract. The Project Manager and all designated alternates shall be able to read, write, speak and understand English. Additionally, the Contractor shall not replace the Project Manager without prior approval from the Contracting Officer.

3.4.1 The Project Manager shall be available to the COR via telephone between the hours of 8:00am and 4:00pm EST, Monday through Friday, and shall respond to a request for discussion or resolution of technical problems within 24 hours of notification.

3.5 Employee Identification

3.5.1 Contractor employees visiting Government facilities shall wear an identification badge that, at a minimum, displays the Contractor name, the employee’s photo, name, clearance-level and badge expiration date. Visiting Contractor employees shall comply with all Government escort rules and requirements. 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.

3.5.2 Contractor employees working on-site at Government facilities shall wear a Government issued identification badge. All Contractor employees shall identify themselves as Contractors when their status is not readily apparent (in meetings, when answering Government telephones, in e-mail messages, etc.) and display the Government issued badge in plain view above the waist at all times.

3.6 Employee Conduct

Contractor’s employees shall comply with all applicable Government regulations, policies and procedures (e.g., fire, safety, sanitation, environmental protection, security, “off limits” areas, wearing of parts of DHS uniforms, and possession of weapons) when visiting or working at Government facilities. The Contractor shall ensure Contractor employees present a professional appearance at all times and that their conduct shall not reflect discredit on the United States or the Department of Homeland Security. The Project Manager shall ensure Contractor employees understand and abide by Department of Homeland Security established rules, regulations and policies concerning safety and security.

3.7 Removing Employees for Misconduct or Security Reasons

The Government may, at its sole discretion (via the Contracting Officer*), direct the Contractor to remove any Contractor employee from DHS facilities for misconduct or security reasons. Removal does not relieve the Contractor of the responsibility to continue providing the services required under the contract. The Contracting Officer will provide the Contractor with a written explanation to support any request to remove an employee.

4.0 SECURITY

Contractor employees assigned to this contract must undergo an appropriate fitness screening determination. The minimum investigative standard for contractor employees assigned to this contract will be a Minimum Background Investigation (MBI)/Tier 2. If contractors assigned to this contract do not have the requisite investigation, conducted by or for another Federal Agency then a new appropriate investigation will be initiated.

Contractor employees working on this contract must complete such forms, as may be necessary for security or other reasons to determine fitness. Completed forms shall be submitted as directed by the OIG/ Security Management Division. Upon the DHS, OIG Facilities and Security Services Division’s request, the contractor's employees shall be fingerprinted, or subject to other investigations as required.

Contractors may not commence work prior to notification of a favorable decision for entrance on duty (EOD). The EOD determination does not substitute for the required background investigation and it does not represent a final fitness determination.

Each employee of the Contractor assigned to performing on this contract shall be a citizen of the United States of America.

4.1 PERIOD OF PERFORMANCE

The period of performance for this contract is one year from the date of award.

4.2 PLACE OF PERFORMANCE

The primary place of performance will be the Contractor’s facilities with frequent visits to the Department of Homeland Security at US Coast Guard Headquarters, 2703 Martin Luther King Jr. Ave, SE, Washington DC 20593

4.3 HOURS OF OPERATION

Contractor employees shall generally perform all work between the hours of 8:00am and 5:00pm EST, Monday through Friday (except Federal holidays). However, there may be occasions when Contractor employees shall be required to work other than normal business hours, including weekends and holidays, to fulfill requirements under this SOW.

4.4 TRAVEL

Contractor travel may be required to support this requirement. All travel required by the Government outside the local commuting area(s) will be reimbursed to the Contractor in accordance with the Federal Travel Regulations. The Contractor shall be responsible for obtaining COR approval (electronic mail is acceptable) for all reimbursable travel in advance of each travel event.

4.5 POST AWARD CONFERENCE

The Contractor shall attend a Post Award Conference with the Contracting Officer and the COR no later than 20 business days after the date of award. The purpose of the Post Award Conference, which will be chaired by the Contracting Officer, is to discuss technical and contracting objectives of this contract and review the Contractor's draft project plan. The Post Award Conference will be held at the Government’s facility, located at 395 E Street, SW Washington, DC 20024 or Microsoft Teams.

4.6 PROJECT PLAN

The Contractor shall provide a draft Project Plan at the Post Award Conference for Government review and comment. The Contractor shall provide a final Project Plan to the COR not later than 15 business days after the Post Award Conference.

4.7 PROGRESS REPORTS

The Project Manager shall provide a bi-weekly progress report to the Contracting Officer and COR via electronic mail. This report shall include a summary of all Contractor work performed, including a breakdown of labor hours by labor category, all direct costs by line item, an assessment of technical progress, schedule status, any travel conducted and any Contractor concerns or recommendations for the previous reporting period.

4.8 PROGRESS MEETINGS

The Project Manager shall be responsible for keeping the COR informed about Contractor progress throughout the performance period of this contract and ensure Contractor activities are aligned with DHS objectives. At a minimum, the Project Manager shall review the status and results of Contractor performance with the COR on a biweekly basis via Microsoft Teams.

4.9 GENERAL REPORT REQUIREMENTS

The Contractor shall provide all written reports in electronic format with read/write capability using applications that are compatible with DHS workstations (Windows XP and Microsoft Office Applications).

4.10 INTELLECTUAL PROPERTY

All reports generated, documentation produced and research conducted in the performance of this requirement will be the property of DHS, OIG.

4.11 PROTECTION OF INFORMATION

Contractor access to information protected under the Privacy Act is required under this SOW. Contractor access to unclassified, Personal Identifiable Information (PII), Sensitive Personal Identifiable Information (SPII), Sensitive Security Information (SSI) and Law Enforcement Sensitive information may be required under this contract. Contractor employees shall safeguard this information against unauthorized disclosure or dissemination in accordance with the law and Government policy and regulation.

Contractor employees shall safeguard this information against unauthorized disclosure or dissemination in accordance with DHS MD 11042.1, Safeguarding Sensitive But Unclassified (For Official Use Only) Information. The Contractor will be required to submit a signed Non-Disclosure Agreement hereby incorporated as “Non-Disclosure Agreement.”

5.0 GOVERNMENT TERMS & DEFINITIONS

5.0 COR – Contracting Officer’s Representative

5.1 DHS - Department of Homeland Security

5.2 EEO – Equal Employment Opportunity

6.0 GOVERNMENT FURNISHED RESOURCES

All work performed will be on Government Furnished Equipment (GFE). The Contractor will be furnished with all necessary Coast Guard information necessary to accomplish objective of the review. This documentation will be provided to the contractor in person, by mail courier, or by email. The Contractor shall safeguard this information against unauthorized disclosure or dissemination.

The Government will provide the following property to the Contractor for work required under this contract:

• Government Identification

• DHS Issued Laptops.

The Contractor shall use Government furnished information, data and documents only for the performance of work under this contract, and shall be responsible for returning all Government furnished information, data and documents to the Government at the end of the performance period. The Contractor shall not release Government furnished information, data and documents to outside parties without the prior and explicit consent of the Contracting Officer.

An OIG Office of Inspections and Evaluation staff member will be assigned as a liaison between the contractor and U.S. Coast Guard to ensure all necessary Coast Guard data, documents, and information that the contractor needs is provided.

7.0 CONTRACTOR FURNISHED PROPERTY

The Contractor shall furnish all facilities, materials, equipment and services necessary to fulfill the requirements of this contract, except for the Government Furnished Resources specified in SOW 2.0 and SOW 6.0.

8.0 GOVERNMENT ACCEPTANCE PERIOD

The COR will review deliverables prior to acceptance and provide the contractor with an e-mail that provides documented reasons for non-acceptance. If the deliverable is acceptable, the COR will send an e-mail to the Contractor notifying it that the deliverable has been accepted.

8.1 The COR will have the right to reject or require correction of any deficiencies found in the deliverables that are contrary to the information contained in the Contractor’s accepted proposal. In the event of a rejected deliverable, the Contractor will be notified in writing by the COR of the specific reasons for rejection. The Contractor may have an opportunity to correct the rejected deliverable and return it per delivery instructions.

8.2 The COR will have 20business days to review deliverables and make comments. The Contractor shall have 10 business days to make corrections and redeliver.

8.3 All other review times and schedules for deliverables shall be agreed upon by the parties based on the final approved Project Plan. The Contractor shall be responsible for timely delivery to Government personnel in the agreed upon review chain, at each stage of the review.

The Contractor shall work with personnel reviewing the deliverables to assure that the established schedule is maintained.

9.0 DELIVERABLES

The Contractor shall consider items in BOLD as having mandatory due dates. Items in italics are deliverables or events that must be reviewed and/or approved by the COR prior to proceeding to next deliverable or event in this SOW.

ITEM SOW

REFERENCE DELIVERABLE / EVENT DUE BY

DISTRIBUTION

4.5

Post Award Conference

20 business days after the date of award

N/A

4.6

Draft Contractor Project Plan

Due at time of Post Award Conference

COR,

Contracting Officer

4.7 Final Contractor Project

Plan 15 business days after the Post Award Conference

COR,

4.9

Progress Reports

Bi-weekly after project plan approval

COR,

2.4

Draft Research Report

6 months after contract award

COR,

2.4

Final Research Report 8 months after contract award

COR,

4.1

Copies of all documents and working papers used to write research report

9 months after contract award

COR