SRCSGT | R | EEO Investigative Support Services for DOT's Departmental Office of Civil Rights

FBO DAILY ISSUE OF NOVEMBER 20, 2010 FBO #3283
SOURCES SOUGHT

R -- EEO Investigative Support Services for DOT's Departmental Office of Civil Rights

Notice Date: 11/18/2010
Notice Type: Sources Sought
NAICS: 541611 — Administrative Management and General Management Consulting Services
Contracting Office: Department of Transportation, Office of the Secretary of Tranportation (OST) Procurement Operations, OST Acquisition Services Division, 1200 New Jersey Ave, Washington, District of Columbia, 20590
ZIP Code: 20590
Solicitation Number: DTOS59-11-R-00304
Archive Date: 6/30/2011
Point of Contact: James H Mowery III, Phone: 202-366-4959, James H Mowery III, Phone: 202-366-4959
E-Mail Address: james.mowery@dot.gov, james.mowery@dot.gov
(james.mowery@dot.gov, james.mowery@dot.gov)
Small Business Set-Aside: N/A
Description: This is a Sources Sought Notice. This is NOT a Solicitation. The U. S. Department of Transportation's (DOT's) Departmental Office of Civil Rights (S-30) is considering the POSSIBILITY of awarding up to approximately three (3) new sole-source contracts to SBA-certified 8(a) firms, for the provision of EEO investigative support services to S-30. However, DOT's search for such 8(a) firms, in the applicable GSA Schedule, has turned up only a very small pool of 8(a) firms to choose from. Accordingly, this Sources Sought Notice broadens DOT's search for qualified 8(a) firms-and regardless of whether such firms are listed on any GSA Schedule. In other words, an 8(a) firm need NOT necessarily be listed on any GSA Schedule, in order to receive consideration, by DOT, under this Special Notice. Any SBA-certified 8(a) firm that is interested in rendering such EEO investigative support services to S-30 shall, not later than 11:59 PM Eastern Time on Sunday, December 5, 2010, e-mail, to james.mowery@dot.gov and to Sharlean.webb@dot.gov, the following materials: (a) a Statement of Qualifications designed to prove, to S-30, that the submitting 8(a) company is fully QUALIFIED to render such EEO investigative support services in accordance with the Statement of Work which appears below in this Special Notice; (b) resumes for each of, and for all of, the individual named staff members whom the submitting 8(a) firm estimates would be serving on any EEO investigative support services contract awarded by DOT to the submitting company; (c) a table showing the submitting company's ESTIMATED fully-loaded hourly pay rates for each such named individual staff member; (d) a citation of any relevant GSA-Schedule-Contract which the submitting company happens to hold; and (e) a list of Past Performance References, including the titles or subject areas of each relevant past project performed by the submitting company, and including the contract numbers or project numbers of those past projects, and including the name and title and phone number and e-mail address of a customer-contact-person for each of those past projects; and (f) a copy of the signed SBA-letterhead letter that placed the submitting company in the 8(a) program. PLEASE NOTE THAT RESPONDERS AND PROSPECTIVE RESPONDERS TO THIS NOTICE MUST NOT CALL OR ATTEMPT TO CONTACT DOT'S MS. SHARLEAN WEBB----except for the LIMITED purpose of e-mailing a Statement of Qualifications to her. Moreover, DOT is NOT, at the present time, asking for submission of full PROPOSALS. It is NOT anticipated that any Statement of Qualifications submitted in response to this Sources Sought Notice will constitute a full PROPOSAL. Instead, DOT may HEREAFTER request a full PROPOSAL from any particular 8(a) firm whose Statement of Qualifications, submitted in response to this Sources Sought Notice, indicates that the firm is one of the responders whose service on an EEO support services contract would be most advantageous to DOT. The following is the Statement of Work for the POTENTIAL EEO support services envisioned in this Sources Sought Notice: U.S. DEPARTMENT OF TRANSPORTATION Departmental Office of Civil Rights (S-30) STATEMENTS OF WORK FOR: PREPARING EQUAL EMPLOYMENT OPPORTUNITY DISCRIMINATION COMPLAINT ACCEPTANCE/DISMISSAL RECOMMENDATIONS AND INVESTIGATING EQUAL EMPLOYMENT OPPORTUNITY DISCRIMINATION COMPLAINTS AND PREPARING REPORTS OF INVESTIGATIONS May 2006 - Revised January 2010 Departmental Office of Civil Rights 1200 New Jersey Avenue, S.E. Washington, D.C. 20590 Contact: Tami L. Wright (202) 366-9370 ______________________________________________________________________________________ U.S. Department of Transportation Departmental Office of Civil Rights 1200 New Jersey Avenue, S.E. Washington, D.C. 20590 CONTENTS Page •I. BACKGROUND.................................................................. 5 •II. PURPOSE............................................................................ 5 •III. KNOWLEDGE OF APPLICABLE AUTHORITIES..................... 6 •IV. WORK REQUIREMENTS..................................................... 6 •A. EEO Discrimination Complaint Acceptance and Dismissal Recommendations................................................6 (1) Review and Analysis of EEO Complaint Documentation.........................................................6 (2) Documentation and Preparation of Draft Letter....................7 •B. EEO Complaint Investigations and Reports...............................7 (1) Preparing for the Investigation........................................8 (2) Interviewing Witnesses................................................9 •(3) On-site Visits...........................................................11 •(4) Preparing Affidavits..................................................12 •(5) Obtaining Documentary and Statistical Evidence...............12 •(6) Preparing Report of Investigation (ROI)..........................12 •C. Additional Duties for Contractor Personnel Working On-site at DOCR Facilities................................................13 (1) Breaches of DOT Settlement Agreements and Noncompliance with EEOC Decision Orders....................13 •(2) Data Collection and Analysis.......................................13 •(3) Review Investigative Plans (IP) and Reports of Investigation.......................................................13 •(4) Overall DOCR Facility Support and Assistance.................13 •V. TRAINING REQUIREMENTS FOR CONTRACTOR PERSONNEL.................................................................... 14 •VI. DELAY OF WORK/REQUEST FOR EXTENSION.................. 14 A. EEO Complaint Acceptance/Dismissal Recommendations........................................................14 B. EEO Complaint Investigations and Reports...........................14 •VII. PENALTIES FOR NON-COMPLIANCE................................ 14 •VIII. REPLACEMENT OF CONTRACTOR PERSONNEL................ 15 •IX. DELIVERABLES.............................................................. 16 A. EEO Complaint Acceptance and Dismissal Recommendation.........................................................16 B. EEO Complaint Report of Investigation (ROI).......................16 C. Supplemental Investigation..............................................17 D. Sanitization of ROI........................................................17 E. Additional Copies of ROI................................................18 F. ROI Content and Format................................................18 G. Computation of Time.....................................................21 H. Contracting Officer Technical Representative (COTR).............21 I. Conflict of Interest........................................................21 J. Contractor Staff...........................................................22 K. Confidentiality.............................................................22 L. Meetings...................................................................22 •X. PAYMENT FOR ON-SITE CONTRACT SERVICES................ 22 •XI. PAYMENT FOR OFF-SITE CONTRACT SERVICES............... 23 A. Standard Payments.......................................................23 B. Partial Payments..........................................................23 •XII. PAYMENT GUIDELINES FOR PARTIAL EEO COMPLAINT ACCEPTANCE/DISMISSAL RECOMMENDATIONS AND INVESTIGATIONS................... 24 A. Acceptance/Dismissal Recommendation..............................24 B. EEO Complaint Investigation............................................25 ATTACHMENTS •1. Non-Disclosure Agreement •2. Investigative Plan Format •3. One-DOT Shared Neutrals Program STATEMENTS OF WORK FOR: PREPARING EQUAL EMPLOYMENT OPPORTUNITY DISCRIMINATION COMPLAINT ACCEPTANCE/DISMISSAL RECOMMENDATIONS AND INVESTIGATING EQUAL EMPLOYMENT OPPORTUNITY DISCRIMINATION COMPLAINTS AND PREPARING REPORTS OF INVESTIGATIONS •I. BACKGROUND The United States Department of Transportation (DOT) prohibits discrimination in employment on the basis of race, color, national origin, sex, religion, age (40 and over), disability, sexual orientation, genic information or reprisal. Within DOT, t he Departmental Office of Civil Rights (DOCR) has primary responsibility for enforcing laws and regulations which prohibit discrimination in employment. Complaints of equal employment opportunity (EEO) discrimination alleged by DOT employees, former employees and applicants for employment are strictly processed in accordance with the U.S. Equal Employment Opportunity Commission's (EEOC) regulations, Title 29, Code of Federal Regulation (CFR) § 1614, as amended, and applicable laws, statutes, regulations, executive orders and directives. A more detailed listing of applicable authorities is provided in paragraph III below. •II. PURPOSE. DOCR is seeking firms to: A. Review EEO complaints of discrimination formally filed against DOT by employees, former employees, and applicants for employment to determine whether the complaint should be accepted for processing based on the EEOC regulations, applicable laws, statutes, regulations, executive orders and directives. The contractor will make a recommendation whether to accept the formal EEO complaint or dismiss the complaint using the format and/or procedures prescribed by DOCR. B. Conduct investigations and prepare Reports of Investigation (ROI) on the facts developed in EEO discrimination complaints filed against DOT by employees, former employees, and applicants for employment in conformance with the standards established by the EEOC, and based on information contained in the investigative file and on-site investigations. Based on DOCR direction and work requirements, contractor personnel may be required to work on site at a designated DOCR headquarters or field office. •III. KNOWLEDGE OF APPLICABLE AUTHORITIES. In addition to knowledge of the EEOC's regulations ( Title 29, C.F.R. Part 1614), the Contract Investigator shall have a working knowledge of the following authorities as they relate to the processing of EEO employment discrimination complaints: A. Title VII of the Civil Rights Act of 1964, as amended; B. Civil Rights Act of 1991; C. The Age Discrimination in Employment Act of 1967, as amended; D. The Rehabilitation Act of 1973, as amended; E. Executive Order 11478 - Equal Opportunity in the Government; F. Code of Federal Regulations Part 1200 - Merit Systems; Protection Board; G. Equal Pay Act of 1963, as amended; H. EEOC Management Directive (MD) 110; and, I. The Americans with Disabilities Act of 1990. J. Genetic Information Non-Discrimination Act of 2008. •IV. WORK REQUIREMENTS. DOCR shall designate an individual to serve as the Contracting Officer's Technical Representative (COTR). The designated COTR shall provide overall direction, and assign work requirements to the contractor. This includes evaluating and approving work products and deliverables specified under this paragraph. DOCR may re-delegate oversight authority over the contractor and/or contract personnel based on whether the work is performed at the contractor's designated facility or on-site at DOCR facilities. Although the contractor's primary responsibilities shall be making recommendations to accept/dismiss EEO complaints and conduct EEO investigations as described in II above, on-site contractor staff also may be asked to assist in other EEO complaint processing related tasks as described in IV C, Additional Duties for Contractor Personnel Working On-site at DOCR Facilities. The Contractor shall perform the following services: EEO DISCRIMINATION COMPLAINT ACCEPTANCE AND DISMISSAL RECOMMENDATIONS A. Contractor recommendations to DOCR to accept or dismiss a formal EEO complaint of discrimination shall be conducted in two major phases as listed below: •(1) Review and Analysis of EEO Complaint Documentation. DOCR will provide the contractor with a file containing a copy of the EEO Counselor's report, Individual Complaint of Employment Discrimination and any other appropriate information for each assigned EEO complaint. The contractor will review and analyze the documentation and, based on applicable DOT and EEOC regulations, standards and guidelines make a recommendation as to whether to accept or dismiss, either totally or partially, the claim(s) alleged by the complainant. For those claims that are not accepted, the contractor will quote specific section and language contained in 29 C.F.R Part 1614, including citing the applicable case law. (2) Documentation and Preparation of Draft Letter. The contractor will document the findings resulting from the review described in IV A (1) above and prepare a draft EEO complaint acceptance/dismissal letter using the format and procedures prescribed by DOCR. The Contractor shall provide the completed draft EEO complaint acceptance/dismissal letter, including documentation, to the designated DOCR official for approval/disapproval not later than five (5) calendar days after receipt of the file. The designated DOCR official shall approve/disapprove the work products within two (2) calendar days after receipt. For those work products disapproved and returned to the Contractor for further review, analysis, documentation, or changes to the draft acceptance/dismissal letter, the Contractor shall re-submit the revised work products to the designated DOCR official within two (2) calendar days after the disapproval or re-submission. Contractor employees shall be permitted to use all government equipment necessary to perform assigned responsibilities while working on-site. EEO COMPLAINT INVESTIGATIONS AND REPORTS •B. Contract Investigations shall be conducted in accordance with the general guidelines provided below, and accomplished in five major phases: (1) preparing for the investigation; (2) interviewing witnesses; (3) on-site visits; (4) preparing affidavits; (5) obtaining documentary and statistical evidence; and (6) preparing Reports of Investigations (ROIs). Report of Investigation should be provided on a CD appropriately bookmarked and sequentially paginated utilizing the EEOC HECAPS (Hearings Electronic Case Processing System) format. Investigations shall include a thorough review of the circumstances under which the alleged discrimination occurred and a comparative analysis of the treatment of complainant and members of the complainant's protected group as compared with the treatment of others not of the complainant's protected group in the organizational unit. Additionally, the investigation shall require a review of any policies and practices related to the alleged discrimination. Except for use of the Government's scanners, copy machine, telephone and fax machines while on site at a government facility during the course of an investigation, the Contractor shall furnish all essential equipment, materials, personnel, and supplies necessary to perform all of the work detailed below, including investigating complaints, assembling the investigative files, and preparing the applicable reports. •(1) Preparing for the Investigation. Investigations ordered under this contract shall be limited to the specific claims/allegations accepted by DOCR. While a complainant may add or delete bases for their allegations at any time, any new claims/allegations raised by the complainant at the investigative stage shall be referred to the COTR or his/her designated DOCR official. The designated DOCR official shall be the COTR for all assigned contract cases under his/her jurisdiction. The accepted claims/allegations and incidents relevant to the complaint constitute the purview of the investigation. The Contract Investigator shall not investigate, agree to investigate or comment on the acceptability of any new claims/allegations without first consulting with the COTR or designated DOCR official. Investigations shall include a thorough review of the circumstances under which the alleged discrimination occurred, the organization and employees involved, and the organization's mission as it is involved with the accepted claims/allegations of the complaint. The Contractor Investigator shall gather relevant documentary and statistical information to address the claims/allegations in the complaint, to determine which employees are similarly situated to the complainant and what comparable treatment they received from the DOT, and what corroboration exists to support or rebut the charge of discrimination. To conduct investigations as efficiently and effectively as possible, the Contractor shall: •a. Obtain, from each of its employees working on this contract, a Non-Disclosure Agreement (Attachment 1). •b. Obtain case assignments and complaint files from the COTR or designated DOCR official to include, at a minimum, copies of the formal complaint, EEO Counselor's Report, and a formal acceptance letter which identifies the claims accepted by DOCR for investigation. •c. Within five (5) calendar days after receipt of the case assignment, provide an Investigative Plan (IP) which will outline the proposed actions to be taken, including witness interviews and data requests, to complete the investigation. The plan shall be provided to the COTR or designated DOCR official for review and approval. The format for the IP is provided at Attachment 2. The COTR or designated DOCR official will review the IP for approval/ disapproval within two (2) business days of receipt of the plan. •d. If the IP is not approved, submit a revised plan within three (3) calendar days of the disapproval. •e. Once the IP is approved, immediately initiate pre-investigative activities, including scheduling the on-site investigation, scheduling witness interviews, and preparing and submitting the data request. At the same time, the COTR or designated DOCR official will submit a copy of the Letter of Authorization (LOA). The purpose of the LOA is to identify the Contract Investigator to DOT and to any witnesses. The LOA may be requested at the same time that the IP is submitted. •f. When a new claim/allegation is brought to the attention of the Contract Investigator, or a new complaint is filed during the investigation by the same individual or consolidated individuals, the new claim/allegation or new complaint may be added to the contract via/modification ONLY after coordination with the COTR or designated DOCR official. •g. Obtain COTR or designated DOCR official approval of all additional costs associated with investigations. (2) Interviewing Witnesses. The Contract Investigator shall follow the following procedures: •a. The Contract Investigator shall conduct interviews, with all relevant witnesses (under oath or affirmation) and reduce pertinent testimony to standard affidavits. To afford complainants an opportunity to show pretext, provide rebuttal affidavits and if necessary obtain supplemental affidavits from the primary parties to the complaint (complainant and responsible management official) should be obtained. Interrogatories may be substituted for standard affidavits when the witness is unavailable and a mailed response is necessary. Telephone interviews are suggested with the proposed witnesses prior to mailing interrogatories or conducting the face to face interview. •b. If interrogatories are used, the Contract Investigator will advise the witness that the answers to the questions must be written, witnessed, and returned to the Contract Investigator within ten (10) calendar days from the date of receipt. Interrogatories are to be sent by certified mail, return receipt requested using United States mail. •c. To secure testimony as efficiently as possible, the Contract Investigator shall: 1. Show all witnesses a photo identification and the DOT LOA authorizing the Contract Investigator to investigate prior to the start of the interview. 2. Inform each witness that he/she has been identified as having information relevant to the complaint. 3. Inform each witness of his/her right to representation at personal expense during the securing of testimony. 4. Inform each witness of his/her right to present evidence. 5. Obtain testimony, under oath or affirmation, without a pledge of confidence. 6. Inform the complainant of his/her obligation to cooperate with the Contract Investigator or risk dismissal of the complaint. 7. Inform other witnesses that failure to cooperate with the Contract Investigator may result in some form of disciplinary action. Further, failure to cooperate may result in the decision maker and/or EEOC drawing an adverse inference against the agency. •d. Immediately advise the COTR or designated DOCR official of the name of any witness(s) who was/were not identified during the planning of the investigation, and the tentative date for the interview of such individual(s). •e. If a witness fails to cooperate, immediately advise the witness of the requirement to cooperate in the investigation. If the witness still refuses to cooperate, the Contract Investigator shall immediately verbally advise the COTR or designated DOCR official of this failure and shall follow-up in writing. •f. The Contract Investigator may disclose information or documents, as necessary, to obtain information from witnesses, e.g., to explain the allegations in a complaint, or to explain a manager's articulated reasons for an action in order to develop evidence bearing on that reason. However, the Contractor Investigator shall summarize the witnesses' affidavits to complainant and vice versa without sharing the entire affidavit. •g. Should the complainant indicate, at any time during the investigation, a desire to participate in DOT's Alternative Dispute Resolution (ADR) Programs (see Attachment 3, One DOT Sharing Neutrals Program or Federal Aviation Administration's ADR Program) in an attempt to resolve the dispute, the Contract Investigator must immediately contact and advise the COTR or designated DOCR official of the request. A request to initiate ADR during the investigation, in and of itself, shall not delay or stop the investigation. The investigation will continue during ADR. (3) On-site Visits. To the extent possible, investigations will be assigned and conducted within 100 miles of the key site. Travel outside of the 100- mile limit must be approved by the COTR or designated DOCR official before the investigation commences. Additionally: •a. To efficiently manage the on-site visit, the COTR or designated DOCR official shall assist with arranging for a meeting place to conduct the interview sessions if requested by the Contract Investigator. The meeting place shall be private. The meeting place also shall include a telephone and other accommodations as required. •b. The Contract Investigator shall immediately upon arrival for the on-site visit report to the COTR or designated DOCR official to confirm completion of liaison activities, time and location of investigation, etc., as needed. The Contractor Investigator also shall confirm the interview schedule for witnesses and documentation requests. This includes: •1. If the location of the on-site visit is at the COTR's or designated DOCR official's work site, the Contract Investigator will report directly to the COTR or designated DOCR official to confirm activities; and •2. If the location of the on-site is outside the COTR's work site, the Contract Investigator will maintain contact with the COTR or designated DOCR official, as necessary, in order t complete the on-site visit as efficiently as possible. •c. The Contract Investigator shall secure and prepare testimony of the complainant and witnesses in the format as outlined in paragraph IX, Deliverables. •d. The Contract Investigator shall not expand the scope of the investigation beyond the claims/allegations accepted for investigation by the agency. Claims/allegations that are raised that were not specifically accepted for investigation shall be referred to the COTR or designated DOCR official. •e. The Contract Investigator shall secure documentary evidence. •(4) Preparing Affidavits. If the witness wishes to change the substance of his/her affidavit, the Contract Investigator shall allow the witness to change the affidavit and require the witness to initial each change made. If the witness rewrites the affidavit and makes substantive changes to the testimony relating to the claim(s), the rewritten and retyped signed affidavit and the original affidavit shall be included in the investigative file. In this case, the Contract Investigator shall prepare a memorandum to the file explaining the circumstances and attach the Privacy Act of 1974 compliance information. •(5) Obtaining Documentary and Statistical Evidence. The Contract Investigator shall gather relevant documentary and statistical information, as outlined in, but not limited to EEOC Management Directive 110. To gather relevant documentary and statistical evidence, the Contract Investigator shall: •a. Review all relevant personnel records and statistical data and make one copy for inclusion in the ROI as part of the complete factual record. •b. Assemble the records/data collected in the format specified by DOCR. •c. If the Contract Investigator has difficulty obtaining documentary evidence or statistical information, the Contract Investigator shall immediately contact the COTR or designated DOCR official to request assistance. •(6) Preparing Report of Investigation (ROI). Reports of investigation must be sufficient to allow an independent trier of fact to adjudicate the charges of discrimination using the ROI as the sole source of evidence available to make a final decision. The reports also must contain adequate descriptions and explanations to allow a person not familiar with the DOT and its employment practices to understand the results of the investigation using only the report as his/her source of information. The draft report must be mailed in sufficient time to reach the COTR or designated DOCR official within 45 days of the approval of the IP. ADDITIONAL DUTIES FOR CONTRACTOR PERSONNEL WORKING ON-SITE AT DOCR FACILITIES C. Contract Investigators working on-site shall perform other EEO compliance-related duties which may vary depending on the DOCR facility based on the direction and guidance of the COTR or designated DOCR official. These duties shall include, but are not limited, to: (1) Breaches of DOT Settlement Agreements and Noncompliance with EEOC Decision Orders. The Contract Investigator shall conduct inquiries into breach allegations of DOT settlement agreements, EEOC Order noncompliance allegations and other compliance-related matters. This includes preparing analyses and reports of findings, with supporting documentation. (2) Data Collection and Analysis. The Contract Investigator shall assist the designated COTR or designated DOCR official in researching, collecting, analyzing information and/or documentation to respond to EEO discrimination complaint matters. Work tasks in this area may include, but are not limited to, responding to requirements for information or documentation concerning active or completed EEO complaint investigations, including historical and trend analysis. This information or documentation may be needed for internal and external reports, ad hoc requests from the COTR or designated DOCR official, complainant or Congressional inquiries, Freedom of Information Requests, etc. With regard to the research and analysis of information or documentation, the Contract Investigator's responses to inquiries and reports of finding are expected to be accurate and based on sound research and analytical principles. (3) Review Investigative Plans (IP) and Reports of Investigation (ROI). The Contract Investigator shall assist in reviewing IPs and ROIs for accuracy and completeness. The Contract Investigator shall identify grammatical errors, IP and ROI deficiencies, and areas of concern resulting from the review. This includes making a recommendation to accept or reject the IP or ROI. (4) Overall DOCR Facility Support and Assistance. The Contract Investigator shall provide the COTR or designated DOCR official support and assistance, as needed. This may include, but is not limited to: (a) entering information into the DOCR automated case tracking system and assisting in the resolution of discrepancies; (b) creating files and maintenance of correspondence and documentation; (c) copying of correspondence and documentation; (d) answering telephones; (e) greeting customers; and (f) preparing correspondence. V. TRAINING REQUIREMENTS FOR CONTRACTOR PERSONNEL. Contractor personnel shall meet the latest training requirements mandated by the EEOC, including the requirement for continuing training. The Contractor shall provide the COTR or designated DOCR official the appropriate documentation and training certificates for all personnel assigned to perform DOT work on an annual basis. After providing the initial documentation and training certificates, the required information shall be provided to the COTR or designated DOCR official no later than September 30 of each year. Additionally, the Contractor shall provide contract personnel assigned to perform DOT work with a basic orientation on DOT organization, policy, procedures, etc., and ensure that all contract personnel use a consistent approach to performing DOT work based on guidance received from the COTR or designated DOCR official. VI. DELAYOF WORK/REQUEST FOR EXTENSION. The following guidelines governing EEO complaint accept/dismissal recommendations and EEO complaint investigations/reports only apply to Contractor personnel that are not working on-site at a DOCR facility: A. EEO Complaint Acceptance/Dismissal Recommendations. Any request by the Contractor to extend the established time period stipulated in the statement of work for providing a recommendation to accept/dismiss an assigned EEO complaint, including the provision of the required documentation and draft acceptance/dismissal letter, shall be submitted, along with justification, to the COTR or designated DOCR official within two (2) calendar days of the due date. Contractor's requests for extensions and the COTR's or designated DOCR official's approval must be documented in writing. COTR's or designated DOCR officials are authorized to approve only one extension for no longer than three (3) days. Any further requests for extension must be approved by the head of the DOCR EEO complaint processing organization. B. EEO Complaint Investigations and Reports. Any request by the Contractor Investigator to extend an investigation beyond the period stipulated in the statement of work must be submitted to and approved in writing by the COTR or designated DOCR official. Requests must be received at least five (5) working days before the due date of an investigation. COTRs or designated DOCR officials are authorized to approve no more than two (2) extensions totaling ten (10) days at a time which shall not exceed twenty (20) calendar days. Any further requests for extension must be submitted only to the COTR. VII. PENALTIES FOR NON-COMPLIANCE. If the performance of the work is delayed or interrupted by failure of the agency or complainant to act within a reasonable time, the Contractor shall advise the COTR or designated DOCR official immediately. The COTR or designated DOCR official shall attempt to resolve the delay and shall advise the Contractor on how to proceed. The Contractor shall document all requests for COTR or designated DOCR official assistance in resolving agency or complainant delays encountered. If the Contractor fails to submit the EEO complaint accept/dismiss recommendation, including the required documentation and draft acceptance/dismissal letter, or the ROI within the required time frame or extension provisions specified herein, the Contractor will be subject to loss of payment or fees according to the following schedule. Penalties for Non-Compliance EEO Complaint Acceptance/Dismissal Recommendations Time Beyond Due Date Monetary Penalty Three (3) calendar days beyond due date 50% of original fee Five (5) calendar days beyond due date 100% of original fee EEO Complaint Report of Investigation (ROI) Time Beyond Due Date Monetary Penalty Ten (10) calendar days beyond due date 20% of original fee Twenty (20) calendar days beyond due date 40% of original fee Thirty (30) calendar days beyond due date 70% of original fee Forty (40) calendar days beyond due date 100% of original fee VIII. REPLACEMENT OF CONTRACTOR PERSONNEL The Contractor shall monitor the work of its personnel to ensure objectivity throughout the review and analyses of EEO complaints in order to make a recommendation for their acceptance/dismissal. Likewise, the Contractor shall monitor the work of its personnel to ensure objectivity in the investigation of EEO complaints. If the Contractor determines that a staff member assigned to perform DOT work may be biased toward the agency or the complainant, the Contractor must remove the staff member and assign another staff member in his/her place. If a change is necessary, the Contractor must immediately advise the COTR or designated DOCR official of the change. The agency may, at any time, demand removal of a Contractor staff member where the COTR or designated DOCR official determines that work products associated with EEO accept/dismiss recommendations or investigations are consistently unacceptable or where facts demonstrate that the Contractor Investigator is biased toward the agency or complainant, or has jeopardized the investigation through his/her actions. IX. DELIVERABLES A. EEO Complaint Acceptance and Dismissal Recommendation (1) Draft Acceptance/Dismissal Recommendation. For each Contractor assigned EEO complaint of discrimination for review and analysis, the Contractor shall provide a recommendation to accept or dismiss, either totally or partially, the claim(s) alleged by the complainant. This includes providing the required justification documentation and draft acceptance/dismissal letter in the format provided by the COTR or designated DOCR official within five (5) calendar days after receipt of the file. Upon receipt, the agency shall have two (2) calendar days to accept, reject, or request modification(s) to the work products and provide comments to the Contractor. If corrections or changes are necessary, the Contractor shall forward the corrected work product(s) to the COTR or designated DOCR official within two (2) calendar days after receipt of the COTR's or designated DOCR official's comments. The Contractor shall provide a CD disc, in Microsoft Word format, containing deliverables. (2) Final Acceptance/Dismissal Recommendation. For each assigned EEO complaint of discrimination, one original and four copies of the acceptance/dismissal letter, along with justification documentation, are required and shall be provided to the COTR or designated DOCR official. If the draft acceptance/dismissal letter is accepted, as submitted then one original and three copies of the final acceptance/dismissal letter are required. B. EEO Complaint Report of Investigation (ROI) (1) Draft ROI. For each complaint investigated, one copy of the draft ROI shall be provided to the COTR or designated DOCR official within forty-five (45) calendar days of approval of the Investigative Plan (IP). The agency shall have five (5) calendar days after receipt of the draft ROI to accept, reject, or request modification(s) and provide comments to the Contractor. If corrections are necessary, the Contractor shall forward the corrected copy of the report to the COTR within ten calendar days after receipt of the COTR's or designated DOCR official's comments. The Contractor shall provide a CD disc, in Microsoft Word format, containing deliverables. (2) Final ROI. For each complaint investigated, one original and four copies of the final ROI are required and shall be provided to the COTR or designated DOCR official. If the draft report is accepted, as submitted, then one original and three more copies of the final ROI are required. The original copy shall be marked or stamped "original." Additionally: a. If multiple complaints from one complainant have been consolidated, in accordance with 29 CFR §1614, then the Contractor will issue one consolidated report of investigation with copies. b. If complaints from more than one complainant have been consolidated, in accordance with 29 CFR §1614, then the Contractor will issue one set of reports of investigation for each complainant. C. Supplemental Investigation. If a complaint is remanded for a supplemental investigation that was initially investigated by the Contractor, the same Contractor shall perform the supplemental investigation at no additional cost to the agency. The COTR or designated DOCR official shall specify the delivery date of the supplemental investigation report. Within five days of receipt of the supplemental investigation report, the COTR or designated DOCR official shall accept, reject, or request modification to the report. In cases of either rejection or modification, the Contractor shall make the changes at no additional cost and shall forward the revised report to the COTR or designated DOCR official within five (5) calendar days of receipt of the COTR's or designated DOCR official's comments. D. Sanitization of ROI. Copies of both draft and final reports shall be sanitized as follows: The date of birth (unless applicable), home address, home telephone number, and social security number for all witnesses and other individuals (e.g., applicants for a position) shall not be released. The original and one copy shall remain unsanitized. E. Additional Copies of ROI. As noted above, the Contractor shall provide one original and four complete copies of the investigative file. Additional copies of reports ordered (at the contractor's standard fee) prior to delivery of the final report shall be due simultaneously with the final report. F. ROI Content and Format. The content and format of the Report of Investigation (ROI) shall be in accordance with EEOC MD 110 and the specific file content and format requirements of DOT as described below. The Contractor shall complete all tasks involved in preparation of the investigative file. Completed reports will be assembled in numerical order as shown below, using tabs and sub-tabs. Each volume of a report shall be labeled using the complainant's name, volume number and agency name. Each report volume shall not exceed two inches of thickness; shall be identified as either DRAFT REPORT or FINAL REPORT; and shall have a non-tearable cover. The report shall be securely bound and fastened. The ROI shall be arranged as follows: (1) Title Page, including the case number, the complainant's name, the modal administration, and the specific DOCR facility responsible for the investigation. (2) Summary of the investigation, including a typed factual summary of the investigation signed and dated by the Contract Investigator. All pages should be numbered. The summary should include the following elements: a. Description of the complaint and the investigation. b. Background information, including relevant workforce statistics. c. Statement of the claims/allegations and basis(es) accepted for investigation, including a reference to the relevant statute(s) and regulations(s). d. Separate discussion of each claim/allegation with reference to the appropriate exhibits by relevant page number. This discussion should tell the story of what happened regarding the claims/allegations accepted for investigation. e. Brief comparative analysis of the treatment of complainant and members of complainant's protected group as compared with the treatment of others not in complainant's protected group, who are similarly situated to complainant in the organizational segment ("Title VII Analysis"). f. Case index, including a list of the contents of the file by tab and sequential page number. Individual documents under each tab should be consecutively numbered in addition to being identified as part of the tab (For example, A-1, A-2, etc.). (3) The tabs should be organized as follows: •· Tab A: The formal complaint and documents submitted by the complainant. •· Tab B: The EEO counselor's report, documents generated in the informal process and the Notice of Right to File a Formal EEO Complaint. •· Tab C: Notice of the claims/allegations to be investigated and a copy of any other documents bearing on the delineation of the claims/allegations. •· Tab D: Documentation of attempts at informal resolution. •· Tab E: Documentation of appellate activity and any decisions affecting the processing of the complaint, e.g., remand of a dismissal. •· Tab F: Evidence, documents, affidavits, and interrogatories in a logical order, with documents further separated by numerical tabs as necessary. •· Tab G: Statistical Information and other miscellaneous material. •· Tab H: A Privacy Act Notice shall be placed on the front hard cover of each copy of an ROI. It shall read as follows: NOTICE: ALL INFORMATION CONTAINED IN THIS REPORT IS PROTECTED BY THE PRIVACY ACT OF 1974 AND MUST BE DEALT WITH ACCORDINGLY. When not in use, it is to be stored in a locked cabinet or secure area. It must be disposed of properly. Employees who violate the privacy safeguards may be subject to disciplinary actions, a fine of up to $5,000, or both (P.L. 93-579). •(4) Affidavits shall be tabbed, in the format specified in this guidance, and type, double-spaced, on 8.5" by 11" paper, and shall give the affiant's statement in the form specified by the agency. •(5) Space for the affiant's initials and page number shall be provided at the bottom of each page. •(6) The affiant shall be permitted to make any necessary corrections to his/her statement and shall be required to initial each page and sign the final page of the affidavit. •(7) If the affiant makes substantial changes, the Contract Investigator shall retype the affidavit and obtain the affiant's signature. (8) Completed affidavits are to be signed by the witness. (9) In all cases where there is disagreement between the complainant's position on the accepted issue(s) and management's articulated reasons for its action(s), a rebuttal affidavit should be obtained from the complainant. If the complainant chooses not to provide a rebuttal affidavit, the record should contain a statement to that effect. (10) Upon request, the affiant shall be given a copy of his/her affidavit. (11) Documentation relevant to the claims/allegations and basis(es). Each document shall be tabbed and/or sub-tabbed. Additionally: •a. The report should include all relevant information. •b. Should the Contractor choose not to include an entire solicited document or material offered in evidence by the complainant, or a witness, in the Investigative File, the Contractor shall state the reasons for the exclusion in writing in the report. For example, if a complete manual is offered in testimony, the Contractor may include only the relevant portions of the manual in the file. The Contractor shall return unused documents to the party or parties who furnished the documents. Documents shall only be included in the file once. If a document is appropriate to two or more locations a reference shall be included for each additional location stating what the document is, and where it is filed. •c. The following kinds of information are privileged and normally should not be included in the investigative file: 1. Classified Information: and 2. Documents or reports received from individuals who are not the releasing authority or custodian for that particular document or report. •d. If the Contract Investigator determines that any of the information described in c above is essential to an investigation, he/she shall inform the COTR or designated DOCR official. The COTR or designated DOCR official shall advise the Contract Investigator concerning what steps to take. G. Computation of Time. All time periods specified in this Statement of Work are stated in terms of calendar days unless otherwise stipulated. The first day counted shall be the day after the contract award date and the last day of the time period shall be included, unless it falls on a Saturday, Sunday or Federal holiday, in which case the period shall be extended to the next business day. H. Contracting Officer Technical Representative (COTR). Normally, this is the appropriate DOCR official with organizational responsibility over the EEO complaint to be investigated. I. Conflict of Interest. 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 of the potential, perceived or real conflict of interest, and the Contractor and/or Contract employee shall cease all work on or reassign the task or proceed at the discretion of the agency. With the approval of the COTR or designated DOCR official, the Contractor may provide an acceptable replacement Contract employee. J. Contractor Staff. The Contractor shall forward to DOCR, a listing of all Contract employees that the Contractor proposes to use. This listing shall include names, location and a short biography of the Contract employee. K. Confidentiality. The administrative file and ROI contain personal data that is to be treated in a confidential manner. Use is restricted to DOCR and contracting staff directly involved in reviewing and analyzing EEO complaints to make accept/dismiss recommendations or investigations. When not in use, EEO complaint acceptance/dismissal documentation, administrative files and ROIs are to be stored in a locked cabinet or secure area, and must be disposed of properly. L. Meetings. The Contractor shall meet with the COTR or designated DOCR official at least twice a year to discuss the Contractor's performance and/or other areas of mutual interest. X. PAYMENT FOR ON-SITE CONTRACT SERVICES A. Payment shall be based on direct labor hours at a specified fixed hourly rate. B. The Contractor shall prepare an individual invoice and submit all original invoices to: U.S Department of Transportation FAA Accounts Payable Branch, AMZ-110 P.O. Box 25780 Oklahoma City, OK 73125 C. Authorization of invoice payments shall be made upon approval by the COTR or designated DOCR official. D. All invoices shall contain the correct extended modification number, if appropriate (a modification number is an extended number added to the contract number when a contract has been amended). E. All invoices shall be submitted timely to avoid accruing interest. XI. PAYMENT FOR OFF-SITE CONTRACT SERVICES A. Standard Payments (1) Submit all original invoices directly to: U.S Department of Transportation FAA Accounts Payable Branch, AMZ-110 P.O. Box 25780 Oklahoma City, OK 73125 (2) Authorization of invoice payments shall be made after approval of accept/dismissal recommendation or ROI by COTR or designated DOCR official. (3) All invoices must contain the correct contract number and correct extended modification number, if any, (a modification number is an extended number added to the contract number when a contract has been amended). (4) Prepare an individual invoice for each EEO complaint accept/dismiss recommendation or individual case investigated. If an investigation complaint has been consolidated, include all information on one invoice. In addition, travel costs (if authorized) must be included on the same invoice as that submitted for the investigative work, to include all original travel vouchers and receipts. All original travel vouchers and receipts must be submitted with the invoice. The COTR or designated DOCR official must approve all travel costs in advance if he/she authorizes the travel (see On-Site Visits). B. Partial Payments (1) If an EEO complaint assigned for an accept/dismiss recommendation or investigation is terminated through no fault of the Contractor, payment for the accept/dismiss recommendation or investigation will be a prorated amount equal to the percentage of work completed by the Contractor. (2) A percentage payment guideline has been established to determine the amount of payment due for work completed by the Contractor. The Contractor may bill the agency up to these percentages for work conducted up to the various stages of the accept/dismiss recommendation or investigation. Please note that these are "Not to Exceed (NTE)" amounts and require specific justification for any amount billed. If, however, the EEO complaint is withdrawn or settled prior to the issuance of the accept/dismiss recommendation or completion of the investigation by the Contractor, payment for the accept/dismiss recommendation or investigation will be prorated based on the "Partial Payment Guidelines" specified in XII below. XII. PAYMENT GUIDELINES FOR PARTIAL EEO COMPLAINT ACCEPTANCE/DISMISSAL RECOMMENDATIONS AND INVESTIGATIONS A. Acceptance/Dismissal Recommendation. Invoice Payment Task NTE EEO complaint withdrawn or settled : Up to the review and analysis of the 60% EEO complaint and documentation of recommendation findings. Up to the preparation of draft acceptance/ 70% dismissal letter and prior to sending acceptance/dismissal letter and justification documentation to COTR or designated DOCR official for approval. Draft acceptance/dismissal letter and 90% justification documentation sent to COTR or designated DOCR official for approval. Draft acceptance/dismissal letter and 100% justification documentation approved and final version of acceptance/ dismissal letter sent to COTR or designated DOCR official. B. EEO Complaint Investigation. Task Hours NTE Total Up to and including preparation 7.5% 7.5% 3 of IP : Reviewing file, determining appropriate prima facia case law and preparing IP. Up to the on-site : After approval 7.5% 7.5% 3 of IP, preparing interrogatories, making appointments and similar arrangements. On-site investigation : Withdrawal/Settlement after First day 15% 30% 8 Second day 15% 45% 8 Third day 15% 60% 8 Draft Report of Investigation : 10% 70% Withdrawal/Settlement after completion of investigation, but prior to sending draft ROI to COTR or designated DOCR official. Draft ROI sent to COTR or 20% 90% 8 designated DOCR official. Draft ROI approved and 10% 100% 2 final version sent to COTR or designated DOCR official. Total Hours: 40 Revised Feb 2010 4/18/06 S-34 SOW New Apr 06
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R -- EEO Investigative Support Services for DOT's Departmental Office of Civil Rights