1B02 Maintenance of the Compliance Management System

Investigators must maintain a case for each scheduled compliance evaluation in the Compliance Management System (CMS). Investigators must add information and documents to the appropriate CMS file throughout the compliance evaluation. If enforcement becomes necessary, Investigators provide the compliance evaluation to the Solicitor’s Office for further action. It is critically important that all information obtained, observed or reported be part of CMS and remain there through case closure.

Therefore, Investigators must be sure that CMS contains all documents obtained or generated during the compliance evaluation, not just the material that supports the conclusions reached. For example, CMS should include both evidence that supports the Investigator’s violation findings, as well as evidence that supports the contractor’s rebuttal. CMS must contain all contractor records and unaltered copies of all email correspondences in paper or electronic format. Drafts of OFCCP memoranda are not included in CMS. Investigators retain only final versions of agency memoranda.

If an Investigator is submitting a case for enforcement, a Transmittal Memorandum, as discussed in Chapter 8 of this Manual on the resolution of noncompliance, must be in the appropriate file of CMS. A complete copy of at least one contract or subcontract establishing coverage during the entire period at issue is also required, continuing to the present, if available. Additionally, the enforcement submission must include copies of all relevant analyses, properly labeled, in electronic format. Below is a non-exhaustive list of files that should be included in CMS, as relevant:

• Investigator notes, worksheets and analyses, including any regression analyses;
• Witness statements that are appropriately labeled;
• Contractor records;
• Any contract coverage information provided by the national office’s Division of Program Operations (DPO) or copies of contracts;
• EEO-1 reports;
• Contractor extension requests for the AAPs and OFCCP responses, including extensions of time frames in a consent decree;
• All communications related to the compliance evaluation, including data and record submissions, information gathering and interviews, and any material resulting from contacts with third parties such as other government agencies or local interest groups;
• Closure documents, such as a CA including any previous CAs generated by any past reviews of this establishment;
• Copies of any collective bargaining agreements, fringe benefits and leave policy booklets, employee handbooks, apprenticeship or training agreements and any other similar contractor documents relevant to the establishment reviewed;
• Solicitor’s Opinions and memoranda associated with the review;
• Preaward Clearance Request letter and other related materials;
• Transmittal memoranda and additional conciliation efforts. For example, a record of any later conciliation efforts by the district office, regional office and national office, as appropriate, along with the results of those efforts;
• Progress reports the contractor submitted under a CA, along with OFCCP’s evaluation of those reports contains; and
• The contractor’s AAPs and Itemized Listing data evaluated in the review.