6D05 Case File

Upon receiving a complaint to investigate, a CO establishes a case file. COs should maintain all documents, correspondence, interview notes and records of contact, including emails and telephone calls, pertaining to the complaint in this file. When the investigation is complete, the case file should contain sufficient documentation to support either an enforcement recommendation based on a finding of a violation(s) or a decision to close the complaint investigation based on a finding of no violation.

a. Maintenance of the Case File. Regarding the maintenance of records, COs should follow the general principles below:

• Date all telephone, email and written communications; identify who participated in the communication by name and position; and accurately reflect any agreed upon commitments.
• Keep all documents from the complainant, contractor or others in their original condition. COs should make copies and label documents as copies if they need to make alterations to or notes on a document.
• Use the case file to document and maintain all interview statements, whether the interview is conducted in person or by telephone, or some other electronic means. COs should record statements or observations as soon as possible after the conclusion of the interview or observation. The interview statement must note the name and title or position of the person conducting the interview, the name and position of the person interviewed, when and where the interview took place and the names of any other people who may have been present (e.g., legal counsel, a personal representative or interpreter).
• Record newly obtained information or observations in clearly legible writing or, preferably, in an electronic format. COs should type handwritten notes for the case file.
• Create and clearly label a section in the case file for all evidence, including evidence that supports conclusions the CO draws regarding the complaint allegations. Supporting evidence may include CO notes, worksheets, contractor data or documents and any other materials relating to an allegation.
• Keep all records and information regarding a complaint investigation confidential.

b. Case File Contents. The case file will contain seven separate files labeled as follows and containing the listed contents.322 COs should cross reference the files, as appropriate. Only the final versions of documents created by the CO or other OFCCP staff should be included in the case file, not drafts of documents.

1. Complaint and Data Submitted by the Complainant. This file will contain the complaint (e.g., the completed CC-4 form) and any documentation or information the complainant submitted, including the envelope used to mail the complaint. Documents may include, for example, any informal letter of complaint, list of witnesses, and supporting documents. These items should be on the right side of the file folder.

On the left side of the file folder, the CO should place a copy of the complaint report sheet for the establishment that he or she obtained from CMS (i.e., the CC-58 report). Underneath this form, the CO should include any CMS extensions requested during the investigation and responses.

2. Case Chronology, Correspondence and Meeting Notes. This file contains all correspondence and any attachments. This includes, for example, any materials from contacts with the contractor, union, witnesses, and consultants. It may also include memos to file, but not investigative notes the CO prepared and used in reaching factual and legal determinations. Correspondence should be in chronological order with the most recent on top.

The Case Chronology Log (i.e., the CC-53 form) will be attached to the left side of the file and placed on top. The CO shall maintain the Case Chronology Log electronically, as described in FCCM 1B01.323

3. Investigative Material. This file will contain the investigative materials. The CO should index and tab the materials. The file should contain the following materials:

• The Investigative Plan;
• The Investigative Report;
• All interview statements;
• The CO’s investigative notes;
• Any statistical evidence;
• Any comparative evidence; and
• Any anecdotal evidence.

These materials may be voluminous. If so, the CO may appropriately label, tab and index separate folders to contain the materials.

4. Medical/Veteran Documentation: This file, organized with an index and tabs, will contain any necessary protected veteran status documentation and pertinent medical documentation, if any. The documents should have labels clearly stating the source of the information (e.g., complainant, contractor third party). The CO must label and treat File 4 Medical/Veteran Documentation as “confidential.” The file should contain, where appropriate:

• Medical releases (these will not be needed in most cases);
• Proof of protected veteran status under VEVRAA, if VEVRAA allegations are present (such as the DD-214);
• Proof of disability or of limitations due to a disability, if pertinent to the case; and
• Work restrictions.

5. Legal: This file will contain any documents related to legal activity, including:

• Notice of Investigation Report (place on top);
• CA (on top of report, when complete);
• Solicitor’s Opinion;
• JRC meeting notes and reports;
• FOIA and Privacy Act determinations;
• Enforcement recommendations; and
• Jurisdictional and contract coverage information (on the bottom).

6. Employment Handbooks, Collective Bargaining Agreement (if applicable) and Miscellaneous. On the right side of this file, organized by an index and tabs, will be copies of any relevant collective bargaining agreements, employee handbooks, benefits and leave policy materials, and any similar contractor materials. The CO should place any items that are not otherwise listed and contained in other case file sections here.

7. Historical Review Results. This file will contain copies of any available closure letters and documents from previous complaint investigations of this establishment. The CO should note pertinent information regarding compliance evaluations of the establishment here, as well as include the closure letter for the current investigation.

The district office should maintain the historical file indefinitely. If the district office conducts another investigation of the establishment, this file becomes a part of the new investigative file. If the district office is going to retire the case file, the district office should remove and retain the historical file while filing the remainder of the case file.