6E05 Compliance Management System (CMS)

Upon receiving a complaint to investigate, OFCCP establishes the case in CMS. Investigators should maintain all documents, correspondence, interview notes and records of contact, including emails and telephone calls, pertaining to the complaint in CMS. When the investigation is complete, CMS 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 CMS. Regarding the maintenance of records, Investigators 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. The information should be kept in Case Correspondence.
• Keep all documents from the complainant, contractor or others in their original condition. Investigators should make copies and label documents as copies if they need to make alterations to or notes on a document. All physical documents should be scanned and uploaded into CMS and then stored in one physical file.
• Use CMS to document and maintain all interview statements, whether the interview is conducted in person or by telephone, or some other electronic means. Investigators 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. Investigators should type handwritten notes and upload them to CMS.
• Clearly identify and categorize all evidence, including evidence that supports conclusions the Investigator draws regarding the complaint allegations. Supporting evidence may include, worksheets, contractor data or documents, statistical, comparative or anecdotal evidence and any other materials relating to an allegation.
• Get copies of pertinent medical and veteran documentation. This can include medical releases, proof of protected veteran status under VEVRAA, if VEVRAA allegations are present (including the DD-214), proof of disability or of limitations due to a disability, if pertinent to the case, and work restrictions.
• Keep all investigatory materials. This includes the investigative plan, the investigative report, and any Investigator notes.
• Keep all records and information regarding a complaint investigation confidential.