6C Pre-Complaint Inquiry
The pre-complaint inquiry is an optional procedure in which a person submits information to OFCCP and learns if OFCCP will investigate the allegations if a formal complaint is filed or if the allegations are best directed to another agency. For these purposes, a person can be an applicant, employee, or an authorized representative, such as a family member, personal representative or union representative. A person can file a pre-complaint on behalf of an individual or a group. Unlike when the agency receives a complaint, OFCCP's pre-complaint inquiry does not require OFCCP to notify the employer. Instead, the agency evaluates whether it is likely to investigate a potential complaint and notifies the submitter, or potential complainant, of that decision before an actual complaint is filed. Therefore, if OFCCP is unlikely to investigate the issue, the employer is not notified, which may protect the submitter from potential retaliation.
An individual or an authorized representative may submit a pre-complaint inquiry with OFCCP by completing the Pre-Complaint Inquiry for Employment Discrimination Involving a Federal Contractor or Subcontractor Form (CC-390) and submitting it online, by mail, fax, email or in person. Submitters may also contact OFCCP via telephone for assistance in completing the pre-complaint inquiry form. Employees and applicants may file a pre-complaint inquiry with OFCCP under any of the authorities OFCCP enforces, including alleging discrimination or alleging other violations of OFCCP’s laws and regulations as explained in Section 6B.
A submitter may skip the pre-compliant inquiry process and proceed directly to the complaint process. If a submitter chooses to do that and submits the OFCCP Complaint Form (CC-4), proceed to Section 6D.
6C00 Receipt of Pre-Complaint Inquiry
Whenever any OFCCP field office receives a pre-complaint inquiry by paper, the office must immediately stamp the date of receipt on the inquiry and enter the date and time of receipt into office records. This date will serve as the filing receipt date. The receiving office, if not a regional office, must immediately send the pre-complaint inquiry to the appropriate regional office.
If the regional office receives a pre-complaint inquiry submitted online, CMS automatically creates an electronic file for the inquiry. If the regional office receives a paper pre-complaint inquiry, the intake personnel will create an electronic file in CMS. Investigators responsible for perfection must determine the receipt date and advise the submitter if they have 60 days or fewer to file a formal complaint, in which case the Investigator should advise the submitter to bypass the pre-complaint inquiry process and file a formal complaint.
6C01 Who May File a Pre-Complaint Inquiry
Any individual or group may file a pre-complaint inquiry. An authorized representative (e.g., a family member, personal representative, or union representative) may also file a pre-complaint inquiry on behalf of an individual or a group. When an authorized representative submits a pre-complaint inquiry, the inquiry need not identify by name the person(s) on whose behalf the inquiry is submitted. However, the authorized representative must then separately provide OFCCP with the name, address and telephone number of the person(s) on whose behalf the inquiry is submitted, in addition to any other information that will help OFCCP make a determination that it would investigate the allegations, such as documentation of protected veteran status. OFCCP will make every effort to obtain this information during the pre-complaint inquiry perfection time frame.
6C02 Pre-Complaint Inquiry Perfection
The regional office will ensure the pre-complaint inquiry is perfected within 15 calendar days of receiving the inquiry. During pre-complaint inquiry perfection, the Investigator determines the timeliness of the inquiry; contract coverage; whether the allegations are covered by any of the authorities OFCCP enforces; the likeliness of retaining, referring or bifurcating the inquiry; and whether sufficient information was obtained. Pre-complaint inquiries that are retained are automatically reviewed by the jurisdiction team within the Division of Program Operations. Documents that are obtained during perfection should be uploaded in CMS.
6C03 Pre-Complaint Inquiry Disposition
If OFCCP determines it will likely investigate the matter raised in the pre-complaint inquiry, the Investigator should instruct the submitter to file a formal complaint using Form CC-4 and inform the submitter that, unlike the pre-complaint inquiry, the employer will be notified of the complaint and subsequent investigation. The Investigator should also inform the submitter of the anti-retaliation protections OFCCP affords. OFCCP staff should inform submitters of the online complaint form (CC-4 form) on OFCCP’s website if possible.
If OFCCP determines it is unlikely to investigate the matter, the Investigator should inform the submitter and provide the reasoning for the determination. If OFCCP lacks jurisdiction over all or some of the issues raised in the inquiry, the Investigator should refer the inquiry to the proper agency using Letter- 43 Pre-Complaint Inquiry Referral and provide the submitter with the information on the referral. If the issues raised are untimely or otherwise not within OFCCP’s authority, the Investigator should explain to the submitter why OFCCP will likely not investigate the matter.
Investigators should inform the submitter of the disposition using Letter- 42 Notice of Pre-Complaint Inquiry Disposition.
Once perfection is complete and a disposition determination is made, the Investigator should ensure all documentation is uploaded into CMS and recommend closing the pre-complaint inquiry.