6E Investigating the Complaint
If the regional office decides to retain and investigate complaint allegations, it will assign the complaint to the field office located in the jurisdiction of the establishment or construction site where the alleged discrimination occurred. When transmitting a complaint to a field office for investigation, the regional office will include all attachments to the complaint and all correspondence sent during complaint perfection via CMS. The complaint will indicate under which law(s) the complaint is filed (i.e., Executive Order 11246, Section 503 and/or VEVRAA) and the basis or bases for the complaint (race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, retaliation, or inquiring about, discussing or disclosing pay). If the complaint alleges noncompliance with EO 13496, the Investigator should follow the procedures described in Directive 2010-01, “Verification Procedures under E.O. 13496, Notification of Employee Rights under Federal Labor Laws, and the Department of Labor’s Implementing Regulations at 29 C.F.R. Part 471”.
After receiving the assignment, the Investigator will begin to investigate the complaint.
6E01 Timely Completion of Investigation
The field office must take all necessary steps to complete the complaint investigation within 60 calendar days of receiving the assignment from the regional office. The Regional Director may grant an extension of this period if the field office shows good cause. The extension, if granted, should not exceed 60 days; this results in a total of no more than 120 calendar days to complete the complaint investigation. Examples of good cause include, but are not limited to, complex legal issues, unavailability of witnesses, untimely responses from the contractor or the number of complainants. The regional office must document the request for extension as well as the disposition of that request.
6E02 Correspondence
The Investigator should address all letters, including the 10-Day Notice Letter, concerning a complaint to the senior official at the appropriate contractor establishment, or to the contractor’s authorized representative, with a copy for the CEO at the corporate address, except when the contractor is a single location establishment. The Investigator should send the letters by certified mail, return receipt requested, or by email with read receipt requested, and retain the documentation certifying receipt of the correspondence. Investigators and contractors can find additional information regarding authorized representatives in Section 6E04.
For the complainant or the complainant’s authorized representative, the Investigator will send correspondence related to the complaint via certified mail, return receipt requested, fax or email. If by fax or email transmission, the Investigator should take steps to ensure confidentiality. The Investigator should maintain documentation that certifies the correspondence was received.
6E03 Notifying the Contractor and Complainant that OFCCP will Investigate the Complaint
At the beginning of the investigation, the Investigator will use Letter L-15, Letter Notifying Contractor of Investigation, to provide the contractor with notice that the complaint is being investigated by OFCCP and include a full copy of the complaint with the notice, except to the extent it contains the types of information described below. The Investigator must also notify the complainant using Letter L-16, Letter Notifying Complainant of Investigation, that OFCCP is investigating the complaint and include a copy of the redacted complaint that was provided to the contractor.
The Investigator will redact the following information so that the remaining text reads as smoothly as possible.
- The name and other information that would easily identify someone other than the complainant who might suffer retaliation, be construed as an informer, or suffer embarrassment or other unwarranted invasion of privacy.
- Obscene or inflammatory language, unless it is relevant to the allegations.
- Names and allegations against more than one company. The Investigator should delete the name and allegations against company #1 from the complaint copy provided to company #2, and vice versa.
- Identifying characteristics of individuals in a complaint submitted by an authorized representative (e.g., description of unique characteristics, unique job title or position) if the individual has not signed the complaint or authorized release of their identity.
However, if the necessary redactions are so extensive as to make the complaint incomprehensible, the Investigator may prepare a complaint summary to forward to the contractor.
6E04 Counsel or other Representation
A contractor or complainant may designate an attorney or other representative as their contact person with OFCCP prior to or during a complaint investigation. Such designation shall be at the initiation of the contractor or complainant being represented.
a. Written Designation. The designation of a representative must be in writing by the contractor or complainant to an OFCCP District or Regional Director. Either the complainant or the senior official of the contractor must sign the written designation letter. If the field office receives notification of the designation in a form other than in writing, the Investigator should contact the requester (contractor or complainant) and advise them of the necessary written designation letter. The correspondence should provide the name, address, telephone number and email address of the representative. In addition, the correspondence should clearly describe the extent of the representative’s authority, specifically:
- If all contacts, including routine contacts to make appointments or to clarify submitted data or other information, should go through the representative;
- If the representative has the authority to negotiate settlements for the contractor or complainant; and
- If the Investigator should mail correspondence to the representative only, or if they should mail copies to the contractor or complainant as well.
The Investigator should send to the highest-ranking management official of the company a courtesy copy of all substantive documents that this Manual requires to be mailed to the contractor, even if the contractor designates a representative.
b. Duration of Designation. Unless the contractor or complainant indicates otherwise in the written designation letter, the designation shall only be for the duration of the complaint investigation and any applicable enforcement period.
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.
6E06 Additional Allegations during the Investigation
If the Investigator uncovers additional allegations involving the complainant during the investigation, the Investigator should either request the complainant submit a new complaint form (CC-4) or amend the existing complaint (i.e., request a written statement about the additional allegations). In either instance, the Investigator must notify the contractor in writing with Letter L-11 – 10-day Notice or Closure to Employer/Contractor and provide the contractor with the opportunity to respond to the allegations.
If the field office has not initiated an on-site investigation of the original complaint or if the basis of the new allegation(s) is the same as the original complaint or the new allegations are related (i.e., retaliation), the Investigator should recommend the complainant amend the original complaint. Investigators can do this by obtaining a written statement from the complainant describing the additional allegations and attaching it to the original complaint.
If the field office has already initiated the on-site investigation and is otherwise near concluding the investigation of the original complaint, OFCCP may prefer to not prolong the existing investigation and the Investigator should recommend the complainant submit a new complaint form (CC-4), noting in the “Complaint Description” section the new allegations; however, written statements from the complainant will be accepted. The new allegations and complaint will follow through OFCCP’s perfection process.
Again, in either instance, the Investigator must notify the contractor in writing with Letter L-11 – 10-day Notice or Closure to Employer/Contractor and provide the contractor with the opportunity to respond to the allegations.
If the field office identifies additional allegations during the investigation that do not involve the complainant but are related to the basis of the complaint (e.g., OFCCP finds additional individuals with disabilities who were denied reasonable accommodation based on the same problematic policies) the field office should consult with RSOL on the appropriate next steps.