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1. Introduction. This chapter provides procedures and guidance for maintaining investigative files. There are special rules required for maintaining investigative files obtained through the grand jury. Please refer to Chapter 52, paragraph 14, for further guidance on this issue. EBSA maintains an electronic database to record certain case activity. Instructions for that database are provided separately.
2. Investigative Files. Investigative files will be
maintained in the following manner:
a. Opening and Retaining Files. A case file must be opened
each time an EBSA investigation is initiated. Case files will
be given a sequential case number. Each RO shall establish
guidelines under which files may be removed from the RO/DO
file cabinet so that the Investigators/Auditors can retain
them in their offices while working on the cases.
b. Maintaining Investigative Files. All material received
during the course of the investigation including, but not
limited to, reports of interview, statements, documentary evidence, memoranda, and correspondence, will be placed in
the case file as soon as possible and maintained there at all
times. Investigators/Auditors may make copies of documents
they may need to continue the investigation. Ledger sheets or
other bulky material which cannot suitably be filed in the
case file may be placed in a separate wallet-type folder or
other suitable file. This will contain the case number of the
file.
c. Electronic Information. All material received during the
course of the investigation that is in electronic form will be
placed in the case file as soon as possible and maintained
there to ensure authentication and prevent alteration. If the
electronic information is received on a storage medium that
can be easily placed in the case file, such as a disk or
CD-ROM, the storage medium will be appropriately stored,
marked, and maintained in the case file. If the electronic
information is received in a manner that cannot be easily
placed in the case file, such as a hard drive or server, the
storage medium will be appropriately stored, marked, and kept
in a suitable location, and referenced in the case file. If
the electronic information is directly received in electronic
form, such as e-mails or e-mail attachments, the electronic
information will be transferred to an appropriate storage
medium that will be maintained in the case file.
d. Withdrawal of Files. In order to ensure their integrity,
case files should not be removed from the RO/DO without the
prior written approval of the RD, the Deputy Regional
Director, or the District Supervisor. In the event such
approval is received and documents are removed, the
Investigator/Auditor must document the chain of custody and
control of the files and include such documentation within the
case file.
3. Case Assignment and Control. Each RO shall have a system
for case assignment and control. If the RO maintains an
inventory of cases opened but not assigned to an
Investigator/Auditor, the RO's system shall list the case as
assigned to the Group Supervisor, District Supervisor, or RD
Designee.
a. Case Control. When supervisory review of case files is
performed, handwritten administrative notations may be made on
the inside of the file covers or in another appropriate,
easily referenced manner. Notations will include date of file
review, progress of investigation, and other data, which might
aid the RD or supervisor in overall supervision and control of
the case.
b. Investigator/Auditor Assignment File. The RO will
maintain a record of case assignments by Investigator/Auditor
name with a further breakdown between those assignments, which
are active, and those that are completed. This record will be
useful in determining the current workload of employees and in
periodically reviewing their assignments.
c. Investigator/Auditor Assignments. When a case is
assigned, the Investigator/Auditor will be advised of the
assignment and provided with a copy of the case opening
documents.
d. Auxiliary Investigations. The RO will maintain a system
to identify and manage auxiliary investigations.
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