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Office of Federal Contract Compliance Programs (OFCCP)
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OFCCP Directive
Transmittal Number: 256
DATE: June 4, 2002
OFCCP ORDER NO.: FCCM Notice/CH 6
(Signed) Charles James
Charles E. James, Sr.
Deputy Assistant Secretary for Federal Contract Compliance
June 4, 2002
APPENDIX 6F
CASE FILE FORMAT FOR COMPLAINT INVESTIGATIONS
A case file format consisting of the following files will be used for all complaint investigations:
FILE #
GENERAL INSTRUCTIONS
Each file will contain the material indicated herein. Where the material in a file is voluminous, appropriately labeled (e.g., file 1A, 1B, etc.) additional files may be used. As a general rule, whenever there are ten (10) or more separate documents in a file, an index should be prepared and placed in front of that file. If the file is being submitted for enforcement, it must be prefaced by the Transmittal Memorandum discussed in Manual Appendix 8A, and by a copy of at least one contract or subcontract establishing coverage during the time period at issue. Note that in an enforcement case, it is particularly important that all documents obtained or generated as a result of the complaint investigation are in the case file (do not, however, include drafts of OFCCP memoranda that have a later final version). Remember also to keep a complete copy of all files submitted for enforcement in the appropriate OFCCP office.
6F-1
APPENDIX 6F
FILE 1 - COMPLAINT AND DATA SUBMITTED BY COMPLAINANT
This file will contain any information submitted by the complainant including the envelope. This includes material such as:
Attached to the left side of this file will be, on top, CRIS Form CC 100A and underneath it:
FILE 2 - CASE CHRONOLOGY, CORRESPONDENCE AND MEETING NOTES
This file will contain all correspondence including attachments submitted. This includes any such material resulting from contacts with the contractor, union, other potential victims, attorneys, consultants, Congressperson, and memos to file (not investigative notes).
All correspondence should be attached in chronological order. The last correspondence should be on top. Cross-reference other files, as applicable - e.g., correspondence involving interview statement is to be included in File 3. Correspondence involving medical information is to be included in File 4. Correspondence including attachments that are evidence are to be included in File 2.
Attached to the left side of this file will be the Case Chronology Log (CC-53).
6F-2
APPENDIX 6F
FILE 3 - INVESTIGATIVE MATERIAL
This file will contain all investigative material pertaining to complaint findings. Such data include:
Note: These materials will have an index and be tabbed.
FILE 4 - MEDICAL/VETERANS DOCUMENTATION
This file will contain any medical/veterans documentation. Such data include:
NOTE: These materials will an index and be tabbed.
All diagnosis, prognosis and treatment information submitted must be separated identifying whether from the complainant and/or the contractor.
6F-3
APPENDIX 6F
FILE 5 - LEGAL
This file will contain any documents related to legal activity including:
FILE 6 - COLLECTIVE BARGAINING AND MISCELLANEOUS
This file will contain a copy of any collective bargaining agreements, employee handbooks, fringe benefits/leave policy booklets, and any other similar contractor documents. Any documents that do not fit the description of materials to be included in any other file should be placed here. For example:
FILE 7 - HISTORICAL REVIEW RESULTS
This file will contain a copy of any available closure letters and documents (CA, Consent Decree, as applicable) generated by complaint investigations of this establishment, including a copy of the closure letter/document for the current investigation.
IMPORTANT: This historical file will be retained in the DO/AO indefinitely. If another complaint investigation of this establishment is scheduled before case file is retired, the historical file will be removed from the old case file and placed in the new one. If another complaint investigation has not been scheduled by the time this case is to be retired, the historical file will be pulled and retained in the DO/AO when the rest of the case file is retired.
6F-4
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