1B02 Creation and Maintenance of the Case File

COs must create and maintain a case file for each scheduled compliance evaluation. The case file generally consists of various folders. To set up a case file, COs must create individual folders using the below headings.14

• Folder 1: Standard Compliance Evaluation Report (SCER) and Data Pertaining to SCER Findings
• Folder 2: Case Chronology Log, Correspondence and Meeting Notes
• Folder 3: Collective Bargaining and Other Agreements, and Miscellaneous Items
• Folder 4: Solicitor of Labor (SOL) Opinions, Joint Review Committee (JRC)15 Memoranda and Post-SCER Update
• Folder 5: Progress Reports
• Folder 6: Historical Review Results
• Folder 7: AAP and Itemized Listing Data

COs must add information and documents to the appropriate folder throughout the compliance evaluation. If enforcement becomes necessary, COs provide the compliance evaluation case file to the Solicitor’s Office for further action. It is critically important that all information obtained, observed or reported be part of the case file and remain there through case closure.

Once again, maintaining these files is crucial. This maintenance includes labeling the folder and any additional folders or subfolders needed (e.g., Folder 1A, 1B). Labeling is especially useful when the material in a folder is voluminous. COs must arrange the documents in each folder by date, with the most recent document on top unless directed otherwise. COs are required to attach certain documents in each folder to the left or right side of the folder, as indicated below. When there are 10 or more separate documents in a folder, the CO must prepare an index and place it in the front of that folder.

A complete and thorough case file is critically important, especially if enforcement becomes necessary. Therefore, COs must be sure that the case file contains all documents obtained or generated during the compliance evaluation, not just the material that supports the conclusions reached. For example, the file should include both evidence that supports the CO’s violation findings, as well as evidence that supports the contractor’s rebuttal. The case file must contain all contractor records and unaltered copies of all email correspondences in paper or electronic format. Drafts of OFCCP memoranda are not included in the case file. COs retain only final versions of agency memoranda.

If a CO is submitting a case for enforcement, a Transmittal Memorandum, as discussed in Chapter 8 of this Manual on the resolution of noncompliance, must accompany the case file. A complete copy of at least one contract or subcontract establishing coverage during the entire period at issue is also required, continuing to the present, if available. Additionally, the enforcement submission must include copies of all relevant analyses, properly labeled, in electronic format. Remember to keep a copy of all files submitted for enforcement in the appropriate field office. Below is a list of the folders and their content.16

Folder 1: Standard Compliance Evaluation Report (SCER) and Data Pertaining to SCER Findings. This folder contains the SCER and data pertaining to SCER findings, such as:

• CO notes, worksheets and analyses, including any regression analyses;
• Witness statements that are appropriately labeled;
• Contractor records; and
• Other information and records pertinent to the issues investigated.

COs should organize the material according to the relevant SCER issue, and tabs and labels them accordingly. Documents must cross-reference other folders, as appropriate. For example, if a SCER document in Folder 1 also involves or is relevant to a union contract matter, the document in Folder 1 will refer to the union contract placed in Folder 3. COs are required to attach certain documents to the left side of this folder. The CMS Form CC-100A should be placed on top and the following items should be placed underneath:

• Any contract coverage information provided by DPO or copies of contracts;
• CMS forms associated with the review;
• EEO-1 reports;
• Contractor extension requests for the AAPs and OFCCP responses, including extensions of time frames in a consent decree; and
• Preaward Clearance Request letter and other related materials.

Folder 2: Case Chronology Log, Correspondence and Meeting Notes. This folder contains all emails and other correspondence, both internal and external, as well as meeting notes associated with the review. File these items chronologically. COs must preserve all communications related to the compliance evaluation or complaint investigation in this folder, including data and record submissions, information gathering and interviews, and any material resulting from contacts with third parties such as other government agencies or local interest groups.

For ease of reference, the folder must have a tab for the closure document. One closure document is a CA. This document is the written agreement entered into by the contractor and OFCCP that identifies the violations found by the agency and what actions the contractor will undertake to resolve them or prevent the violations from recurring. In the absence of violations, a closure letter is the closure document. Place a copy of the closure document in Folder 6, Historical Review Results.

COs must attach a typed copy of the Case Chronology Log to the left side of this folder.

Folder 3: Collective Bargaining and Other Agreements, and Miscellaneous Items. This folder contains a copy of any collective bargaining agreements, fringe benefits and leave policy booklets, employee handbooks, apprenticeship or training agreements and any other similar contractor documents relevant to the establishment reviewed. COs place into this folder relevant documents that do not fit the description of documents contained in other folders.

Folder 4: SOL Opinions, JRC Memoranda and Post-SCER Update. This folder contains Solicitor’s Opinions and JRC memoranda associated with the review. It also contains any material, other than progress reports, generated after a CO submits the review report such as transmittal memoranda and additional conciliation efforts. For example, a record of any later conciliation efforts by the district office, regional office and national office, as appropriate, along with the results of those efforts, would be filed in this folder.

Folder 5: Progress Reports. This folder contains progress reports the contractor submitted under a CA, along with OFCCP’s evaluation of those reports. COs enter the results of these evaluations on the “Summary of Progress Reports” form. After entering the last report, COs place a copy of the referenced summary in Folder 6, Historical Review Results. COs also log all progress reports in the Case Chronology Log and include consent decrees or other court orders.

Folder 6: Historical Review Results. This folder contains a copy of closure letters and documents, including any previous CAs generated by any past reviews of this establishment, as well as a copy of the closure letter and document for the current review. If a contractor must file progress reports under a current CA, when the CO evaluates the last report, the CO will add a copy of the “Summary of Progress Reports” to this folder on top of the CA for the current review.

It is important that the field office retains the historical folder consistent with OFCCP’s records management schedule. If OFCCP schedules another review of this establishment before this case file is retired and archived, the field office will pull the historical folder from the old case file and move it to the new one.

Folder 7: AAP and Itemized Listing Data. This folder contains the contractor’s AAPs and Itemized Listing data evaluated in this review. Place this material at the end only because it is often the most voluminous.