Reporting Compliance Enforcement Manual Chapter 9: Custodial Care of Case Files

Custody and control of case files are the responsibility of the individual analyst from the date the case is assigned until the date the case is closed. Cases should not be filed within the file room until such time as the case is closed.

In the case where a Notice of Determination has been issued, the case is not deemed closed until such time as the analyst receives the certified mail, returned receipt green card or has obtained other evidence that the Notice of Determination has been received. If the analyst does not receive/obtain evidence of receipt of the Notice of Determination, the analyst shall consult with the Division Chief or team leaders for the appropriate follow-up action.

Once a case file has been closed, the case file will be filed in the OCA file room. Anyone who needs to retrieve a case file from the file room should complete a file location holding card.

The completed holding card should be placed in the retrieved file's location. The individual removing the case file should indicate on the holding card their name and the date that they removed the case file. Upon return of the case file, the individual shall remove the holding card.

The individual removing the case file is primarily responsible for the custody and control of the case file until it is returned to the file room. Therefore, if the case file is removed for another EBSA individual, the analyst is responsible for the case file until it is returned to the file room.

At no time shall an original case file be given to another office (e.g., Solicitor's Office). Copies of file documentation will be provided instead.

OCA has instituted these procedures so that proper custody and control of casefiles is maintained at all times.