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CRD 2014-08 - Entering Events & Uploading Documents into the DOI iComplaints System




CIVIL RIGHTS DIRECTIVE 2014-08 (signed pdf)


                                       June 3, 2014

To:              Bureau Equal Employment Opportunity Officers

From:           Sharon D. Eller, Director, Office of Civil Rights /signed/

Subject:       Entering Events and Uploading Documents into the DOI iComplaints System

Please find enclosed new Civil Rights Directive 2014-08, Entering Events and Uploading Documents into the DOI iComplaints System.

Distribution:  Bureau EEO Officers and Complaints Managers, Office of the Secretary EEO Complaints Manager

Inquiries:     Tanisha M. Edmonds, Acting Chief, Employment Complaints and Adjudication Division, Office of Civil Rights, (202) 208-4016, or Designee

Expiration:When Superseded

CIVIL RIGHTS DIRECTIVE NO. 2014-08

Subject:Entering Events and Uploading Documents into the DOI iComplaints System

1.  Purpose.

 This Directive establishes standards, provides guidance, and conveys Bureau and Office of the Secretary (OS) Equal Employment Opportunity (EEO) Office responsibilities with respect to complaints tracking, monitoring and management of complaints processing documents within the DOI iComplaints system. All bureaus must maintain new complaint files based upon the format, form, timeliness, completeness, and content requirements as set forth below.

2.  Authorities.

 29 Code of Federal Regulations (CFR), Part 1614, Federal Sector Equal Employment Opportunity;29 C.F.R. §1614.602(a) (Reports to the Commission)

  1. Equal Employment Opportunity Commission (EEOC) Federal Sector Report, Attaining a Model Agency Program: Efficiency, Effective Complaints Tracking and Monitoring System

 3.  Policy.

The Office of Civil Rights (OCR), all Bureau EEO Offices, and the OS EEO Office will maintain a Complaint-Tracking , iComplaints, to accurately capture data for the Annual Federal EEO Statistical Report of Discrimination Complaints (the 462 Report). This Complaint-Tracking System shall be an accurate, accessible, verifiable and comprehensive tracking system for managing an effective and timely complaint processing program.

Bureau EEO Officers and the OS Complaints Manager will ensure all iComplaints users within his/her Bureau EEO Office or the OS EEO Office have a user account and appropriate training. Bureau EEO Officers and the OS Complaints Manager will ensure all complaints processing documents for complaints of discrimination being processed by his/her EEO Office are uploaded and associated events are entered into the iComplaints system.

All bureaus must maintain copies of all files within iComplaints, shared drives or in hard copy for complaints that are pending before the EEOC Hearings Division, Office of Federal Operations, or the U.S. District Court. To commence the litigation hold of files, actual notice shall be required, such as a Request for a Hearing before the EEOC or a notice of filing in U.S. District Court from a complainant or a complainant's representative.

4.   Scope.

The policies and procedures in this document apply to OCR, all Bureau EEO Offices and the OS EEO Office.

5.  Responsibilities

a. Required Documents Within iComplaints.

The Bureau EEO Officer or OS Complaints Manager must ensure that the following documents and associated events, including the Report of Investigation (ROI), are uploaded into the DOI iComplaints system for each complaint of discrimination being processed by the Bureau or OS EEO Office within 2 business days of the event or receipt of the document:

DOCUMENT

EVENT

Initial Contact

(462: Informal Start)

Initial Interview – Rights and Responsibilities issued

Initial Interview-Rights and Responsibilities

Extension of Counseling Document

Counseling 60-Day Extension (462: Extension Granted)

EEOC Remanded Complaint for Counseling

Counseled on Remand (462: Remanded)

ADR Offered

(462: ADR Offered)

ADR Accepted

(462: ADR Accepted- (Extends 60 Days))

(462: Mediation)

(462: Ombudsman)

(462: Other ADR Attempt)

(462: Settlement Conference)

ADR Rejected

Rejected by Complainant (462: Rejected by Individual)

ADR Failed

(462:No Resolution (ADR End))

ADR Never Conducted

(462: ADR End)

Notice of Final Interview and Right to File issued

Notice of Final Interview and Right to File

Formal Discrimination Complaint

Formal Filed (462: Formal Start)

Acknowledgment Letter

Issued Acknowledgment Letter (462: Written Notification Received)

Notice of Acceptance

Notice of Acceptance (462: Claims Accepted)

Procedural Dismissal

Notice of Dismissal FAD-Dismissal (462: Claims Dismissed)

Investigator Assignment

Investigator Assignment (462: Investigator Assignment)

Investigation Start

(462: Investigation Start)

90-day Extension of Investigation

90-day Extension (462: 90-Day Extension)

Amendment Accepted during Investigation

Amendment Accepted-Inv Extended (462: Amendment)

ROI and Election Letter Issued and Proof of Receipt

ROI Issued (462: Investigation End)

Request for FAD

Complainant Request for FAD (462: Request for FAD)

EEOC Hearing Request

EEOC Hearing Request (462: Hearing Requested)

AJ Ordered FAD

AJ Ordered FAD (462: AJ Ordered FAD)

EEOC Hearing Decision

Received AJ's Decision (462: AJ's Decision)

Final Order

+ AJ Decision Fully Implemented (462: AJ Decision Fully Implemented)

+ AJ Decision not Fully Implemented (462:AJ Decision not Fully Implemented)

Complainant Appeal Notice

Complainant Appealed Decision

Agency Appeal

+ Agency Appealed Finding not Remedy (462: Agency Appealed Finding not Remedy)

+ Agency Appealed Remedy not Finding (462: Agency Appealed Remedy not Finding)

+ Agency Appealed both Finding and Remedy (462: Agency Appealed both Finding and Remedy)

OFO Acknowledgment of Appeal

Files submitted to OFO

Submission of case file to OFO

OFO Appeal Decision

Complainant or Agency filed Request for Reconsideration

Acknowledgment of Request for Reconsideration Received

OFO Decision on Request for Reconsideration

Civil Action

(462: Civil Action)

Corrective Actions

Monetary

Non-Monetary

Settlement Agreement

Compliance Documents

b.

File Requirements Within iComplaints.

i. Size

The file size limit has been increased to:

55 MB per file

90 MB total per complaint

If the ROI is larger than 50 MB or causes the complaint file to exceed 90 MB, the ROI should be reduced in size using Adobe Acrobat (Tools/Document Processing/Optimize Scanned PDF/Optimization Options/Small Size). Where it is necessary to divide large ROI files into smaller files, bookmarks must be created again.

ii. Format

Documents must be in a PDF format with these features:

(a) and word-searchable (Optical Character Recognition), and

(b) bookmarks of key sections noted below.

iii. Bookmarks

EEO Counselor's Report, in the following order:

(a) The Report;

(b) Notice of Rights and Responsibilities;

(c) Notice of Final Interview and Right to File a Formal Complaint;

(d) Agreement to Extend Counseling (if any);

(e) ADR and Pre-Complaint Processing Election (if any); and

(f) Designation of Representative (if any).

Report of Investigation, in the following order:

Summary 

 

Summary of investigation/summary analysis of the facts. The summary should cite to exhibits and evidence.

 

Case Index

 

The index to the file should list the contents of the file by tab and sequential page number.

Tab A

Tab A should contain the formal complaint and documents submitted by the complainant. (Individual documents under each tab should be consecutively numbered in addition to being identified as part of the tab. Example A-1, A-2, A-3, etc.).

 

Tab B

Tab B should contain the EEO Counselor's report and all documents generated in the informal process. Included here should be the notice of right to file a complaint.

 

Tab C

Tab C should contain the agency's notice of claims to be investigated. Copies of any other documents bearing on delineation of the claims to be investigated should also be included. Documents pertaining to the partial dismissal of claim(s) should be included in this tab.

 

Tab D

Tab D should document attempts at informal resolution; however, documentation should not include the substance of such attempts.

 

Tab E

Tab E should contain any documentation of appellate activity and any decisions affecting the processing of the complaint.

 

Tab F

Tab F should contain the evidence and documents in a logical order, with documents further separated by numerical tabs as necessary.

 

Tab G

Tab G should contain any miscellaneous material.

iv. Page Numbering

All pages within EEO Counselor's Reports and ROIs must be sequentially numbered with Bates Numbering at the bottom right corner of the page using Adobe Acrobat (Tools/Pages/Bates Numbering).

v. File Naming Convention

All files must be named using the following naming convention:

Agency/Bureau, case number, complainant's last name, file content (table below), and if signed, the signatory's initials or signatory's initials and the initials of the person for whom the document has been signed.

Example: OS_CaseNumber_Complainant's Last Name_File Content_Signatory's Initials or Initials of the Person for whom the Document has been signed. (BOR-XX-XXXX_JONES ACC LTR SIG LHC 4 SDE.PDF).

 

This table is not completely populated at this time

NAME OF FILE/DOCUMENT

ABBRIEVIATION

 

 

EEO Counselor's Report

COUNS RPT

Formal Complaint and Amendments

FORMAL or FORMAL AMEND

Acknowledgement Letter

ACK LTR

Clarification Letter

CLAR LTR

Acceptance/Dismissal Letter

ACC LTR

Procedural Dismissal

PROC DISMISS

RMO Notice

RMO [NAME] NOTICE LTR

Investigator Contract, Letter of Authorization

INV CON LOA

90 day extension

90 DAY EXT

ROI Election Letter and documentation of receipt

ROI ELECT LTR

Report of Investigation

ROI

Abeyance Start/End

ABEY START / ABEY END

Case Subsumed/Unsubsumed

CASE SUB / CASE UNSUB

Request for FAD by Agency or Complainant

FAD REQ AG or FAD REQ CP

Final Agency Decision

FAD

EEOC Hearing Request

EEOC HEAR REQU

Final Order

FINAL ORDER

Appeal by Agency or Complainant

APPEAL AG or APPEAL CP

OFO Acknowledgment of Appeal

OFO ACK

EFX transmission receipt of Appeal Files

EFX RECEIPT

OFO Appeal Decision

OFO DEC

Request for Reconsideration by Agency or Complainant

RFR AG or RFR CP

Acknowledgment of Request for Reconsideration

OFO ACK REQU RECONSID

Decision on Request for Reconsideration

RFR DECISION

Civil Action

CIV ACTION

Settlement Agreement

SETTLEMENT

Compliance Documents

COMPLIANCE


 

SIGNATURES

ABBRIEVIATION

Correction (followed by file name, etc.)

CORR

Signed by

SIG [first/middle/last initials]

Signed by on behalf of

SIG [first/middle/last initials] 4 [first/middle/last initials]

 

Bureau abbreviations

 

BIA

Bureau of Indian Affairs

BIE

Bureau of Indian Education

BLM

Bureau of Land Management

BOEM

Bureau of Ocean Energy Management

BOR

Bureau of Reclamation

BSEE

Bureau of Safety and Environmental Enforcement

National Park Service 

OIS

Office of the Secretary

OSM

Office of Surface Mining, Reclamation and Enforcement 

FWS

U.S. Fish and Wildlife Service

USGS

U.S. Geological Survey

c.  Duplicate File Copies

All bureaus must maintain duplicate copies of all files uploaded to iComplaints within a shared folder on a shared drive, in the event the iComplaints system isn't available.

d.  Compact Disc

Pursuantto CRD 2014-06, a compact disk (CDR-W) containing a digital copy of the complaint file and a word-searchable, bookmarked ROI, when a hearing on FAD is requested.  

e.  Flash and Laptop Drives

To help ensure the security of complaint data in the event of loss or theft, a user's flash drive or a laptop hard drive shall be used only as a short-term transfer device. Only iComplaints or the user's folder on the network drive shall be used for long‑term storage device of complaint data. Therefore, after completing the transfer of complaint data using a flash or laptop hard drive, the user shall immediately delete the complaint data from those storage devices.

 
Signed
___________________________________________

Sharon D. Eller

Director, Office of Civil Rights

Distribution:Bureau EEO Officers

Bureau Complaints Managers

OS Complaints Manager

Inquiries: Tanisha Edmonds, Acting Chief, Employment Complaints and Adjudication Division, Office of Civil Rights, (202) 208-4016, or Designee