CHAPTER 417

REGIONAL OFFICE PROCESSING OF INVESTIGATIONS

AND REPORTS

417-1 General: In administering the labor compliance programs, there is a division of responsibility between the Department of Labor and the Bureau of Public Roads. The Department of Labor has the responsibility for prescribing appropriate standards, regulations, and procedures to assure coordination of administration and consistency of enforcement of the Federal labor standards provisions; however, it is the Bureau of Public Roads which has the responsibility of carrying out the duties imposed by law on the Secretary of Transportation, or by regulation on the Secretary, the Federal Highway Administrator, or the Director of Public Roads, and to insure compliance with the Federal laws and regulations applicable to the direct Federal and Federalaid highway programs.

417-2 Responsibility of Regional Administrator: The Regional Administrator shall review the reports of investigations to determine the existence of labor violations and shall take such action as is authorized by this manual to affect restitution to the employees involved; and he shall take whatever action is authorized by this manual to prevent the recurrence of similar violations.

417-3 Authority of Regional Administrator: The Regional Administrator has been delegated authority to take final action in routine cases involving labor compliance violations, without prior referral to the Office of Chief Counsel, except as specifically noted in section 417-5.

417-4

Reports to the Department of Labor:

417-4.1

Where underpayments total less than $500 and are
determined to be nonwillful, and where restitution
has been affected and future compliance assured,
the Regional Administrator need not submit his
investigative findings and recommendations,
except where the Department of Labor has especially
requested that the investigation be made. (See
29 CFR 5.7(a)).

417-4.2

Reports, in the form set forth in 29 CFR 5.7
(a)(2), of labor violations which are nonwillful
and in excess of $500 must be made by the
Regional Administrator to the Administrator,
Wage and Hour and Public Contracts Divisions,
U.S. Department of Labor, Washington, D.C., 20210.
In those cases where a referral of the labor vio-
lations complaint is made by a Department of
Labor regional office, a copy of the report sub-
mitted to the Wage and Hour and Public Contracts
Administrator should be forwarded to the regional
office. Information copies of all reports and
other pertinent correspondence should be furnished
to the Office of Chief Counsel. If, however,
liquidated damages as set forth in subsection
417-5.4 below are involved the entire report must
be referred through the Office of Chief Counsel.

417-5 Cases Which Must Be Referred to the Chief Counsel: Solutions to many labor compliance violation problems may be found in this manual; however, the following types of cases arising under any Federal laws or regulations pertaining to labor compliance must be referred to the Office of Chief Counsel for appropriate action, including further referral to the Department of Labor:

417-5.1

Cases which are not resolved by reference to
this manual.

417-5.2 Cases involving willful and/or aggravated violations.

417-5.3

Cases which involve violations of other than a
routine nature.

417-5.4

417-5.5

418-1

Cases involving the Contract Work Hours Standards Act where the violations are determined to be advertent and/or the amount of liquidated damages is computed to be in excess of $100.

All reports of inspections-in-depth.

CHAPTER 418

FULL SCALE INVESTIGATIONS

General: A full scale investigation is a conscientious attempt to ascertain all pertinent facts relative to a suspected violation. Therefore, it differs in its fundamental approach from that of an inspection which has as its purpose the verification of the status of labor standards compliance matters on the projects. For this reason, investigations should be thorough and timely; they should be conducted so as to assemble the evidence relative to the suspected violations, and thus establish the pertinent facts; and, a report, containing all pertinent data relative to the suspected violation should be submitted promptly following the completion of the investigation. The procedures set forth in the following paragraphs shall be followed with respect to the conduct of the investigation, the preparation of the investigative report, and the corrective action, or imposition of contract sanctions necessitated by the factual circumstances. Investigation personnel are encouraged to exercise sound discretion in employing the investigative methods best suited to the type of violation involved. To assist in making investigations and reports, this manual includes a copy of the U.S. Department of Labor's Investigation and Enforcement Manual (consult Index for location).

418-2.1

418-2.2

418-3

Whenever the contracting agency is put on
notice of any violations that are not readily
adjustable, are of a serious nature, or may be
willful or criminal in character, an investigation
of the suspected project shall be conducted.
(Notice of the need for an investigation may
arise from; a project inspection report, an
employee's or other interested person's complaint
or as the result of office review of payroll
data, or otherwise).

Investigations will also be conducted whenever
specifically requested by the Bureau of Public
Roads, or the Secretary of Labor.

Duties of the Investigator:

of the investigator:

It shall be the duty

418-3.1 To consider any and all information and evidence obtained as a result of any investigation or inquiry;

418-3.2 To conduct such additional inquiry or investigation (or to recommend that such be done when areas beyond his jurisdiction are involved) necessary to ascertain and consider all pertinent facts to the end that a comprehensive, accurate and unbiased factual report of the incident or situation will be made available to the contracting officer, the Administrator, or other reviewing or interested authority for such action as may be required by the circumstances of the case;

418-3.3

418-3.4

To secure and consider signed statements from all competent witnesses on facts pertinent to the stituation;

To ascertain the existence, nature and extent of
violations and assemble copies of, or extracts of,
all pertinent records having a direct relation-
ship to the facts of the situation necessary to
assist the contracting officer and appellate
authorities to make proper determinations of
the facts;

418-3.5

To reduce to writing and incorporate into the investigative report all pertinent statements, exhibits, or other evidence taken or considered; and,

418-3.6 To submit the complete investigative report to the contracting officer as promptly as possible.

418-4 Investigative Steps: Steps to be taken in conducting the investigation should include:

418-4.1

418-4.2

418-4.3

418-4.4

Examination of the contract, wage determination decision and posting requirements;

Examination of the payroll;

Examination of basic time and/or work records;

Check on conformity with apprenticeship requirements;

418-4.5 Check on use of classifications of laborers and mechanics not listed in the wage determination decision;