Enclosure (1) to COMDTINST 5300.1
b. G-H consults with DOCR and G-LGL with regard to novel issues, highly
sensitive or political issues, and complaints where the processing will involve
more than one OA or federal agency. G-H may consult with DOCR about issues
with which we are unfamiliar or would like technical assistance. In order to
ensure compatibility with safety regulations and consistency between Title II
maritime complaints, G-H will consult with, request technical advice from, and
clear any recommendations we may have through G-M for all such safety issues.
(1) Complaints may be resolved by a variety of means informally or formally,
and G-HE will consult with G-LGL prior to finalizing a resolution
agreement. If early attempts at informal resolution fail, subsequent attempts
continue, even through the complaint investigation and enforcement phases
of the complaint process.
(2) Some complaints are able to be resolved short of a full investigation, letter of
findings, and
formal compliance agreement - by
some form of
alternative
dispute resolution (ADR). ADR could include anything from formal
mediation to informal settlement discussions. The appropriate relief is the
same as would be required after an investigation, but without the greater
time and expense of a full investigation. If the complaint is resolved without
an investigation, G-H sends a closure letter to the complainant and the
respondent including how the complaint was resolved, a copy of any written
agreement, and when monitoring reports are due from the respondent. If
early attempts at resolution fail, it may be necessary to commence a formal
investigation. However, there still may be a possibility of resolving the
complaint successfully prior to the issuance of formal findings.
(3) Whether or not an Investigative Plan (IP) needs to be developed for a formal
investigation, and if so its extensiveness, depends on the nature and
complexity of the issues involved. If an IP is necessary, it should include at
least a description of the jurisdictional information, bases and issues,
applicable legal theories, conclusions from any data analysis, evidence that
will be required, sequence of case activities, timeframes to obtain and
analyze evidence, and evidence necessary to validate anticipated defenses of
respondent.
(4) General facts can be obtained from the respondent through an information
letter sent at the outset of the investigation. An onsite investigation may or
may not be necessary, depending on a variety of factors, including if all
needed information can be provided by written documentation or if it would
be better to make a personal examination of the physical environment in
question. If an onsite investigation is conducted, the investigator conducts
interviews, physically examines any relevant facilities, vehicles, or vessels,
and gathers additional documentary evidence.
3