Enclosure (1) to COMDTINST 5300.1
(5) The Investigative Report (IR) sets forth all the facts pertinent to a complaint,
analyzes the facts in light of the issues, and recommends a determination as
to the compliance status of the respondent. The IR is usually a separate
complainant or respondent. An IR may not be necessary if the findings can
stand on their own, but should be done in all cases in which a violation is
found.
(6) The staff member assigned, following written guidance documents from
DOJ, DOCR, and/or other sources as appropriate, drafts a Letter of Findings
(LOF). Review of the draft is conducted by G-H and the Coast Guard Chief
Counsel. For all maritime safety issues, review is also conducted with G-M.
G-H may consult with DOCR and/or the Office of General Counsel for
guidance as appropriate.
(7) LOFs may fall into any one of the following categories: Compliance LOF;
Non-compliance LOF; or Hybrid LOF. In the case of a Compliance LOF,
G-HE's investigation will have found no violations of the relevant statutes,
and thus the complaint will be closed (see below). With a Non-compliance
LOF, G-HE's investigation has found one or more violations of relevant
statutes, and the respondent will be given the opportunity to submit a
voluntary compliance agreement within a specified timeframe (see below).
Hybrid LOFs involve cases where we believe that the situation is almost a
violation and simply want to bring our concerns to the attention of the
respondent ("warning LOF"), or where we condition the no violation finding
on the respondent taking or avoiding some particular action ("conditional
LOF").
(8) Although DOCR no longer reviews requests for reconsideration, they have
encouraged Operating Administrations to work with their offices of Chief
Counsel to afford complainants with an additional level of review within
their agency. DOCR has also offered technical assistance to Operating
Administrations who implement these changes. G-LGL will review all
requests for reconsideration. The Coast Guard may reconsider decisions if
major substantive errors are brought to our attention.
c. Enforcement of compliance with the ADA may be achieved voluntarily or
involuntarily.
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DOCR is working with the Office of General Counsel on draft Departmental guidance
regarding LOFs, which will be provided to civil rights directors for review and comment.
When the guidance is completed and approved, it will be forwarded to the Operating
Administrations for implementation.
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