45 C.F.R. 1636.5

Recordkeeping Client Identity and Statement of Facts

1. Pursuant to 45 C.F.R. 1636.5, the recipient shall maintain written policies and procedures to guide its staff in complying with 45 C.F.R. Part 1636.

2. In each case where the recipient (1) files a complaint in a court of law or otherwise initiates or participates in litigation against a defendant or (2) engages in pre-complaint settlement negotiations, the recipient shall maintain in each client's case file the statement(s) of facts prepared prior to the initiation of litigation or pre-complaint negotiations in accordance with 45 C.F.R. Part 1636.

3. In each case where the recipient (1) files a complaint in a court of law or otherwise initiates or participates in litigation against a defendant, but does not identify the plaintiff(s) by name in the complaint or in a separate notice to the defendant against whom the complaint is filed, or (2) participates in pre-litigation settlement negotiations, but does not identify the plaintiff(s) it represents to prospective defendants, the recipient shall maintain in each such client's file, documentation indicating the reason, under 1636.2(a)(1), that such identification was not made.

4. If, consistent with 1636.2, preparation and/or signing of the statement of facts is delayed because of an emergency, the recipient also shall maintain in the case file a statement of the nature of the emergency.

 

 


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