3Q01 Summary of Findings

After completing the compliance evaluation, including all on-site and off-site analyses of the information obtained and recorded in the Construction SCER, the CO must compile a summary of findings to include in the narrative summary of findings. This summary includes the findings of the case, the bases for the findings and the CO’s recommendations. The summary of findings should also include the:

• Name and description of the facility;
• Problem area(s) identified, if applicable;
• Description of the selection or other process or practice examined (e.g., for a hiring case, the steps in the application process);
• Results of any analyses conducted, such as IRAs, comparative (cohort) analysis, and regression analysis;
• Summary of any interviews conducted;
• Relevant anecdotal evidence obtained;
• Description of any violations and their bases;
• Recommended corrective actions, where the CO has identified violations; and
• Recommended next steps.

The summary should logically lead to the CO’s conclusion about whether or not a violation occurred. The CO submits the completed SCER to his or her supervisor for approval. The final SCER must be signed.

Depending upon the circumstances of a particular case, it may be a good practice to conduct a follow-up meeting or teleconference with the contractor. Below is an example of why this is a good practice.

• The CO held an exit conference with the contractor at the conclusion of the on-site review. However, following off-site analysis, the CO found additional issues that need to be discussed with the contractor. More specifically, at the conclusion of the on-site, the CO told the contractor that it would be cited for failing to track the race, ethnicity and gender of job applicants passing through various phases of the selection process. However, during off-site analysis, it became clear to the CO that the contractor also discriminated in its termination activity.

After advising the contractor of its compliance evaluation findings, the CO must provide formal notification through a PDN or NOV. COs use certified mail, return receipt requested, to provide this notice to the contractor. If requested by the contractor, a courtesy copy is sent by email or facsimile. We discuss the various forms of notice in more detail in Chapter 8, Resolution of Noncompliance.

If, prior to the issuance of the notice of compliance, the contractor provides new evidence, the CO must conduct any necessary investigation and analyses to determine if the new evidence changes any of the initial findings and to ensure that the final findings are fully supported. A basic part of any additional investigation is verifying the credibility of the new evidence.