3Q Standard Construction Compliance Evaluation Report

COs must use the Construction SCER when conducting a construction compliance evaluation to report compliance evaluation results. The Construction SCER aims to provide objective measures of a contractor’s efforts to implement the required affirmative action obligations specified in the regulations. The CO uses the Construction SCER worksheets to specify:

• Whether a particular issue or problem needs analysis as an individual case or a systemic case; and
• Whether the particular issue or problem requires a disparate treatment analysis, a disparate impact analysis, or both.

The SCER includes a narrative summary of findings that should be organized as described below.

a. Scope of Review. The CO should briefly state those items covered in the pre-review, the on-site review and the project interviews.

b. Analysis. The CO must present an analysis of pertinent materials for each area examined including any indicators he or she identified from analyses of personnel activity and compensation. The CO must identify sources of information (e.g., interviews conducted, records examined, worksites inspected and community contacts made). If a CO finds deficiencies, the explanation must be sufficient to permit a person who is unfamiliar with the case to understand the basis for each deficiency determination. The CO will also provide detailed narrative information on problem areas identified during the review of the contractor’s below activities.

• Recruitment Practices;
• Training;
• EEO/AA Policy and Implementation;
• Personnel Operations and Leave Policies;
• Contracting Activity;
• Discrimination Violations;
• Implementation of Discrimination on the Basis of Sex regulations;243
• Implementation of Guidelines on Discrimination Because of Religious or National Origin;244
• Implementation of Section 503; and
• Implementation of VEVRAA.

c. Conclusions. The CO must make a final assessment of the findings and how these relate to the contractor’s compliance status.

d. Resolution. If the CO identifies violations, the CO must describe the corrective action necessary to consider the contractor in compliance. Both parties must agree to specific corrective actions that the CO will include in a CA, as appropriate. Otherwise the CO must issue an SCN.245

e. Recommendations. The CO must recommend that the contractor be found either in apparent compliance or noncompliance. Evidence to support the CO’s recommendation must be documented in the case file.

After concluding the on-site review, the CO must complete any required analyses of the data and other information that was gathered. The CO must investigate problem areas and issues until the case file contains sufficient evidence to establish whether discrimination did or did not occur. The case file should retain all evidence the CO obtained and documents the CO created, including any evidence that does not support the CO’s conclusions.

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.