1R00 Documents for Closing Compliance Evaluation after the Desk Audit

When closing a compliance evaluation after a desk audit, the Investigator will use one of the following closure documents:

a. A finding of no violations leads to the issuance of a closure letter (See Letter L-5 – Notice of Closing Compliance Evaluation: No Violations Found); or

b. A finding of violations, but no indicators of potential discrimination, leads to the issuance of either a closure letter that references any violations and their resolutions (See Letter L-6 – Notice of Closing: Violations Found and Resolved) or the issuance of an NOV. Investigators should review the procedures on issuing an NOV in Chapter 8 - Resolution of Noncompliance.

The decision to either issue a closure notice that lists remedied violations or an NOV to be remedied by a CA is made on a case-by-case basis depending on the type and severity of the violation. Potential discrimination must be investigated further.

The appropriate supervisor must sign the closure document (e.g., District Director or designee) and send the letter to the contractor by first-class mail.