1R Conclusion of the Desk Audit
If an Investigator completes the desk audit and finds no problem areas, no outstanding questions and no violations, then the evaluation is closed at the desk audit stage. If the Investigator found technical problems such as an unacceptable AAP element, the Investigator should contact the contractor to resolve the technical problems. Once all the identified problems are adequately resolved, the Investigator can close the compliance evaluation.
To close the compliance evaluation before an on-site, the Investigator must ensure that no outstanding substantive issues exist. As previously noted, the Investigator may need to request additional materials from the contractor for review during the desk audit.
When the contractor submits the AAP with the support data, the desk audit should generally be completed in 40 days from receipt of the requested information.
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.
1R01 Reasons to Conduct an On-Site Review
When appropriate and after consultation with their managers, Investigators may waive OFCCP’s pre-enforcement and conciliation procedures and offer the contractor an expedited conciliation option to enter directly into a conciliation agreement. (See 41 CFR 60-1.33(e)). If expedited resolution is not possible, the Investigator must proceed with an on-site review if:
- The contractor provided insufficient data to conclude the review at the desk audit stage;
- There are indicators of potential discrimination;
- The contractor failed to provide a completed AAP; or
- The contractor has complaints or other problems that merit an on-site review.
In instances where problems are resolved through a document submission during the desk audit, the Investigator’s on-site review may consist of technical assistance to ensure that the contractor is aware of its obligations.