1R00 Documents for Closing Compliance Evaluation after the Desk Audit

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

a. A finding of no violations leads to the issuance of a closure letter;76 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 resolutions77 or the issuance of an NOV.78

Whether to 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.

76. Letter L-5 – Notice of Closing Compliance Evaluation: No Violations Found.

77. Letter L-6 – Notice of Closing: Violations Found and Resolved. This letter is used if an NOV is not being issued.

78. See Chapter 8, Resolution of Noncompliance for procedures on issuing an NOV.