1R Conclusion of the Desk Audit
If a CO 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 CO found nonsubstantive problems such as an unacceptable AAP element, the CO may close the compliance evaluation after all the identified problems are adequately resolved.
To close the compliance evaluation after the desk audit, the CO must ensure that no outstanding substantive issues exist. As previously noted, the CO 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 45 days from receipt of the requested information. If, however, OFCCP provides an additional 30 days for the contractor to submit the support data using the one-time, 30-day extension for Itemized Listing information, the desk audit should be completed in 75 days.
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.
1R01 Reasons to Proceed with On-Site Review
When appropriate, the CO should promote early and efficient corporate-wide compliance by examining whether it is possible to resolve indicators of discrimination and other material violations uncovered at the desk audit before proceeding to an on-site investigation.79 If early resolution is not possible, the CO 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, failure to provide a completed AAP, complaints or problems that merit an on-site review; or
- The contractor has been identified for a complete compliance review following OFCCP selection procedures.
In instances where problems are resolved through a document submission during the desk audit, the CO’s on-site review may consist of technical assistance to ensure that the contractor is aware of its obligations.80
79. See Directive 2019-02, “Early Resolution Procedures.”
80. FCCM 2L – Equal Opportunity Clause and Other Requirements.
1R02 Completing Appropriate SCER Pages
COs must complete as much of the SCER as possible for every compliance evaluation. The CO must also sign the SCER. The stage at which the compliance evaluation is closed and the type of investigative procedures used in the compliance evaluation will determine which sections of the SCER COs must complete.