Overview

Organizations sometimes have difficulty initiating a Closure Assessment, also known as a Follow-Up Assessment. Common challenges include uncertainty about eligibility, confusion about assessment periods, questions about CAP timelines, or system validations that prevent you from scheduling a new assessment.

This article explains when to initiate a Closure Assessment, how eligibility is determined, and what to do if the system does not allow you to proceed.

What Is a Closure Assessment?

A Closure Assessment, sometimes referred to as a Follow-Up Assessment, verifies that corrective actions have been effectively implemented and that previously identified findings can be formally closed.

Completing corrective actions or marking Corrective Action Plan (CAP) items as complete does not automatically close findings. Findings are only considered closed after they have been verified through a Closure Assessment. 

A Closure Assessment may close Priority, Major, Minor, or Risk of Non-Conformance findings, depending on applicable program requirements. 

When Can I Request a Closure Assessment?

A Closure Assessment can only be initiated when:

• An Initial Assessment has already been completed.
• The Initial Assessment contains open findings that require verification and closure.
• Sufficient corrective action has been implemented to demonstrate sustained improvement.
• The assessment remains within the allowed assessment period. 

If there are no open findings from a previous Initial Assessment, you cannot initiate a Closure Assessment.

Understanding the 3-Month Implementation Requirement

Many findings require a period of demonstrated implementation before assessors can evaluate them for closure.

Closure Assessment timing should generally reflect approximately three months of implementation after corrective actions have been put in place. This allows assessors to review evidence showing that improvements have been consistently maintained over time rather than implemented shortly before the assessment. 

For example:

• Initial Assessment completed in January.
• Corrective actions implemented beginning in February.
• Evidence available for February, March, and April.
• The earliest practical Closure Assessment would generally occur after those records are available for review. 

For Working Hours and Payment-related findings, organizations are encouraged to schedule Closure Assessments after a complete record period is available for review. 

Understanding the Assessment Period

The Assessment Period represents the window during which open findings from an Initial Assessment remain eligible to be closed through a Closure Assessment.

During this period, the auditee may implement corrective actions and initiate a Closure Assessment to verify closure of the findings.

The Assessment Period is not an extension of the CAP process. Instead, it represents the period during which a Closure Assessment may be performed against the findings from the previous Initial Assessment.

If the Assessment Period expires before a Closure Assessment is completed, the findings are no longer eligible to be closed through a Follow-Up Assessment.

Understanding the 18-Month Limit

Closure Assessments must occur within the allowable assessment period associated with the Initial Assessment.

If more than 18 months have passed since the Initial Assessment, the facility may no longer be eligible to conduct a Closure Assessment and may instead be required to initiate a new Initial Assessment. Exceptions require appropriate approval. 

As a result, facilities should avoid waiting until the end of the assessment period before attempting to schedule a Closure Assessment.

Why the System May Prevent Me from Scheduling a Closure Assessment

The system may not allow a Closure Assessment to be initiated if:

• No Initial Assessment exists.
• No open findings require closure.
• The Assessment Period has expired.
• Required CAP milestones have not been met.
• Assessment dates were entered incorrectly.
• A validation rule determines that the assessment is not yet eligible for closure verification. 

If you believe your assessment should be eligible but cannot be initiated, review the Initial Assessment details and associated finding dates before contacting support.

Understanding Follow-Up, Closure, and Interim Labels

Users may encounter different labels throughout the assessment process.

• Closure Assessment and Follow-Up Assessment refer to the same assessment type.
• These assessments verify that open findings from a previous Initial Assessment have been effectively addressed.
• Assessment eligibility is governed by the applicable Assessment Period and associated CAP requirements.

If you see a Closure or Follow-Up Assessment option unavailable in the system, this typically indicates that one or more eligibility requirements have not been met.

How to Request a Closure Assessment

The process for initiating a Closure Assessment is the same process used to initiate an Initial Assessment.

Before beginning:

1. Confirm that an Initial Assessment exists.
2. Confirm that the Initial Assessment contains open findings.
3. Verify that corrective actions have been implemented and sufficient evidence is available.
4. Ensure the Assessment Period has not expired.

Once these conditions are met, follow the standard assessment initiation process within the platform to request the assessment.

Frequently Asked Questions

Can I initiate a Closure Assessment if all findings are already closed?

No. Closure Assessments are specifically intended to verify closure of open findings from a previous Initial Assessment.

Does completing my CAP automatically close findings?

No. Findings remain open until a Closure Assessment verifies them. 

Is a Follow-Up Assessment different from a Closure Assessment?

No. The terms are used interchangeably.

What happens if I miss the Assessment Period?

If the Assessment Period expires, you may no longer be eligible to perform a Closure Assessment and may need to initiate a new Initial Assessment instead. 

Why can't I schedule a Closure Assessment even though my CAP is complete?

A completed CAP alone does not make an assessment eligible for closure. Timing requirements, assessment eligibility, available implementation evidence, and assessment-period validations may also apply. 

When to Contact RBA Support

Contact RBA Support if:

• You believe the system is incorrectly preventing you from initiating a Closure Assessment.
• Assessment dates appear incorrect.
• You are unsure whether your Assessment Period has expired.
• You require assistance understanding eligibility requirements for your specific assessment.

Providing the Assessment ID and details of the validation message will help expedite review.