If You're Contacted by an Official, Auditor, or Regulator

Contacted by a government official, auditor, or regulator?

In the event an auditor or agent shows up unannounced at your office, here are key tips to remember:

  1. Be cordial—let the auditor/agent know that the university’s intent is to cooperate with the government’s request.

  2. Verify credentials—ask for official identification and note down in writing the name of the individual(s), agency name, and agency contact information.

  3. Ask the auditor/agent if they can provide information regarding the nature of the request, audit, or inspection.

  4. Inform your supervisor and the compliance officer for your department or school and contact the University Compliance Office.

If you receive a search warrant, subpoena, legal-related demand for information, complaint, or other legal document (other than a routine request for patient records), contact the Office of the Vice President and General Counsel.

The University Compliance Office strives to provide access to the best resources available and can provide prompt assistance with regulatory reviews. In the event of an unannounced audit or inspection or other non-routine regulatory review, immediately contact the University Compliance Office. Timing is of the essence because most regulatory reviews require that responses be made within a short time frame.

Contact the University Compliance Office