Contacted by a Government Official, Auditor or Regulator?
The mission of the University Compliance Program is to further IU’s long-standing commitment to compliance with all applicable laws, policies, and regulations. This commitment to compliance includes cooperation with all lawful inquiries, audits, inspections, and investigations by agencies of the federal, state and local government (Regulatory Reviews). Such inquiries may focus on reviews of a particular program, service, activity or study that is funded by the government, or a program where the agency has oversight.
The University Compliance Program 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, please contact the UCP. Timing is of the essence when contacting the UCP because most Regulatory Reviews require that responses be made within a short time frame. Therefore, providing notice to the University Compliance Program regarding any unannounced and/or non-routine Regulatory Review is essential in the coordination of these efforts.
In the event an auditor or agent shows up unannounced at your office, here are key tips to remember:
- Be cordial – Let the auditor/agent know that the University’s intent is to cooperate with the government’s request.
- Verify credentials – ask for official identification and note down in writing the name of the individual(s), agency name, and agency contact information.
- Ask the auditor/agent if they can provide information regarding the nature of the request, audit or inspection.
- 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.