What to do if contacted by a 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 Talk to the auditor/agent

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

4 Contact more

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), contact the Office of University Compliance and Integrity