Inspections/Investigations by Third Parties

POLICY NO: 6109

EFFECTIVE DATE: 10/16/04

REVISED DATE:

REVIEWED DATE:

Investigations by Government Officials, Regulatory Agencies, and Other Third Parties

Purpose

Government investigators, regulatory agencies or other third parties may contact staff or arrive unannounced at UNMC or at the homes of staff members and seek interviews, documents, information or request to search the premises. The purpose of this policy is to establish procedures for an orderly response that protects the interests of UNMC and provides for appropriate cooperation. Examples of regulatory agency visits, investigations, or requests for information that are subject to this policy include but are not limited to the following:

• Routine or investigative visits by regulatory agencies such as the Department of Health and Human Services (DHHS), Food and Drug Administration (FDA), United States Department of Agriculture (USDA), Environmental Protection Agency (EPA), Office of Human Research Protections (OHRP), or Internal Revenue Service (IRS), on an announced or unannounced basis;
• Law enforcement visits, including local, state and federal Investigators;
• Licensure investigations;
• Freedom of Information Act (FOIA) requests;
• Requests for information pursuant to the Nebraska public records law (Neb. Rev. Stat. §84-712);
• Sunshine Act requests (allows citizens to request government agency meeting records);
• Subpoenas (including subpoena duces tecum for the inspection or production of documents).