How to Train Staff for DEA and State Board Inspections

Introduction: Your Staff Is the First Line of Defense

When the DEA or state medical board arrives, your staff’s initial response sets the tone for the entire inspection.

Well-trained employees can make the difference between a smooth, professional process and an avoidable compliance headache.

Regulators don’t just evaluate records—they evaluate the people and processes behind them.

Step 1: Explain the Purpose of Inspections

Your team should understand:

• Why inspections happen – routine compliance, complaint follow-up, or targeted investigation.
  
• Who conducts them – DEA diversion investigators, state board staff, or both.
  
• What they look for – adherence to prescribing laws, documentation, and controlled substance security.
  

Step 2: Assign Clear Roles

• Primary Point of Contact – Usually the compliance officer or practice manager; they interact directly with inspectors.
  
• Document Retrieval Lead – Prepares and provides requested records.
  
• Support Staff – Maintain operations while minimizing disruption.
  
• Legal Liaison – Contacts legal counsel immediately upon notice.  Always have legal counsel present during questioning. Do not speak with investigators or agents unless your attorney is present, regardless of their assurances.

Step 3: Train Staff on Immediate Actions

When inspectors arrive:

1. Greet them professionally and request official identification.
   
2. Notify the designated point of contact and legal counsel.
   
3. Escort inspectors to the designated inspection area—never allow free roaming.
   
4. Do not answer questions beyond your scope; refer to the point of contact.
   

Step 4: Practice Controlled Communication

• Answer only the question asked—be truthful, concise, and calm.
  
• Avoid speculation or providing personal opinions.
  
• Use phrases like:
  
  • “I’ll refer that question to our compliance officer.”
    
  • “I can get that document for you.”
    

Step 5: Role-Play Inspection Scenarios

Simulate:

• DEA asking for controlled substance logs.
  
• State board requesting specific patient charts.
  
• Questions about policy deviations or unusual prescribing patterns.
  

Role-play reduces anxiety and builds confidence in real situations.

Step 6: Keep Inspection Materials Ready

• Maintain an audit-ready compliance binder (see Article #74).
  
• Ensure controlled substance agreements, PMP logs, and UDT records are organized.
  
• Have staff know where to locate documents quickly.
  

Step 7: Train for Professional Demeanor

Regulators notice:

• Tone of voice.
  
• Body language.
  
• Cooperation level.
  

Even if the inspection is stressful, professionalism can influence the inspector’s perception.

Step 8: Debrief After the Inspection

• Hold a quick team meeting to review what went well and what can be improved.
  
• Document any issues identified and assign corrective actions.
  
• Update training based on lessons learned.
  

Common Mistakes to Avoid

• Unprepared Staff – Not knowing who should speak or where documents are stored.
  
• Over-Talking – Volunteering unnecessary information.
  
• Free Access – Allowing inspectors to wander without supervision.
  
• Disorganized Records – Delays retrieval and raises red flags.
  

Benefits of Staff Inspection Training

• Creates a confident, professional first impression.
  
• Speeds up the inspection process.
  
• Reduces errors that could escalate the situation.
  
• Demonstrates to regulators that compliance is a team priority.
  

Final Thoughts: Preparedness Is a Practice

Training your staff for inspections isn’t a one-time event—it should be part of your ongoing compliance program.

By running drills, defining roles, and reinforcing best practices, you ensure that everyone knows exactly what to do when the inspectors arrive.

A prepared team is your best protection when the stakes are high.

About the Author

Douglas J. Jorgensen, DO, CPC, FAAO, FACOFP

Dr. Doug is a physician, consultant, and national educator on healthcare compliance, staff training, and inspection readiness. He helps practices design and implement inspection protocols that keep providers, staff, and patients safe.