Unannounced Visits by Regulators: FAQ
Last Updated: January 8, 2018 10:43:18 AM PST
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Are there steps I can take if contacted by an outside agency?
If a student, faculty, or staff member is contacted by an outside agency, we recommend the following:
- Ask the agency representative for official identification with his or her name and agency affiliation. If the investigator presents only a business card, contact their office to verify identity.
- State that you are willing to cooperate, but as a UC employee you want a university representative present.
- If the agency representative presents a subpoena, court order, national security letter or other legal document, ask for a copy and time to contact the Office of Research Compliance and Integrity and Campus Counsel to review the legal documentation in advance of the agency carrying out its search or investigation. If unable to contact anyone or the agency presents a search warrant and does not provide a copy or the time to contact anyone, review the documentation presented carefully and understand the authorized scope of the inquiry before any interview or search begins.
- Contact the Office of Research Compliance and Integrity and Campus Counsel if the investigator wants to proceed immediately (pursuant to a search warrant) so that a university representative can be present as soon as possible for any interview or search.
- If possible, schedule a later date for any requested interview so that a university representative can be present.
- Decline to provide the names and nationalities of any students, faculty or staff members, but inform the investigator that he or she can contact the Office of Research Compliance and Integrity and Campus Counsel regarding requests for information. You may state you are not authorized to release information under state and federal law and university policy.
Do outside agencies have the right to come on university property and compel university students, faculty and staff members to answer questions and provide documents?
Nothing can stop an outside agency from attempting to interview members of the university community, and we cannot prohibit anyone from engaging in interviews if they choose to participate.
Unless the agency presents a subpoena, court order, national security letter or other legal document compelling participation, students, faculty and staff members can decline to participate in immediate interviews and ask that the agency contact the Office of Research Compliance and Integrity to schedule a site visit when a university representative can be present. In some cases, law enforcement may be requesting information to support an investigation on an external person or entity and may be gathering information.
What should I do if the outside agency presents a search warrant?
In the unlikely event that an agency presents a search warrant compelling immediate action (as opposed to a subpoena or other document that provides a date by which the university must comply), carefully review the document to verify it is a search warrant.
Although the investigating agency is unlikely to defer its search, immediately contact the Office of Research Compliance and Integrity and Campus Counsel so a university representative can be present as soon as possible.
What should I do if an outside agency presents a national security letter addressed to the university and asks that I not tell anyone about the letter or its visit?
Generally, this document should be served on the Office of Research Compliance and Integrity or Export Control and/or Facility Security Office and not individual students, faculty, or staff members. If an agency attempts to serve a document addressed to the university, you may state you are not authorized to accept service of such a document and direct the agency to the Office of Research Compliance and Integrity.
Can outside agencies require that the university provide the names and nationalities of university students, faculty or staff members?
The university does not provide the names and nationalities of students, faculty, or staff members absent a subpoena, court order, national security letter, or other legal document.
To do so could violate both state law and UC policy. All questions regarding students, faculty, or staff members should be referred to the Office of Research Compliance and Integrity or Campus Counsel. These offices can provide the outside agency with a clear explanation of our policies.
Is it all acceptable for a student, faculty, or staff member to participate in an interview with an agency without any university representative present?
The university’s strong preference is to have a university representative from either the Office of Research Compliance and Integrity or Campus Counsel attend any interviews of employees.
We ask for interviews to be scheduled in advance to accommodate this. In instances where a student is not an employee, we cannot require they have a representative present. However, any student can request a university representative be present while they are interviewed.
All students, faculty, and staff can decline to be interviewed, absent a subpoena, court order, national security letter or other document compelling participation.
What should a student, faculty or staff member do if they are contacted by an agency outside of their office or laboratory?
In the unlikely event someone is contacted outside of the university setting (for example at their home), that person may ask the agency to contact them in the workplace to take advantage of having a university representative present in any interview.
If the agency presents a search warrant, you may be compelled to cooperate, but contact the Office of Research Compliance and Integrity or Campus Counsel as soon as possible.
Should I cooperate with an agency that comes into my office or lab for an unannounced site visit?
In the event university students, faculty, or staff members are contacted by agencies, we encourage them to be cooperative, but to insist upon reviewing any legal documents presented before taking any action and to involve the Office of Research Compliance and Integrity in the site visit and investigation.
For additional information or assistance, contact the Research Compliance and Integrity Office at (858) 822-4939, rci@ucsd.edu.