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Question 1 of 6



Please answer with Yes or No

Your Answer Guide:

Yes or No?

Answer 'YES' if:

  • Your DEA-required documents are up-to-date.
  • They are easily accessible in a 'ready and retrievable' file.

Answer 'NO' if:

  • Your DEA documents are outdated or not easily accessible.
  • They are not organized in a 'ready and retrievable' manner.

REMEMBER:

  • Ready and retrievable' means your records are organized in a way that makes them quick to locate and present if requested by a DEA Investigator.

Question 2 of 6



Please answer with Yes or No

Your Answer Guide:

Yes or No?

Answer 'YES' if:

  • You're certain that all employees, both new and existing, have passed a comprehensive background check.

Answer 'NO' if:

  • Not all employees have undergone thorough background checks.

REMEMBER:

  • DEA compliance requires thorough background checks, as per 21 CFR §1301.76(a), to prevent employing individuals with controlled substance-related felony convictions.
  • Even partial background checks or missing checks for a few employees require a 'No' response to ensure full compliance with DEA regulations.

Question 3 of 6



Please answer with Yes or No

Your Answer Guide:

Yes or No?

Answer 'YES' if:

  • You are confident that your facility's controlled-substance policy and procedure manual is current, incorporating DEA diversion prevention guidelines and requirements.

Answer 'NO' if:

  • Your facility lacks a controlled-substance policy and procedure manual, or it's not updated according to the latest standards.

REMEMBER:

  • While SOPs aren't mandatory per DEA, they're crucial for compliance with federal and state guidelines. 
  • "Up-to-date" means regularly reviewing and updating policies to ensure proper handling and compliance with the Code of Federal Regulations (CFR) for controlled substances.

Question 4 of 6



Please answer with Yes or No

Your Answer Guide:

Yes or No?

Answer 'YES' if:

  • A qualified DEA compliance auditor has conducted a full audit at your facility within the last two years, adhering to current DEA requirements.

Answer 'NO' if:

  • Your facility has not undergone a mock audit by a qualified DEA auditor in the past two years.

REMEMBER:

  • Mock inspections are critically important in identifying non-compliance risks. They reveal gaps in your controlled-substance procedures and policies. 
  • A DEA-qualified auditor brings expertise from former DEA special agents and diversion investigators, providing insights into compliance and potential issues.

Question 5 of 6



Please answer with Yes or No

Your Answer Guide:

Yes or No?

Answer 'YES' if:

  • You're certain that all controlled substances at your facility are monitored under 24/7 video surveillance.

Answer 'NO' if:

  • Your facility doesn't have continuous (24/7) video surveillance covering all areas where controlled substances are stored and inventoried.

REMEMBER:

  • While not mandatory, the DEA highly recommends video surveillance as a key preventative measure against internal theft and diversion of controlled substances. It plays a crucial role in ensuring the security and integrity of your controlled substance storage.

Question 6 of 6



Please answer with Yes or No

Your Answer Guide:

Yes or No?

Answer 'YES' if:

  • You are sure that every controlled-substance disposal at your facility is witnessed by two authorized employees.

Answer 'NO' if:

  • Any controlled-substance waste disposal occurs without two authorized employees present.

REMEMBER:

  • The DEA mandates that two authorized employees must witness the disposal of controlled substances.
  • An "authorized employee" is one who acts on behalf of the registrant for controlled substance activities.