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DEA Prescription Audits and Investigations: Triggering Events; Process Navigation; Mitigating Noncompliance Risks

Recording of a 90-minute CLE video webinar with Q&A

This program is included with the Strafford CLE Pass. Click for more information.
This program is included with the Strafford All-Access Pass. Click for more information.

Conducted on Wednesday, November 5, 2025

Recorded event now available

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This CLE webinar will examine how to navigate Drug Enforcement Agency (DEA) prescription drug audits and investigations. The panel will discuss actions that could trigger audits or investigations, describe what may be expected when going through the audit or investigation process, and offer best practices for developing processes and procedures to mitigate risk of Controlled Substances Act (CSA) violations and subsequent penalties.

Description

Healthcare providers, pharmacies, and other entities handling controlled substances are subject to constant scrutiny by the DEA, which is responsible for enforcing the CSA. That scrutiny has only intensified over recent years in light of the ongoing opioid crisis.

As part of its enforcement efforts, the DEA performs routine audits of providers to ensure CSA compliance in the handling, prescribing, and dispensing of controlled substances. DEA audits may be scheduled or unannounced and may be routine or may be triggered by certain behaviors including unusually high volumes of controlled substances prescriptions, reports of theft or loss, and complaints from patients or other healthcare professionals.

If the DEA suspects or finds evidence of criminal activity, providers may be subject to a DEA investigation, which may include a more in-depth examination of prescribing and dispensing practices, and may involve surveillance, interviews, and collaboration with other law enforcement agencies.

Counsel should understand the triggers for DEA audits and investigations and how to guide clients through these processes that could result in significant administrative, civil, and/or criminal penalties.

Listen as our expert panel examines how to navigate DEA prescription drug audits and investigations. The panel will identify the scope of each and possible triggers. The panel will also offer best practices for helping clients develop processes and procedures to mitigate the risk of CSA violations and potential penalties.

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Outline

  1. Introduction
    1. Statutory authority
    2. Increased scrutiny
  2. DEA audits
    1. Purpose
    2. Triggers
    3. What to expect of the process?
  3. DEA investigations
    1. Purpose
    2. Triggers
    3. What to expect of the process?
  4. Preparing for potential audits and investigations; minimizing risk of violations
    1. Maintaining records
    2. Policies and procedures
    3. Other
  5. Penalties: administrative, civil, and criminal
  6. Practitioner takeaways

Benefits

The panel will review these and other key issues:

  • What actions may trigger a DEA audit? Investigation?
  • What practices should healthcare providers handling prescription drugs put into place to prepare for a potential audit or investigation and mitigate risk of noncompliance?
  • What can healthcare clients expect in a DEA audit? Investigation?
  • What potential penalties could clients face for CSA noncompliance?

Faculty

Mazina, Natalia
Natalia Mazina
Founder
Mazina Law

Ms. Mazina offers extensive experience to healthcare providers in the areas of government investigations, including...  |  Read More

Wichern, Dennis
Dennis A. Wichern
Managing Partner
Prescription Drug Consulting

Mr. Wichern is a 30-year veteran of the DEA who formerly managed the Chicago Field Division. He currently assists...  |  Read More

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