Regulatory/Agency Inspections and Requests for Information
Faculty and staff
This policy sets forth the provisions for responding to an individual(s) representing a federal, state or local government regulatory agency who visits or otherwise contacts a department for the purpose of conducting an inspection or other data collection procedure. A list of regulatory authorities would include, but not be limited to, the Occupational Safety and Health Administration (OSHA), Environmental Protection Agency (EPA), New York State Department of Health (DOH), New York State Department of Environmental Conservation (DEC), federal and New York State Departments of Transportation (DOT), New York State Department of Labor (DOL) and the Onondaga County Department of Water Environment Protection.
- Record the person's name, government affiliation, stated purpose of the visit (if provided) and arrival time. As a general rule, officials are required to identify themselves and their affiliation and state the purpose of their visit.
- Give no consent. Inform the regulatory official that University policy requires that you notify the Environmental Health Office or Safety Office and obtain management authorization before allowing the official to proceed.
- Immediately notify the Environmental Health Office or Safety Office and provide your name, department, location and phone number; and the visiting official's name, affiliation, stated purpose of the visit and time of arrival. The Environmental Health Office or Safety Office will dispatch an authorized University representative to meet the official.
- While waiting for the authorized University representative, courteously request that he/she defer asking questions relating to his/her inquiry until the authorized University representative arrives. If the University allows the inspection to proceed, coordinate with the designated University representative on how to address the inspector's questions to ensure accuracy and completeness.
- If contacted by telephone, record the caller's name, affiliation, and nature of the request, if provided. Ask for the request to be presented in writing, including the reason for the request and the deadline for response. Courteously inform the caller that this is University policy for tracking its responses to regulatory agencies. After the call, contact the Environmental Health Office or the Safety Office and provide your name, department, location and phone number; and the official's name, affiliation, time of the call, and stated request and reason for the request if provided in the call.
Third party contractors are not authorized to grant consent for access to University-owned/operated areas without the University's prior written approval. They must immediately inform the University unit supervising their work if they receive such requests for access, or for information related to their work at the University.
Links to Procedures and Related Information
Date: August 2005
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