Quick Free DEA Compliance Assessment

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HOW DID YOU HEAR ABOUT US?
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Please provide Company Information* This field is required.All fields are Required
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Select your PRIMARY DEA registration type* This field is required.
Dispenser: Practitioner/Pharmacy/Teaching Institution/Researcher/Hospital/Clinic
Please Select
Dispenser: Practitioner/Pharmacy/Teaching Institution/Researcher/Hospital/Clinic
Manufacturer or Distributor
Narcotic Treatment Program
Researcher
Importer/Exporter
Chemical Analyst
Owner of Encapsulation or Tableting Machine
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As a Dispenser. Do you conduct any of the following coincidental activities?
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Section I: Recordkeeping & Documentation Basics* This field is required.Check each box that applies: if you can confidently provide the document—to a DEA investigator today, upon request.
Initial Inventory Report – This reports on the amount of inventory your business started with. Amongst other items it includes the date & time of day that the inventory was taken. (ref: 21 CFR §1304.11(b), §1304.04, and §1304.21(a))
Continuous Inventories – The report is taken at least biennially & amongst other items it documents the date & time of day that the inventory was taken. (according to 21 CFR §1304.11(c-e), §1304.04; and §1304.21(a)).
Incoming Transaction Report – A complete & accurate report of all CII–CV controlled substances acquired by your business with supporting documents (invoices, DEA Form 222, CSOS records, internal transfers, prescriptions, etc.), according to 21 CFR §1304; 1305; &1306.
Outgoing Transaction Report – A complete & accurate report of all CII–CV controlled substances dispensed, distributed (sold), destroyed, or otherwise disposed of by your business, with supporting documents (invoices, DEA Form 222, CSOS, electronic prescriptions, DEA Form 41, etc.) according to 21 CFR §1304; 1305; 1306.
Compounding Report – A complete & accurate report that documents the process of all compounding activities conducted at you business and supporting documents are available AND ready for inspection.
Special Operations Report – Complete & Accurate accounting of controlled substances activities conducted at an affiliate or related company that falls under a long-term care facilities (LTCFs), automated dispensing systems (ADS), EMS records, pharmaceutical waste, or telepharmacy operations with supporting documents are available AND ready for inspection.
None applicable
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Section I Score (Recordkeeping)
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Section I: Risk Level (Recordkeeping)
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Section II: Security & Access* This field is required.Check each box if you can confidently provide this documentation, to a DEA investigator today if requested.
Access Logs – A complete & updated report of employees who are allowed to enter controlled substance areas and each storage containers, (as required by to 21 CFR §1301.71, §1304.04, §1304.21).
Alarm Systems – You have kept documentation showing that your alarm & security program is regularly tested & in working condition, as required by 21 CFR §1301.71, §1304.04, §1304.21
Keys / Cards / Codes – You have maintained documentation that shows Issuance, changes, and monitoring of keys, access cards, or security codes, including updates for new employees and staff turnover history. (according to 21 CFR §1301.71, §1304.04, §1304.21).
Electronic Prescription Ordering System – You have written or unwritten policy & practices showing that your electronic token for ordering controlled substances (CSOS) remains in their sole possession of the individual it was obtained for. (ref: 21 CFR §1305.21, §1304.04, §1304.21)
Storage Location Knowledge – You understand and know every area where controlled substances are located and you have created a floorplan showing each location. (according to 21 CFR §1301.71, §1304.04, §1304.21).
You can identify the special type of storage your facility has to maintained to stocks Thiafentanil, Carfentanil, Etorphine Hydrochloride or Diprenorphine according to 21 CFR §1301.75, §1304.04, §1304.21..
None applicable
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Section II Score (Security & Access)
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Section II Risk Level (Security & Access)
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Section III: Inspections & Audits* This field is required.Check each box if your office currently conducts these inspection/audit measures related to controlled substances
DEA Interaction Records – Copies of past DEA inspection reports, responses, and documented conversations with DEA are maintained.
Self-Audits / Internal Reviews – Your business conducts on a regular basis self audits (annual, quarterly, or more frequent as needed) according to 21 CFR §1311.215, §1304.04, §1304.21..
Invoice Verification – You have policy & documented practices of contacting your Vendor to confirm legitimacy of prescription orders, detect unauthorized accounts, or identify unapproved controlled substance purchases on a regular basis.
Corrective Action Tracking – Procedures to identify Deficiencies found during audits/inspections are documented, with corrective actions implemented and verified.
Diversion Awareness Training – Your Staff receive inspection-readiness and diversion-awareness training on a recurring basis.
Mock Security Alarm Checks occur on a regular basis (at least monthly, quarterly, or yearly)
None Applicable
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Section III Score (Inspections & Audits)
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Section III Risk Level (Inspections & Audits)
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Section IV: Training & Policies* This field is required.Check each box if your office currently maintains the following training programs and written policies related to controlled substances.
Written Policies & Procedures – Regarding Controlled substance ordering, dispensing, recordkeeping, security, and disposal of controlled substances.
Employee Training – You have written policy of your staff being trained on controlled substance handling, diversion prevention, and DEA compliance requirements at hire and periodically thereafter.
Training Acknowledgment Records – Signed acknowledgments of training/policy taken by employee are maintained for review.
Refresher / Continuing Education – Ongoing or annual refresher training is provided for staff on DEA rules, red flags, and inspection readiness.
Policy Updates – Policies are reviewed and updated regularly to reflect new DEA regulations, state requirements, or internal changes.
Combat Methamphetamine Epidemic Act (CMEA) Product Training – Employees receive training on identification, handling, and sales restrictions of CMEA-regulated products (e.g., pseudoephedrine, ephedrine, phenylpropanolamine), including logbook requirements and daily/monthly sales limits.
You understand and are @ least familiar with where to access the DEA regulations required for your business success.
You understand and are @ least familiar with where to locate the DEA laws that your business is required to abide by.
You understand and are @ least familiar with where to locate the civil fines associated with violations found with DEA regulations and laws.
None Applicable
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Section IV Score (Training & Policies)
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Section IV Risk Level (Training & Policies)
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Final Calculation (Adding it all Up)
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"What Your Score Means for You"

✅ Excellent Score: You've built a strong compliance foundation - great work!
⚠️ Moderate Score: You're on the right track, but there are some gaps that we could help with.
❌ Low Score: Don't panic - you're NOT alone. Many registrants discover big gaps only when it's too late.

You've completed your self-asessment - great job! This is only the start...Based on your responses, your scorecard shows where your practice is strong & weak. But here's the reality: DEA Inspections go far deeper than a self-assessment. This is why LAMBRS Comprehensive Compliance Evaluation brings value to your business...

Lamb & Affiliates Regulatory Solutions, Inc. specializes in helping you stay inspection-ready by providing:

Customized action plan to fix gaps before DEA finds them

Compliance training & policy development

Internal audit & risk assessments

Organized recordkeeping folder system for DEA Regulatory Inspections

DEA Regulatory Inspection prep & response support

💡 Next STEP: Visit Our Website to find Compliance Solutions that fit your needs:

Tier 1: DIY Checklist → Bivouac Blueprint Self-Guided Manual & Checklist ($65)

Tier 2: Comprehensive Assessment → Customized Online ($995)

Tier 3: Lamb Lab → “We come to you” 1-day Onsite Compliance Mock Inspection/Audit (Starting at $7,995 + travel & expenses)

Stay Compliant,
The LambRS Compliance Team
832-455-4763 (text us)

Email Us: Info@LambRS.com
Visit our Website: www.LambRS.com

Disclaimer: This tool is for compliance self-assessment purposes only. It does not replace formal DEA compliance consulting or legal assistance.

© 2025 LambRS. All rights reserved.
This assessment, including all questions, scoring methodology, audit framework, and corrective action recommendations, is the intellectual property of LambRS. Unauthorized reproduction, distribution, resale, or adaptation of this material, in whole or in part, without prior written consent of LambRS, is strictly prohibited.

This assessment is provided solely for the internal compliance use of the client to whom it is delivered. It may not be used for any commercial purpose outside of that relationship.
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