Auditing Diversion Registrant Inventories of Controlled Substances
Description
Diversion Investigators regularly conduct accountability audits of Registrants' management of controlled substances in order to detect diversion. Registrants sometimes submit hundreds of pages of invoices, receipts, and logs, which must be reconciled against inventory and movement records to ensure that the audits balance. Diversion Investigators review these and mark them for review if there is non-compliance with regulations, such as missing information or missed signatures. This current workflow relies on manual data entry into spreadsheets, leading to errors, inconsistencies, and excessive investigative time.
Detailed example
Outputs may be data reports to support Diversion Control Division's mission and better serve the registrant community.
AI / analytics pattern
Natural Language Processing: AI that processes, interprets, and shares information in human language.
Automation level / stage
a) Pre-deployment – The use case is in a development or acquisition status.
Expected benefit
Reduces the amount of investigator time per audit by automating the extraction of key fields (e.g., item, quantity, cost, dates) from invoices and auto-populating computation charts. Standardized extraction and reconciliation eliminates human entry errors and decreases audit reconciliation error rates. Real-time flagging of discrepancies (e.g., inventory errors, excess sales, mismatched destruction records, possible fraudulent records) hastens the detection of potential diversion. Frees investigators to focus on high-value investigative activities and field operations, saving thousands in costs. Provides an auditable trail of extraction and reconciliation for internal and external audits. Maintains full audit-ready compliance for all registrants and a tangible audit trail for legal proceedings.
Audit / financial statement impact
Does not produce an output that serves as a principal basis for decisions or actions with legal, material, binding, or significant effect on any of the individuals or entities identified in OMB-25-21.
Controls / human review
ATO: Not reported; PIA: Not published