Checklist: Covering the Investigation Bases

By Nina Youngstrom

This tool, which was developed by Melissa Andrews, appears in the Health Care Compliance Association’s Healthcare Compliance Forms and Tools.[1]

1. Notify Appropriate Individuals

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Privacy officer

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Director

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Vice president

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CEO

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Compliance committee

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Board of directors

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Other:

2. Timeline

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Acknowledge receipt of complaint

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Identify involved parties

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Interview complainant

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Inform accused supervisor

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Prepare interview

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Notify Human Resources

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Inform accused

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Patient notification

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Office for Civil Rights (OCR) breach notification

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