Internal Investigations

Sample Investigation Checklist

1. Notify Appropriate Individuals

Privacy officer

Director

Vice president

CEO

Compliance committee

Board of directors

Other:

2. Timeline

Acknowledge receipt of complaint

Identify involved parties

Interview complainant

Inform accused supervisor

Prepare interview

Notify Human Resources

Inform accused

Patient notification

Office for Civil Rights (OCR) breach notification

3. Investigation Documentation

Interviews

Screenshots

Photographs

Audits

Baseline/behavior analytics

Electronic medical record documentation

Business associate agreement

Department processes/procedures

Employee Health Insurance Portability and Accountability Act training

Breach analysis/risk assessment

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