1.5 Compliance Record Maintenance Policy

  • PURPOSE:

    Maintaining the integrity of the Compliance Program, records will be kept in a secure, protected manner.

    POLICY:

    The Compliance Officer will establish a working file for all alleged complaints, this file will contain documentation of actions taken to investigate and resolve the issue. These files will be in a secure filing cabinet under control of the Compliance Officer. These files will be managed in a manner to prevent the erroneous disclosure of information.

    PROCEDURE:

    A working file will be established for each alleged complaint to contain:

    • Date of alleged complaint
    • Investigative process, person(s) involved
    • Any evidence obtained, witness, documentation
    • Corrective measures taken
    • Date case was closed

    Revised 11/2012

  • Date Format: MM slash DD slash YYYY