10-Point Checklist for Occupational Licensure Investigation Case Files

When investigating potential violations or misconduct related to occupational licensure, maintaining a thorough and organized case file is essential. This 10-point checklist outlines the key components that should be included in any occupational licensure investigation file.

The case file should contain a copy of the individual's occupational license, including the license number, issue date, expiration date, and contact information for the licensing authority. It should also include details about the complaint received, such as the date it was received and a summary of the alleged violation or misconduct, as well as the complainant's contact information.

The background investigation portion of the file should document the licensee's employment history, any prior complaints or disciplinary actions against them, and verification of the required education and training. If a site inspection was conducted, the file should include a report detailing the date and location of the visit, observations made, and any photos or other documentation.

Witness statements, signed by individuals with relevant information, should be included in the file, as well as any physical evidence such as documents, contracts, receipts, photos, or recordings. If the investigation involved a review of financial records, those should be documented as well, along with any expert analysis that was performed.

The licensee's written response, explaining their side of the allegations and any mitigating factors or corrective actions, should be contained in the file. Finally, the investigative report summarizing all findings and evidence, the determination of any violations, and recommended actions should be included, signed by the investigator and approving official.

Adhering to this comprehensive case file checklist helps ensure occupational licensure investigations are thorough, well-documented, and able to withstand legal scrutiny. A complete investigative record is critical for effectively addressing licensure issues and protecting public safety.