Client data security and complaint checklist

Life and Health Insurance Agent or Agency | PublicProof Academy working document

Keep Social Security, Medicare and health information secure and handle complaints the same way every time.

Business

State or jurisdiction

Prepared on

Owner

Official source saved

Next review

Data security

Devices encrypted and password-locked
Multi-factor authentication on email, CRM and carrier portals
Secure upload link used instead of plain email
Paper applications locked and shredded after retention period
Access removed for anyone who leaves
Incident response contact list (carrier, E&O insurer, state) saved

Complaints

Complaint logged with date and details
Carrier notified if required
Response sent within the time your state and carrier require
Root cause and fix recorded
Copy kept with client file

Use rule: Education and organization only. Record the agency, official source, checked date, cost, proof saved and responsible person for every consequential requirement. Unknown means stop and confirm. Example rows are labeled EXAMPLE and are not your data.