In today’s complex healthcare landscape, whistleblower claims are a major source of regulatory and legal risk for organizations. Last year saw a record number of “qui tam” claims filed under the False Claims Act. While maintaining legal compliance and delivering high-quality care is the best protection, how you communicate when a concern is raised can make a crucial difference. Effective communication can prevent a concerned individual from escalating their complaint to regulators, prosecutors, or private attorneys.
Please see Podcast here.
Three Key Communication Strategies
1. Acknowledge Receipt and Set Expectations
The first step when someone reports a compliance concern is to confirm receipt and show that you’re taking it seriously. Let the individual know their concern is being investigated through proper channels. It is also helpful to set expectations, in particular, to alert the complainant that confidentiality and privilege issues will likely limit what if any, information you can provide at the conclusion of the investigation.
If a complainant feels ignored or dismissed, they are more likely to seek external avenues. Setting clear expectations—especially around confidentiality and the inability to share investigation outcomes—can prevent misunderstandings and frustrations later. Reassure the reporter that you will investigate thoroughly, even if you cannot disclose the final resolution due to privilege or legal reasons.
2. Engage in a Two-Way Conversation
Don’t rely solely on the initial complaint submission. Take time to understand the concern fully by having a follow-up conversation or interview. This gives the person a chance to share more details and feel heard.
Giving someone the space to explain their issue and ask questions shows that you value their input and are taking the matter seriously. This can diffuse frustration and reduce the urge to escalate the situation while also making sure you have all the needed information for your review.
3. Follow-Up After Closing the Matter
Once your investigation concludes—whether or not any non-compliance is found, consider following up with the individual. This strategy must be tailored to the situation and, in sensitive cases, coordinated with your legal counsel. If no wrongdoing is found, consider explaining why. This level of transparency may reduce the likelihood of further complaints. If non-compliance is found, definitely work with your legal counsel to weigh the benefits and risks of disclosing corrective actions and whether correspondence with the complainant is appropriate. If the issue is covered under peer review or another privilege, or if sharing details could create liability, a brief acknowledgment of closure may suffice.
Final Thoughts
A common thread in whistleblower claims is often the perception that concerns were ignored or minimized. By using clear, respectful, and proactive communication, you not only support a culture of compliance but also help mitigate risk.
Ultimately, thoughtful communication can be an effective tool in preventing whistleblower claims and can help create a compliance-minded culture by making sure individuals expressing concerns feel heard, respected, and confident that their concerns are taken seriously.
