How Reported Incidents are Investigated & Resolved


Once a possible incident of non-compliance is reported, an investigation ensues. The Compliance Officer determines the level and manner of investigations.

The Compliance Officer also keeps record of the investigation and outcome in a Compliance Issue Report form and maintains copies of evidence. The Issue Report form and evidence may be shared with the Company’s legal counsel.

Investigations may include:

  • Parent Surveys
  • Review of Progress/Evaluation Reports, Session Notes, Service Coordination notes, Intake Documentation, Database Notes, Billing Data, Provider Files, HR Files, etc
  • Interviews with Office Staff, Service Providers, Service Coordinators, Parents, Gov’t Officials/Regulators

In Reports of Patient Neglect/Abuse, the witness is immediately referred to contact the local Abuse/Neglect hotline/reporting agency.


Upon conclusion of an investigation, the CO ensures that appropriate remediation and corrective action is undertaken.

Possible Remediation and Corrective Action include:

  • Refund of Payment
  • Restaff of Cases
  • Individual Performance Improvement Plan
  • Termination of Employee or Contractor
  • Change in Policy & Procedure
  • Staff/Provider Training or Re-Training
  • Submission of Documentation to Regulator or Payer