Compliance & Regulations

Q. What is an audit? A. An audit is a formal review of documentation, records, and practices to ensure the agency is meeting regulatory standards and service expectations. ASN conducts internal audits (completed by the agency). ASN is also subject to external audits (completed by the state, waiver oversight, and funders) audits. Q. When do audits happen? A. ASN conducts daily internal audits of individual service files to ensure compliance. External audits, which are typically unannounced, occ...

Q. Why is accurate documentation so important? A. Documentation (example: Daily Activity Records, Communication notes, etc.) is a main part explaining the service delivery. It shows what support was provided, how the member’s needs were met, and ensures the organization remains compliant with state and waiver requirements. If it isn’t documented, it is considered not done.

Q. What qualifies as an Incident? A. An incident is any event that may impact the member’s safety, health, rights, emotional well-being, or quality of care. Examples include injuries, medication errors, behavioral crises, neglect concerns, restrictive interventions, missing persons, or any allegation of abuse or exploitation. If you are unsure — report it. The C&R team will determine the correct classification. Contact the Compliance & Regulations Department at asncr@supports.org or your direct...

Q. How long does an investigation take? A. The length of an investigation varies depending on the complexity of the situation. Some matters may be resolved quickly, while others require additional interviews, documentation, or regulatory consultation. You will be notified of outcomes when the review is complete. Q. Why might I be placed on administrative suspension? A. Administrative suspension is used to allow a fair and neutral investigation. It is not a presumption of wrongdoing. Suspension ...

General Compliance & Incident Reporting Q. What does the Compliance & Regulations Department do? A. The Compliance & Regulations (C&R) Department is responsible for ensuring that services are delivered in accordance with applicable laws, regulations, and agency policies. The department provides oversight, conducts investigations, reviews Witness Participation forms, inputs Incident Reports, and promotes safe, ethical, and compliant practices across the organization.

General Compliance & Incident Reporting Q. What does the Compliance & Regulations Department do? A. The Compliance & Regulations (C&R) Department is responsible for ensuring that services are delivered in accordance with applicable laws, regulations, and agency policies. The department provides oversight, conducts investigations, reviews Witness Participation forms, inputs Incident Reports, and promotes safe, ethical, and compliant practices across the organization. Q. What qualifies as an Inc...