QIO Corrective Action Plan (CAP) Process and Procedures

9035.3 – QIO Corrective Action Plan (CAP) Process and Procedures (Rev. 24, Issued: 02-12-16, Effective: 03-14-16, Implementation: 03-14-16) If the QIO Sanction Panel defers a final finding or affirms the initial findings, the Panel may suggest a written method of correction be initiated for the situation. (See 42 CFR §1004.60.) The QIO Sanction Panel should monitor the practitioner’s or other person’s compliance with the corrective action plan. The QIO has the flexibility and may use its discretion in working with the practitioner or other person when a CAP is appropriate. When providing the written CAP, the QIO should allot a time period when the QIO expects the situation to be corrected. This CAP may be in conjunction with or a continuation of a prior CAP, or may be a new proposal based on additional information received. If the initial findings are resolved to the QIO’s satisfaction, the QIO may modify the initial finding or recommend that the case be closed. See §9035.2 above.