CMS Seeks Comments to Proposed Audit Protocol Changes

In a Health Plan Management System (HPMS) memo dated August 20, 2019, the Centers for Medicare and Medicaid Services (CMS) announced they are seeking comments to their proposed changes to the current program audit protocols, which expire in 2020.  All protocol areas have updates and clarifying language to the Audit Process and Data Request documents. 

Noteworthy changes include:

Compliance Program Effectiveness (CPE)

  • Removal of the CPE Self-Assessment Questionnaire

Coverage Determinations, Appeals and Grievances (CDAG)

  • Removal of the CDAG Supplemental Questionnaire
  • Removal of Tables 9, 10 and 16
  • Reduced the data integrity sample size to 65 (from 75)
  • Increased the Grievance sample size from 10 to 20
  • CMS is excluding cases that require an Appointment of Representative (AOR), where no AOR has been received, in Tables 1-8, 14 and 15

Formulary Administration (FA)

  • Removal of the ‘Website’ section of the Audit Process and Data Request
  • Increased the Transition sample size from 15 to 30, clarifying claim selection will include both protected and non-protected class drugs

Organization Determinations, Appeals and Grievances (ODAG)

  • Removal of the ODAG Supplemental Questionnaire
  • Removal of Table 14
  • Removal of ‘Dismissals’ from the data integrity sampling to reduce the sample size to 60 (from 65)
  • Removal of OD approved cases from the Clinical Decision Making section, reducing the sample size to 35 (from 40)
  • Increased the Grievance sample size from 10 to 20
  • CMS is excluding cases that require an AOR, where no AOR has been received, in Tables 1-2, 4-6 and 11-12

Special Needs Plan Model of Care (SNP MOC)

  • Removal of ‘Enrollment Verification’ audit element

Additionally, CMS has removed the Medication Therapy Management (MTM) audit area from the protocols.  Impact Analysis templates for all audit areas remain unchanged.  The updated protocols, including a crosswalk of changes, can be found here.  Comments are due to CMS no later than October 15, 2019.

The trend in reducing burden to Plans continues with these proposed changes.  Gorman Health Group (GHG) suggests internal discussions related to the proposed changes start now so Plans are best prepared when the finalized protocols are distributed.

GHG conducts mock audits that align with the CMS Program Audit Protocols?  Contact us today for more information.


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Tina Bailey
Tina Bailey

Vice President, Compliance Solutions

Tina Bailey began her tenure at GHG in 2011 and was appointed Vice President, Compliance Solutions in August 2018. In this capacity Tina leads the Compliance Solutions team and its engagements to ensure optimum solutions. Tina brings GHG clients more than 25 years of experience, providing them a knowledgeable resource in Medicare Advantage and Part D with an emphasis on Special Needs Plans (SNPs). Her areas of expertise include compliance, applications, audits, readiness, delegation oversight, marketing materials, bid development, new plan implementation as well as appeal and grievance expertise. Prior to her role at GHG, Tina held a management position with a SNP where she was responsible for the organization's day-to-day Medicare operational compliance. Tina has also held management positions with several MAOs in the greater Los Angeles and Orange County markets. In her previous roles, Tina was responsible for compliance interpretation and implementation, member/marketing material review and submission, bid development and submission, internal audits and CMS audit preparation, implementing internal corrective action plans, and creating detailed trainings. Tina is certified in Compliance and Ethics from the Health Care Compliance Association.

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