Documentation
The requirements in this section 15.7.3 are in addition to, and not in lieu of, all other documentation or document maintenance requirements that CMS has mandated.
A. Written and Telephonic Communications
(For purposes of this section 15.7.3, “written correspondence” includes mailed, faxed, and e-mailed correspondence.)
1. Written Correspondence
The contractor shall:
• Retain copies of all written correspondence pertaining to the provider, regardless of whether the correspondence was initiated by the contractor, the provider, CMS, State officials, etc.
• Document when it sends written correspondence to providers. For instance, if the contractor crafts an approval letter to the supplier dated March 1 but sends it out on March 3, the contractor shall note this in the file.
• Document all referrals to CMS, the ZPIC, or the OIG
2. Telephonic or Face-to-Face Contact (hereafter referred to as “oral communication”)
The contractor shall document any and all actual or attempted oral communication with the provider, any representative thereof, or any other person or entity regarding a provider. This includes, but is not limited to, the following situations:
• Telephoning a provider about its application. (Even if the provider official was unavailable and a voice mail message was left, this must be documented.)
• Requesting information from the state or another contractor concerning the applicant or enrollee
• Contacting the ZPIC for an update concerning a particular case
• Phone calls from the provider
• Conducting a meeting at the contractor’s headquarters/offices with officials from a hospital concerning problems with its application
• Telephoning CO (e.g., CO’s provider enrollment unit) or the RO (e.g., the RO’s survey and certification staff) and receiving instructions therefrom about a problem the contractor is having with an applicant or an existing provider
• Telephoning the provider’s billing department with a question about the provider.
When documenting oral communications, the contractor shall indicate: (1) the time and date of the call or contact; (2) who initiated the contact; (3) who was spoken with; and (4) what the conversation pertained to. Concerning the last requirement, the contractor need not write down every word that was said during the conversation. Rather, the documentation should merely be adequate to reflect the contents of the conversation. The documentation can be crafted and stored electronically if the contractor can provide access within 24 hours upon request.
The documentation requirements in this subsection (A) only apply to enrolled providers and to providers that have already submitted an enrollment application. In other words, these documentation requirements go into effect only after the provider submits an initial application. To illustrate, if a hospital contacts the contractor requesting information concerning how it should enroll in the Medicare program, this need not be documented because the hospital has not yet submitted an enrollment application.
If an application is returned per section 15.8.1 of this chapter, the contractor shall document this. The manner of documentation lies within the contractor’s discretion.
B. Verification of Data Elements
Once the contractor has completed its review of the CMS-855 (e.g., approved/denied application, approved change request), it shall provide a written statement asserting that it has: (1) verified all data elements on the application, and (2) reviewed all applicable names on the CMS-855 against the MED and the System for Access Management (SAM). The statement must be signed and dated. It can be drafted in any manner the contractor chooses so long as it certifies that the above-mentioned activities were completed. The record can be stored electronically.
For each person or entity that appeared on the MED or SAM, the contractor shall document the finding via a screen printout. In all other situations, the contractor is not encouraged to document their reviews via screen printouts. Simply using the verification statement described above is sufficient. Although the contractor has the discretion to use screen prints if it so chooses, the verification statement is still required
Tie-In Notices
• Initial enrollment
• Change of Ownership (CHOW) under 42 CFR §489.18
• Acquisition/Merger
• Consolidation
• Addition or deletion of home health agency (HHA) branch, hospital unit, or outpatient physical therapy extension site
• Voluntary and involuntary termination of billing numbers
As each RO may have different practices for issuing tie-in and tie-out notices, the contractor should contact its RO to find out the specific circumstances in which such notices are issued. This also applies to instances where the RO delegates the task of issuing tie-in or tie-out notices to the State agency. The contractor may accept such notices from the State in lieu of those from the RO. However, the contractor should first contact the applicable RO to confirm: (1) that the latter has indeed delegated this function to the State, and (2) the specific transactions (e.g., CHOWs, HHA branch additions) for which this function has been delegated.
In addition:
• Approval Letters – Depending on the RO, an approval letter may be issued in lieu of a tie-in notice.
• Review for Consistency - When the contractor receives a tie-in notice or approval letter from the RO, it shall review its contents to ensure that the data on the notice/letter matches that on the CMS-855. If there are discrepancies (e.g., different legal business name, address), the contractor shall contact the RO to determine why the data is different.
• Receipt of Tie-In When CMS-855 Not Completed - If the contractor receives a tie-in notice from the RO but the provider never submitted the necessary Form CMS-855 application, the contractor shall immediately alert the RO of the situation. The contractor shall also contact the provider and have it complete and submit the required application. (This applies to initial applications, CHOWs, practice location additions, etc.)
• Creation of New Logging & Tracking (L & T) Record Unnecessary - The contractor is not required to create a new L & T record in the Provider Enrollment, Chain and Ownership System when the tie-in notice comes in, as the existing record should not be in a final status and can therefore be modified. Simply changing the L & T status is sufficient.
Note that 42 CFR §489.13 governs the determination of the effective date of a Medicare provider agreement or supplier approval for health care facilities that are subject to survey and certification. Section 489.13 has been revised to state that: (1) the date of a Medicare provider agreement or supplier approval may not be earlier than the latest date on which all applicable federal requirements have been met, and (2) such requirements include the contractor’s review and verification of an application to enroll in the Medicare program. (See sections 15.17.4 and 15.26.3 of this chapter for more information.)
Special Program Integrity Procedures
This section contains additional verification procedures that the contractor shall utilize when processing the following transactions:
• Changes in the provider’s practice location
• Changes in the provider’s correspondence or special payment address
• On the Form CMS-588, changes in the provider’s bank name, depository routing transit number, or depository account number
• Revalidations and Form CMS-855 Reactivations
The instructions in this section 15.7.5 are in addition to, and not in lieu of, all other verification instructions contained in this chapter and in other CMS directives. Also, unless otherwise stated, section 15.7.5 applies to the Form CMS-855A, Form CMS- 855B and Form CMS-855I.
The signature comparison requirements stated below are not necessary if the Form CMS-855 or Form CMS-588 change request, reactivation, or revalidation was submitted with an electronic signature.
A. Change in Practice Location Address
In cases where a provider submits a Form CMS-855 request to change its practice location address, the contractor shall undertake the following activities:
1. Contact the location currently associated with the provider in the Provider Enrollment, Chain and Ownership System (PECOS) or the Multi-Carrier System (MCS) to verify that the provider is no longer there and did in fact move.
2. Request that the provider fax to the contractor a copy of a phone bill/power bill or other documentation containing the business’s new legal business name (LBN) or doing business as (DBA) name and its new address.
B. Change in Correspondence or Special Payments Address
If the provider submits a change to its correspondence or special payments address, the contractor shall contact the individual physician/practitioner (for Form CMS-855I changes), an authorized or delegated official (for Form CMS-855A and Form CMS- 855B changes), or the contact person listed in section 13 (for Form CMS-855A, Form CMS-855B, and Form CMS-855I changes) to verify the change. Hence, if the contractor cannot reach, as applicable, the individual physician/practitioner or an authorized or delegated official, it shall confirm the change with the contact person.
C. Change of EFT Information
If the provider submits a Form CMS-588 request to change the bank name, depository routing transit number, or depository account number, the contractor shall contact the individual physician/practitioner (for Form CMS-855I enrollees), an authorized or delegated official on record (for Form CMS-855A and Form CMS-855B enrollees), or the section 13 contact person on record (for Form CMS-855A, Form CMS-855B, and Form CMS-855I enrollees) to verify the change. Hence, if the contractor cannot reach, as applicable, the individual physician/practitioner or an authorized or delegated official, it shall confirm the change with the contact person.
D. Revalidations and Form CMS-855 Reactivations
When processing a revalidation or Form CMS-855 reactivation application, the contractor shall – unless another CMS directive instructs otherwise - the contractor shall abide by the instructions in subsections A and B above, respectively, if the (a) practice location address or (b) correspondence/special payment address on the application is different than that which is currently associated with the provider in PECOS or MCS.
E. Reassignment of All Benefits
If a physician or non-physician practitioner who is currently reassigning all of his or her benefits attempts to enroll as a sole proprietorship or the sole owner of his or her professional corporation, professional association, or limited liability company, the contractor shall call the old practice location to determine if the physician or nonphysician practitioner is still employed there; if he or she is not, contact the practitioner to verify that he or she is indeed attempting to enroll as a sole proprietorship or sole owner. (A copy of his/her driver’s license should not be requested.)
F. Potential Identity Theft or Other Fraudulent Activity
In conducting the verification activities described in this section 15.7.5, if the contractor believes that a case of identity theft or other fraudulent activity likely exists (e.g., physician or practitioner indicates that he or she is not establishing a new practice location or changing his or her EFT information, and that the application submitted in his/her name is false), the contractor shall notify its CMS Provider Enrollment & Oversight Group Business Function Lead (PEOG BFL) immediately; the BFL will instruct the contractor as to what, if any, action shall be taken.
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