Scope of appointment form
Scope of appointment form (SOA) outlines what you will be discussing with a client prior to the meeting. The idea is that it is a way to identify the product(s) that will be discussed with the client or prospect. Until, 2018 CMS required agents to get the scope 48 hours prior to a meeting. If you could not obtain the scope prior to the meeting, you must document why it was signed at the time of the appointment. Although, as of 1-1-19 it is no longer necessary to get the scope ahead of time. This means that; same day/time scopes are acceptable.
The CMS requires agents to keep the SOA for a period of 10 years. This is a requirement even if you do not make a sale. The SOA is necessary for all face to face meetings. This is also true for discussions that are not face to face; such as, one on one phone calls. A scope was not necessary for non face to face meetings prior to 2019. If clients/prospects want to discuss products not checked off on the first, scope you must stop the meeting and have them sign a new scope. If they would like to discuss non- health related products, you will need to come back a different day to discuss them.
SOA requirements according to the Medicare Communication and Marketing Guidelines
- The scope may be in written form (generic scope is ok)
- Date of the appointment
- Prospects/beneficiary contact information… name, phone, address
- Types of products they have agreed to discuss (MA, MAPD, PDP, etc..)
- Name and contact information of the agent
- Statement on the form saying…
- No obligation to take a plan
- No bearing on current enrollment or future enrollment
- Prospect is not automatically enrolled in the plans discussed.
- Form not required for compliant sales/marketing event
- Form required at sales/marketing event to schedule future appointment.
Scope of appointment form in CMS marketing guidelines (MCMG)
Scope rules from the CMS marketing guidelines
Scope of Appointment (Communications)
Requirements: Must be documented for all marketing activities. This includes either, in-person,
telephonically, including walk-ins to Plan/Part D sponsor or agent
Timing: Prior to the appointment.
Method of Delivery: Beneficiary signed hard copy, telephonic recording, or electronically
HPMS Timing and
Format Specification: No model required, must include required content.
Guidance and Other
Needed Information: The following requirements must be either on the scope of appointment form or on the recorded call:
-Product types to be discussed
-Date of appointment
-Beneficiary as well as agent contact information
-Statement saying, the client is under no obligation to enroll in a plan and their current or future status will not be impacted and they will not be automatically enrolled in a plan.
-Please note; A new SOA is needed if new health related products are discussed. Non-health products must have a new appointment for another day.