Scope of appointment form

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)

Click here for full copy of the CMS marketing guidelines

Generic CMS Scope Of Appointment Form

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
offices.
Timing: Prior to the appointment.
Method of Delivery: Beneficiary signed hard copy, telephonic recording, or electronically
signed.
HPMS Timing and
Submission:Not applicable.
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.

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