What to Include on Your Scope of Appointment Documentation

Infographic about the Medicare Marketing Guidelines for Documenting a Scope of Appointment

Documenting your Medicare Scope of Appointment (SOA) is a critical and necessary part of selling. Not only do you need your prospective enrollee’s agreement on the nature of the meeting, but there are also specific elements that need to be included in your documentation.

What Information Is Required on SOA Documentation?

According to CMS rules (Medicare Marketing Guidelines, Section 70.4.3), an SOA must include the following:

  • Date of appointment
  • Beneficiary contact information, such as name, address, and telephone number
  • Written or verbal documentation of agreement from a beneficiary or appointed/authorized representative
  • Product types the beneficiary has agreed to discuss during the scheduled appointment, such as a Medicare Advantage (MA), Prescription Drug Plan (PDP), or Medicare-Medicaid Plan (MMP)
  • Agent information, such as name and contact information
  • A statement clarifying that:
  • beneficiaries are not obligated to enroll in a plan.
  • current or future Medicare enrollment status will not be impacted.
  • beneficiaries are not automatically enrolled in the plan(s) discussed.

Can the SOA be an Oral Agreement?

Yes. The documentation may be in the form of a signed agreement by the beneficiary or in a recorded oral agreement.

Can Brokers Document an SOA Through Email?

Yes. In fact, any technology can be used to document the Scope of Appointment, including conference calls, fax machines, designated recording lines, prepaid envelopes, and email.

During the Appointment, Can Brokers Include Additional Topics not on the SOA?

No. If a beneficiary has not agreed, in advance, to discuss a product type, it must be documented in a second SOA before the second product discussion continues.

Where Can I Get More Medicare Marketing Guidance?

For more on what brokers should know about SOA and documenting SOA at marketing events, visit Excelsior’s resource center. There, you’ll find the help you need with Medicare guidelines, sales advice, and more to keep your business on track. Learn more about the Excelsior team and how we can help you by contacting us.

Note: For the most current information, see the CMS Medicare Marketing Guidelines.



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