Medicare Parts C and D Universal Audit Guide

MAO INSTRUCTIONS FOR ENCLOSURE I - INFORMATION REQUIRED FOR AUDIT
It is the MAO's responsibility to provide whatever documentation it believes will demonstrate compliance with each element.
For each onsite element included in the audit the MAO must provide documentation that demonstrates compliance with that individual
element. Refer to the required documentation. Documentation not referenced in the required documentation
should also be provided if it assists in demonstrating compliance. If the auditors do not believe compliance has been
established, they will request additional documentation during the audit.

All documentation should be available onsite, if an onsite review will be performed.
In each section, if an "X," is placed in a row titled, "Documentation for all elements . . .," provide documentation for all elements excluding NA,
PA Exempt, (or Deemable, if deemed) for the elements in that section. The individual elements in the section will not be marked, except for
those that are NA or PA Exempt.
Columns

Explanation

1. Send to RO

If this box is marked with an "X," the documentation associated with the element/general information should be sent to the RO by the date
requested in the confirmation of review letter.

2. Have Available Onsite

If this box is marked with an "X," the documentation associated with the element/general information should be available onsite. Note: If
an "X," is placed in both columns 1 and 2, the documentation should be sent to the RO and should also be available

3. NA

If this box is marked with an "X," the element is not included in the review.

The remaining columns are informational.

4. Deemable (Y/N)

This column identifies the elements that are deemable. If the MAO has deemed status and this column contains a "Y," the element is not
included in the review.

5. Element Code

The element's code as it appears in the Review Guide.

6. Description of
Element/General
Information

Description of the element as it appears in the Review Guide and other general information.

7. Element Type

The type of element as it appears in the review guide (Sample, Onsite, or Ongoing).

8. Associated
Worksheet(s)

Worksheet(s) that are linked to the element.