View Information Collection (IC)
Skip to main content
An official website of the United States government
The .gov means it's official.
Federal government websites often end in .gov or .mil. Before sharing sensitive information, make sure you're on a federal government site.
The site is secure.
The https:// ensures that you are connecting to the official website and that any information you provide is encrypted and transmitted securely.
Search:
Agenda
Reg Review
ICR
View Information Collection (IC)
View Information Collection (IC)
IC Title:
Program Audits
Agency IC Tracking Number:
Is this a Common Form?
No
IC Status:
Modified
Obligation to Respond:
Mandatory
CFR Citation:
42 CFR 423.514
42 CFR 422.504
42 CFR 423.505
Information Collection Instruments:
Document Type
Form No.
Form Name
Instrument File
URL
Available Electronically?
Can Be Submitted Electronically?
Electronic Capability
Instruction
CPEProtocol.docx
Yes
Yes
Printable Only
Instruction
FAProtocol.docx
Yes
Yes
Printable Only
Instruction
CDAG Protocol.docx
Yes
Yes
Printable Only
Instruction
ODAGProtocol.docx
Yes
Yes
Printable Only
Instruction
SNPCCProtocol.docx
Yes
Yes
Printable Only
Form
CMS-10717
Pre Audit Issue Summary
PreAuditIssueSummary.docx
Yes
Yes
Fillable Printable
Form and Instruction
CMS-10717
Compliance Program Effectiveness (CPE) Compliance Oversight Questionnaire
CPEQuestionnaire.docx
Yes
Yes
Fillable Printable
Form and Instruction
CMS-10717
Compliance Program Effectiveness (CPE) Customized Organizational Structure and Governance PowerPoint Presentation
CPEPowerPointPresentation.docx
Yes
Yes
Fillable Printable
Form and Instruction
CMS-10717
Part D Formulary and Benefit Administration (FA) Supplemental Questionnaire
FAQuestionnaire.docx
Yes
Yes
Fillable Printable
Form and Instruction
CMS-10717
Special Needs Plans - Care Coordination Supplemental Questionnaire
SNPCCQuestionnaire.docx
Yes
Yes
Fillable Printable
Form and Instruction
CMS-10717
Part D Coverage Determinations, Appeals, and Grievances (CDAG) Processing of Coverage Requests Root Cause Analysis and Impact Analysis
CDAGPCRImpact.xlsx
Yes
Yes
Fillable Printable
Form and Instruction
CMS-10717
Part D Coverage Determinations, Appeals, and Grievances (CDAG) Classification of Requests Root Cause Analysis and Impact Analysis
CDAGCRImpact.xlsx
Yes
Yes
Fillable Printable
Form and Instruction
CMS-10717
Special Needs Plans Care Coordination (SNPCC) Root Cause Analysis and Impact Analysis
SNPCCImpact.xlsx
Yes
Yes
Fillable Printable
Form and Instruction
CMS-10717
Special Needs Plans Care Coordination (SNPCC) HRA Timeliness Mitigation Analysis (HRA-TMA)
SNPCC HRATMA.xlsx
Yes
Yes
Fillable Printable
Form and Instruction
CMS-10717
Part C Organization Determinations, Appeals, and Grievances (ODAG) Processing of Coverage Requests Root Cause Analysis and Impact Analysis
ODAGPCRImpact.xlsx
Yes
Yes
Fillable Printable
Form and Instruction
CMS-10717
Part C Organization Determinations, Appeals, and Grievances (ODAG)Classification of Requests Root Cause Analysis and Impact Analysis
ODAGCRImpact.xlsx
Yes
Yes
Fillable Printable
Form and Instruction
CMS-10717
Organization Determinations, Appeals, and Grievances (ODAG) ODAG Timeliness Mitigation Analysis (ODAG-TMA)
ODAGTimelinessMT.xlsx
Yes
Yes
Fillable Fileable
Form and Instruction
CMS-10717
Formulary and Benefits Administration (FA) Root Cause Analysis and Impact Analysis
FAEnrolleeImpact.xlsx
Yes
Yes
Fillable Printable
Form and Instruction
CMS-10717
Root Cause Analysis
RootCauseAnalysisTemplate.xlsx
Yes
Yes
Fillable Fileable
Form and Instruction
CMS-10717
Independent Validation Audit Work Plan
IndependentValidationAWP.docx
Yes
Yes
Fillable Fileable
Form
CMS-10717
Attendance Log for Meetings/Webinars/Conferences
AttendanceLogTemplate.docx
Yes
Yes
Fillable Fileable
Form and Instruction
CMS-10717
CMS Request for Additional Information (RAI)/Sponsor Response
ProgramAuditCMSRAI.docx
Yes
Yes
Fillable Fileable
Form and Instruction
CMS-10717
Independent Validation Auditor (IVA) Validation Report
IndependentValidationART.docx
Yes
Yes
Fillable Fileable
Federal Enterprise Architecture Business Reference Module
Line of Business:
Health
Subfunction:
Health Care Services
Privacy Act System of Records
Title:
FR Citation:
Number of Respondents:
30
Number of Respondents for Small Entity:
0
Affected Public:
Private Sector
Private Sector:
Businesses or other for-profits, Not-for-profit institutions
Percentage of Respondents Reporting Electronically:
100 %
Requested
Program Change Due to New Statute
Program Change Due to Agency Discretion
Change Due to Adjustment in Agency Estimate
Change Due to Potential Violation of the PRA
Previously Approved
Annual Number of Responses for this IC
30
0
5
0
0
25
Annual IC Time Burden (Hours)
12,795
0
-4,730
0
0
17,525
Annual IC Cost Burden (Dollars)
0
0
0
0
0
0
Documents for IC
Title
Document
Date Uploaded
Formulary and Benefit Administration (FA) - Track change version
FAProtocol SPM updated 060326 TRACKED.pdf
06/30/2026
Independent Validation Audit Work Plan - Track Change version
IndependentValidationAWP _TrackChange.pdf
06/30/2026
Organization Determinations, Appeals, and Grievances - Track Change version
ODAGProtocol Track Changes Version.pdf
06/30/2026
Special Needs Plans Care Coordination - Track change
SNPCCProtocol Tracked changes.pdf
06/30/2026
Part C and Part D Compliance Program Effectiveness - Track change
CPEProtocol 5 21-redlined .pdf
06/30/2026
CDAG_Program Audit Protocol - Track Change
CDAG Protocol Master Track Changes Version.pdf
06/30/2026
CDAG_Processing of Coverage Requests Root Cause Analysis and Impact Analysi - Track Change
CDAGPCRImpact_TC.pdf
06/30/2026
CDAG_Root Cause Analysis and Impact Analysis - Track Change
CDAGCRImpact_TC.pdf
06/30/2026
RootCauseAnalysis - Track Change
RootCauseAnalysisTemplate_TC.pdf
06/30/2026
Formulary and Benefits Administration (FA) Root Cause Analysis and Impact Analysis - Track Change
FAEnrolleeImpact Updated 060426 TRACKED.pdf
06/30/2026
ODAG_Processing of Coverage Requests Root Cause Analysis and Impact Analysis - Track Change
ODAGPCRImpact_TC.pdf
06/30/2026
ODAG_Root Cause Analysis and Impact Analysis - Track Change
ODAGCRImpact_TC.pdf
06/30/2026
SNPCC-HRA-TMA - Track Change
SNPCC HRATMA Tracked changes.xlsx
06/30/2026
SNPCC-Root Cause Analysis and Impact Analysis - Track Change
SNPCCImpact Tracked changes.xlsx
06/30/2026
Blank fields in records indicate information that was not collected or not collected electronically prior to July 2006.
Something went wrong when downloading this file. If you have any questions, please send an email to risc@gsa.gov.