Coverage Determinations, Appeals and Grievances (CDAG) protocols help to evaluate performance in the areas outlined in the Centers for Medicare and Medicaid Services (CMS) Program Audit Protocol and Data Request related to Medicare Part D CDAG. The CMS performs its program audit activities in accordance with the CDAG Program Audit Data Request and applies compliance standards outlined in the Program Audit Protocol and the Program Audit Process Overview document. At a minimum, CMS will evaluate cases against the criteria listed below. CMS may review factors not specifically addressed below, if it is determined that there are other related CDAG requirements not being met.

Audit Elements Tested

  • Timeliness
  • Processing of Coverage Requests
  • Classification of Requests
  • Administration of Drug Management Program

Inovaare compiled these tables from information contained within the CMS website and displayed the 2021 audit protocol changes in an easy-to-follow format. The red font indicates critical areas health plans need to address and the blue font indicates the actual data required. This table is available for download through the link at the bottom of the page.

Table 1: CD (Combines 1. SCD and 4. ECD)

2021 Draft




Enrollee First Name 50 CHAR Enter the first name of the enrollee.
Enrollee Last Name 50 CHAR Enter the last name of the enrollee.
Enrollee ID 11 CHAR Enter the Medicare Beneficiary Identifier (MBI) of the enrollee. An MBI is the non-intelligent unique identifier that replaced the HICN on Medicare cards as a result of The Medicare Access and CHIP Reauthorization Act (MACRA) of 2015. The MBI contains uppercase alphabetic and numeric characters throughout the 11-digit identifier and is unique to each Medicare enrollee. This number must be submitted excluding hyphens or dashes.
Contract ID 5 CHAR Enter the contract number (e.g., H1234).
Plan Benefit Package (PBP) 3 CHAR Enter the PBP (e.g., 001).
Drug Name, Strength, and Dosage Form 150 CHAR Enter the drug name, strength, and dosage form requested.
NDC 11 CHAR Enter the 11-Digit National Drug Code using the NDC 11 format. Remove special characters separating the labeler, product, and trade package size. When less than 11 characters or a blank field is submitted by the pharmacy or delegate, populate the field as submitted.If the pharmacy submits a value greater than 11 characters, enter “valueXeeded” in the field.
For multi-ingredient compound claims populate the field with the NDC as submitted on the associated PDE.
Is this a protected class drug? 1 CHAR Enter whether it is a protected class drug:
Y for Yes
N for No
Authorization or Claim Number 40 CHAR Enter the associated authorization or claim number for this request. If an authorization or claim number is not available, provide the internal tracking or case number.
Enter None if there is no authorization, claim or other tracking number available.
Date the request was received 10 CHAR Enter the date the request was received. Submit in CCYY/MM/DD format (e.g., 2020/01/01).
Time the request was received 8 CHAR Enter the time the request was received. Submit in HH:MM:SS military time format (e.g., 23:59:59).
AOR/Equivalent notice Receipt Date 10 CHAR Enter the date the Appointment of Representative (AOR) form or equivalent written notice was received by the Sponsoring organization. Submit in CCYY/MM/DD format (e.g., 2020/01/01).
Enter None for dismissed cases or if no AOR or equivalent written notice was received or required.
AOR/Equivalent notice Receipt Time 8 CHAR Enter the time the Appointment of Representative (AOR) form or equivalent written notice was received by the Sponsoring organization. Submit in HH:MM:SS format (e.g., 23:59:59).
Enter None for dismissed cases or if no AOR or equivalent written notice was received or required.
Request Determination 18 CHAR Enter:
• Approved
• Denied
• IRE auto-forward
• Re-Opened Approved
• Re-Opened Denied
• Dismissed
Was the request processed as Standard or Expedited? 1 CHAR Enter the manner by which the request was processed:
S for Standard
E for Expedited
Was the original request made under the standard timeframe and later requested to be expedited? 4 CHAR Enter:
Y for Yes
N for No
None if the request was made under the expedited timeframe.
Date request was upgraded to expedited 10 CHAR Enter the date the request was received to upgrade the initial standard request to expedited from the enrollee, their authorized representative, their prescriber, or the Sponsoring organization determined the request should be expedited. Submit in CCYY/MM/DD format (e.g., 2020/01/01).
Enter None if the initial request was made under the expedited timeframe, if the Sponsoring organization chose not to expedite the request, or if the request was received and processed under the standard timeframe.
Time the request was upgraded to expedited 8 CHAR Enter the time the request was received to upgrade the initial standard request to expedited from the enrollee, their authorized representative, or their prescriber, or the Sponsoring organization determined the request should be expedited. Submit in HH:MM:SS military time format (e.g., 23:59:59).
Enter None if the initial request was made under the expedited timeframe, if the Sponsoring organization chose not to expedite the request, or if the request was received and processed under the standard timeframe.
Issue Description 2000 CHAR Enter a description of the issue and, if applicable, why the request was denied.
For dismissed cases, provide the reason for dismissal.
Formulary UM Type 2 CHAR Enter the formulary UM criteria the enrollee satisfied or was attempting to satisfy. Enter:
PA for Prior Authorization
ST for Step Therapy
If multiple formulary UM criteria apply, enter the criteria applicable based on the approval or denial reason.
Date of Determination 10 CHAR Enter the date of the determination. Submit in CCYY/MM/DD format (e.g., 2020/01/01). For dismissed cases, enter the date the sponsoring organization dismissed the request.
Time of Determination 8 CHAR Enter the time of the determination. Submit in HH:MM:SS military time format (e.g., 23:59:59).
Enter None for dismissed cases.
Date effectuated in the system 10 CHAR Enter the date the approved decision was effectuated in the system. Submit in CCYY/MM/DD format (e.g., 2020/01/01).
Enter None for requests that were not approved.
Time effectuated in the system 8 CHAR Enter the time the approved decision was effectuated in the system. Submit in HH:MM:SS military time format (e.g., 23:59:59).
Enter None for requests that were not approved.
Date oral notification provided to enrollee 10 CHAR Enter the date oral notification was provided to enrollee. Submit in CCYY/MM/DD format (e.g., 2020/01/01).
Enter None for dismissed cases or if no oral notification was provided.
Time oral notification provided to enrollee 8 CHAR Enter the time oral notification was provided to enrollee. Submit in HH:MM:SS military time format (e.g., 23:59:59).
Enter None for dismissed cases or if no oral notification was provided.
Date written notification provided to enrollee 10 CHAR Enter the date written notification of determination was provided to enrollee. Do not enter the date a letter is generated or printed. Submit in CCYY/MM/DD format (e.g., 2020/01/01).
Enter None if no written notification was provided.
Time written notification provided to enrollee 8 CHAR Enter the time written notification of determination was provided to the enrollee. Do not enter the time a letter is generated or printed. Submit in HH:MM:SS military time format (e.g., 23:59:59).
Enter None for dismissed cases or if no written notification was provided.
Who made the request? 2 CHAR Enter who made the request:
E for enrollee
ER for enrollee’s representative
P for prescribing physician or other prescriber
Date forwarded to IRE 10 CHAR Enter the date the request was forwarded to the IRE. Submit in CCYY/MM/DD format (e.g., 2020/01/01).
Enter None if the request was not forwarded to the IRE.
Time forwarded to IRE 8 CHAR Enter the time the request was forwarded to the IRE. Submit in HH:MM:SS military time format (e.g., 23:59:59).
Enter None if the request was not forwarded to the IRE.

Table 2: CDER (Combines 2. SCDER and 5. ECDER)

2021 Draft




Enrollee First Name 50 CHAR Enter the first name of the enrollee.
Enrollee Last Name 50 CHAR Enter the last name of the enrollee.
Enrollee ID 11 CHAR Enter the Medicare Beneficiary Identifier (MBI) of the enrollee. An MBI is the non-intelligent unique identifier that replaced the HICN on Medicare cards as a result of The Medicare Access and CHIP Reauthorization Act (MACRA) of 2015. The MBI contains uppercase alphabetic and numeric characters throughout the 11-digit identifier and is unique to each Medicare enrollee. This number must be submitted excluding hyphens or dashes.
Contract ID 5 CHAR Enter the contract number (e.g., H1234).
Plan Benefit Package (PBP) 3 CHAR Enter the PBP (e.g., 001).
Drug Name, Strength, and Dosage Form 150 CHAR Enter the drug name, strength, and dosage form requested.
NDC 11 CHAR Enter the 11-Digit National Drug Code using the NDC 11 format. Remove special characters separating the labeler, product, and trade package size. When less than 11 characters or a blank field is submitted by the pharmacy or delegate, populate the field as submitted. If the pharmacy submits a value greater than 11 characters, enter “valueXeeded” in the field. For multi-ingredient compound claims populate the field with the NDC as submitted on the associated PDE.
Is this a protected class drug? 1 CHAR Enter whether it is a protected class drug:
Y for Yes
N for No
Authorization or Claim Number 40 CHAR Enter the associated authorization or claim number for this request. If an authorization or claim number is not available, provide the internal tracking or case number.
Enter None if there is no authorization, claim or other tracking number available.
Date the request was received 10 CHAR Enter the date the request was received. Submit in CCYY/MM/DD format (e.g., 2020/01/01).
Time the request was received 8 CHAR Enter the time the request was received. Submit in HH:MM:SS military time format (e.g., 23:59:59).
AOR/Equivalent notice Receipt Date 10 CHAR Enter the date the Appointment of Representative (AOR) form or equivalent written notice was received by the Sponsoring organization. Submit in CCYY/MM/DD format (e.g., 2020/01/01).
Enter None for dismissed cases or if no AOR or equivalent written notice was received or required.
AOR/Equivalent notice Receipt Time 8 CHAR Enter the time the Appointment of Representative (AOR) form or equivalent written notice was received by the Sponsoring organization. Submit in HH:MM:SS format (e.g., 23:59:59).
Enter None for dismissed cases or if no AOR or equivalent written notice was received or required.
Request Determination 18 CHAR Enter:
• Approved
• Denied
• IRE auto-forward
• Re-Opened Approved
• Re-Opened Denied
• Dismissed
Was the request processed as Standard or Expedited? 1 CHAR Enter the manner by which the request was processed:
S for Standard
E for Expedited
Was the original request made under the standard timeframe and later requested to be expedited? 4 CHAR Enter:
Y for Yes
N for No
None if the request was made under the expedited timeframe.
Date request was upgraded to expedited 10 CHAR Enter the date the request was received to upgrade the initial standard request to expedited from the enrollee, their authorized representative, their prescriber, or the Sponsoring organization determined the request should be expedited. Submit in CCYY/MM/DD format (e.g., 2020/01/01).
Enter None if the initial request was made under the expedited timeframe, if the Sponsoring organization chose not to expedite the request, or if the request was received and processed under the standard timeframe.
Time request was upgraded to expedited 8 CHAR Enter the time the request was received to upgrade the initial standard request to expedited from the enrollee, their authorized representative, or their prescriber, or the Sponsoring organization determined the request should be expedited. Submit in HH:MM:SS military time format (e.g., 23:59:59).
Enter None if the initial request was made under the expedited timeframe, if the Sponsoring organization chose not to expedite the request, or if the request was received and processed under the standard timeframe
Issue Description 2000 CHAR Enter a description of the issue and, if applicable, why the request was denied.
For dismissed cases, provide the reason for dismissal.
Exception Type 25 CHAR Enter the type of exception request:
• Tiering exception
• Non-formulary exception
• Formulary UM exception
• Hospice
• Safety edit exception
Formulary UM Exception Type 4 CHAR If the case was a formulary UM exception, indicate what criteria the enrollee was attempting to waive. Enter:
PA for Prior Authorization
ST for Step Therapy
QL for Quantity Limit
If the case was a safety edit exception enter:
SE for Safety Edit
Enter None if the request was not a formulary UM exception or safety edit exception.
If multiple formulary UM exception criteria apply, enter the criteria applicable based on the approval or denial reason.
Date prescriber supporting statement received 10 CHAR Enter the date the prescriber’s supporting statement was received. If the prescriber statement was received with the initial request, enter the date the exception request was received. Submit in CCYY/MM/DD format (e.g., 2020/01/01).
Enter None if no prescriber supporting statement was received.
Time prescriber supporting statement received 8 CHAR Enter the time the prescriber’s supporting statement was received. If the prescriber statement was received with the initial request, enter the time the exception request was received. Submit in HH:MM:SS military time format (e.g., 23:59:59).
Enter None if no prescriber supporting statement was received.
Date of Determination 10 CHAR Enter the date of the determination. Submit in CCYY/MM/DD format (e.g., 2020/01/01).
For dismissed cases, enter the date the sponsoring organization dismissed the request.
Time of Determination 8 CHAR Enter the time of the determination. Submit in HH:MM:SS military time format (e.g., 23:59:59).
Enter None for dismissed cases.
Date effectuated in the system 10 CHAR Enter the date the approved decision was effectuated in the system. Submit in CCYY/MM/DD format (e.g., 2020/01/01).
Enter None if the exception was not approved.
Time effectuated in the system 8 CHAR Enter the time the approved decision was effectuated in the system. Submit in HH:MM:SS military time format (e.g., 23:59:59).
Enter None if the exception was not approved.
Expiration date of the approval 10 CHAR Enter the expiration date of the exception approval. Submit in CCYY/MM/DD format (e.g., 2020/01/01).
Enter None if the exception was not approved.
Date oral notification provided to enrollee 10 CHAR Enter the date oral notification was provided to enrollee. Submit in CCYY/MM/DD format (e.g., 2020/01/01).
Enter None for dismissed cases or if no oral notification was provided.
Time oral notification provided to enrollee 8 CHAR Enter the time oral notification was provided to enrollee. Submit in HH:MM:SS military time format (e.g., 23:59:59).
Enter None for dismissed cases or if no oral notification was provided.
Date written notification provided to enrollee 10 CHAR Enter the date written notification of determination was provided to enrollee. Do not enter the date a letter is generated or printed. Submit in CCYY/MM/DD format (e.g., 2020/01/01).
Enter None if no written notification was provided.
Time written notification provided to enrollee 8 CHAR Enter the time written notification of determination was provided to the enrollee. Do not enter the time a letter is generated or printed. Submit in HH:MM:SS military time format (e.g., 23:59:59).
Enter None for dismissed cases or if no written notification was provided.
Who made the request? 2 CHAR Enter who made the request:
E for enrollee
ER for enrollee’s representative
P for prescribing physician or other prescriber
Date forwarded to IRE 10 CHAR Enter the date the request was forwarded to the IRE. Submit in CCYY/MM/DD format (e.g., 2020/01/01).
Enter None if the request was not forwarded to the IRE.
Time forwarded to IRE 8 CHAR Enter the time the request was forwarded to the IRE. Submit in HH:MM:SS military time format (e.g., 23:59:59).
Enter None if the request was not forwarded to the IRE.

Table 3: PYMT_D (Combines 3. DMRCD and 7. DMRRD)

2021 Draft




Enrollee First Name 50 CHAR Enter the first name of the enrollee.
Enrollee Last Name 50 CHAR Enter the last name of the enrollee.
Enrollee ID 11 CHAR Enter the Medicare Beneficiary Identifier (MBI) of the enrollee. An MBI is the non-intelligent unique identifier that replaced the HICN on Medicare cards as a result of The Medicare Access and CHIP Reauthorization Act (MACRA) of 2015. The MBI contains uppercase alphabetic and numeric characters throughout the 11-digit identifier and is unique to each Medicare enrollee. This number must be submitted excluding hyphens or dashes.
Contract ID 5 CHAR Enter the contract number (e.g., H1234).
Plan Benefit Package (PBP) 3 CHAR Enter the PBP (e.g., 001).
Drug Name, Strength, and Dosage Form 150 CHAR Enter the drug name, strength, and dosage form requested.
NDC 11 CHAR Enter the 11-Digit National Drug Code using the NDC 11 format. Remove special characters separating the labeler, product, and trade package size. When less than 11 characters or a blank field is submitted by the pharmacy or delegate, populate the field as submitted. If the pharmacy submits a value greater than 11 characters, enter “valueXeeded” in the field. For multi-ingredient compound claims populate the field with the NDC as submitted on the associated PDE.
Is this a protected class drug? 1 CHAR Enter whether it is a protected class drug:
Y for Yes
N for No
Authorization or Claim Number 40 CHAR Enter the associated authorization or claim number for this request. If an authorization or claim number is not available, provide the internal tracking or case number.
Enter None if there is no authorization, claim or other tracking number available.
Date the request was received 10 CHAR Enter the date the request was received. Submit in CCYY/MM/DD format (e.g., 2020/01/01).
AOR/Equivalent notice Receipt Date 10 CHAR Enter the date the Appointment of Representative (AOR) form or equivalent written notice was received by the Sponsoring organization. Submit in CCYY/MM/DD format (e.g., 2020/01/01).
Enter None for dismissed cases or if no AOR or equivalent written notice was received or required.
Type of Request 30 CHAR Enter:
• payment coverage determination
• payment redetermination
Request Determination 18 CHAR Enter:
• Approved
• Denied
• IRE auto-forward
• Re-opened Approved
• Re-opened Denied
• Dismissed
Was the request processed as an exception request? 1 CHAR Enter:
Y for Yes
N for No
Issue Description 2000 CHAR Enter a description of the issue and, if applicable, why the request was denied.
For dismissed cases, provide the reason for dismissal.
Exception Type 25 CHAR Enter the type of exception request:
• Tiering exception
• Non-formulary exception
• Formulary UM exception
• Hospice
• Safety edit exception
Enter None if the request was not an exception request.
Formulary UM Exception Type 4 CHAR If the case was a formulary UM exception, indicate what criteria the enrollee was attempting to waive. Enter:
PA for Prior Authorization
ST for Step Therapy
QL for Quantity Limit
If the case was a safety edit exception enter:
SE for Safety Edit
Enter None if the request was not a formulary UM exception or safety edit exception.
If multiple formulary UM exception criteria apply, enter the criteria applicable based on the approval or denial reason.
Date prescriber supporting statement received 10 CHAR Enter the date the prescriber’s supporting statement was received. If the prescriber statement was received with the initial request, enter the date the exception request was received. Submit in CCYY/MM/DD format (e.g., 2020/01/01).
Enter None if no prescriber supporting statement was received.
Was the coverage determination request denied for lack of medical necessity 4 CHAR Enter:
Y for Yes
N for No
None if the request was not denied (i.e., approved, auto-forwarded, dismissed).
Date of Determination 10 CHAR Enter the date of the determination. Submit in CCYY/MM/DD format (e.g., 2020/01/01).
For dismissed cases, enter the date the sponsoring organization dismissed the request.
Date effectuated in the system 10 CHAR Enter the date the approved decision was effectuated in the system. Submit in CCYY/MM/DD format (e.g., 2020/01/01).
Enter None if the payment request was not approved.
Expiration date of the approval 10 CHAR Enter the expiration date of the exception approval. Submit in CCYY/MM/DD format (e.g., 2020/01/01).
Enter None if the exception was not approved or if the request was not an exception request.
Date written notification provided to enrollee 10 CHAR Enter the date written notification of determination was provided to enrollee. Do not enter the date a letter is generated or printed. Submit in CCYY/MM/DD format (e.g., 2020/01/01).
Enter None if no written notification was provided.
Who made the request? 2 CHAR Enter who made the request:
E for enrollee
ER for enrollee’s representative
P for prescribing physician or other prescriber
Date reimbursement provided 10 CHAR Enter the date the check or reimbursement was provided to the enrollee. Submit in CCYY/MM/DD format (e.g., 2020/01/01).
Enter NRD if the request was approved but no reimbursement was due to the enrollee.
Enter NP if the payment has not been issued at the time of the universe submission.
Enter None if the request was not approved.
Date forwarded to IRE 10 CHAR Enter the date the request was forwarded to the IRE. Submit in CCYY/MM/DD format (e.g., 2020/01/01).
Enter None if the request was not forwarded to the IRE.

Table 4: RD (Combines 6. SRD and 8. ERD)

2021 Draft




Enrollee First Name 50 CHAR Enter the first name of the enrollee.
Enrollee Last Name 50 CHAR Enter the last name of the enrollee.
Enrollee ID 11 CHAR Enter the Medicare Beneficiary Identifier (MBI) of the enrollee. An MBI is the non-intelligent unique identifier that replaced the HICN on Medicare cards as a result of The Medicare Access and CHIP Reauthorization Act (MACRA) of 2015. The MBI contains uppercase alphabetic and numeric characters throughout the 11-digit identifier and is unique to each Medicare enrollee. This number must be submitted excluding hyphens or dashes.
Contract ID 5 CHAR Enter the contract number (e.g., H1234).
Plan Benefit Package (PBP) 3 CHAR Enter the PBP (e.g., 001).
Drug Name, Strength, and Dosage Form 150 CHAR Enter the drug name, strength, and dosage form requested.
NDC 11 CHAR Enter the 11-Digit National Drug Code using the NDC 11 format. Remove special characters separating the labeler, product, and trade package size. When less than 11 characters or a blank field is submitted by the pharmacy or delegate, populate the field as submitted. If the pharmacy submits a value greater than 11 characters, enter “valueXeeded” in the field. For multi-ingredient compound claims populate the field with the NDC as submitted on the associated PDE.
Is this a protected class drug? 1 CHAR Enter whether it is a protected class drug:
Y for Yes
N for No
Authorization or Claim Number 40 CHAR Enter the associated authorization or claim number for this request. If an authorization or claim number is not available, provide the internal tracking or case number.
Enter None if there is no authorization, claim or other tracking number available.
Date the request was received 10 CHAR Enter the date the request was received. If the Sponsoring organization obtained information establishing good cause after the 60-day filing timeframe, enter the date the Sponsoring organization received the information establishing good cause. Submit in CCYY/MM/DD format (e.g., 2020/01/01).
Time the request was received 8 CHAR Enter the time the request was received. If the Sponsoring organization obtained information establishing good cause after the 60-day filing timeframe, enter the time the Sponsoring organization received the information establishing good cause. Submit in HH:MM:SS military time format (e.g., 23:59:59).
Enter None for standard cases.
AOR/Equivalent notice Receipt Date 10 CHAR Enter the date the Appointment of Representative (AOR) form or equivalent written notice was received by the Sponsoring organization. Submit in CCYY/MM/DD format (e.g., 2020/01/01).
Enter None for dismissed cases or if no AOR or equivalent written notice was received or required.
AOR/Equivalent notice Receipt Time 8 CHAR Enter the time the Appointment of Representative (AOR) form or equivalent written notice was received by the Sponsoring organization. Submit in HH:MM:SS format (e.g., 23:59:59).
Enter None for standard cases, dismissed cases or if no AOR or equivalent written notice was received or required.
Request Determination 18 CHAR Enter:
• Approved
• Denied
• IRE auto-forward
• Re-opened Approved
• Re-opened Denied
• Dismissed
Was the request processed as Standard or Expedited? 1 CHAR Enter the manner by which the request was processed:
S for Standard
E for Expedited
Was the original request made under the standard timeframe and later requested to be expedited? 4 CHAR Enter:
Y for Yes
N for No
None if the request was made under the expedited timeframe
Date request was upgraded to expedited 10 CHAR Enter the date the request was received to upgrade the initial standard request to expedited from the enrollee, their authorized representative, their prescriber, or the Sponsoring organization determined the request should be expedited. Submit in CCYY/MM/DD format (e.g., 2020/01/01).
Enter None if the initial request was made under the expedited timeframe, if the Sponsoring organization chose not to expedite the request, or if the request was received and processed under the standard timeframe.
Time request was upgraded to expedited 8 CHAR Enter the time the request was received to upgrade the initial standard request to expedited from the enrollee, their authorized representative, or their prescriber, or the Sponsoring organization determined the request should be expedited. Submit in HH:MM:SS military time format (e.g., 23:59:59).
Enter None if the initial request was made under the expedited timeframe, if the Sponsoring organization chose not to expedite the request, or if the request was received and processed under the standard timeframe.
Issue Description 2000 CHAR Enter a description of the redetermination issue and, if applicable, why the request was denied.
For dismissed cases, provide the reason for dismissal.
Exception Type 25 CHAR Enter the type of exception request:
• Tiering exception
• Non-formulary exception
• Formulary UM exception
• Hospice
• Safety edit exception

Enter None if the request was not an exception request.
Formulary UM Exception Type 4 CHAR If the case was a formulary UM exception, indicate what criteria the enrollee was attempting to waive. Enter:
PA for Prior Authorization
ST for Step Therapy
QL for Quantity Limit
If the case was a safety edit exception enter:
SE for Safety Edit
Enter None if the request was not a formulary UM exception or safety edit exception.
If multiple formulary UM exception criteria apply, enter the criteria applicable based on the approval or denial reason.
Was the coverage determination request denied for lack of medical necessity? 4 CHAR Enter:
Y for Yes
N for No
None if the request was auto-forwarded
Date of Determination 10 CHAR Enter the date of the determination. Submit in CCYY/MM/DD format (e.g., 2020/01/01).
For dismissed cases, enter the date the sponsoring organization dismissed the request.
Time of Determination 8 CHAR Enter the time of the determination. Submit in HH:MM:SS military time format (e.g., 23:59:59).
Enter None for standard cases and dismissed cases.
Date effectuated in the system 10 CHAR Enter the date the approved decision was effectuated in the system. Submit in CCYY/MM/DD format (e.g., 2020/01/01).
Enter None for requests that were not approved.
Time effectuated in the system 8 CHAR Enter the time the approved decision was effectuated in the system. Submit in HH:MM:SS military time format (e.g., 23:59:59).
Enter None for standard cases and requests that were not approved
Expiration date of the approval 10 CHAR Enter the expiration date of the exception approval. Submit in CCYY/MM/DD format (e.g., 2020/01/01).
Enter None if the exception was not approved or if it is not an exception request.
Date oral notification provided to enrollee 10 CHAR Enter the date oral notification was provided to enrollee. Submit in CCYY/MM/DD format (e.g., 2020/01/01).
Enter None for standard cases, dismissed cases or if no oral notification was provided.
Time oral notification provided to enrollee 8 CHAR Enter the time oral notification was provided to enrollee. Submit in HH:MM:SS military time format (e.g., 23:59:59).
Enter None for standard cases, dismissed cases or if no oral notification was provided.
Date written notification provided to enrollee 10 CHAR Enter the date written notification of determination was provided to enrollee. Do not enter the date a letter is generated or printed. Submit in CCYY/MM/DD format (e.g., 2020/01/01).
Enter None if no written notification was provided.
Time written notification provided to enrollee 8 CHAR Enter the time written notification of determination was provided to the enrollee. Do not enter the time a letter is generated or printed. Submit in HH:MM:SS military time format (e.g., 23:59:59).
Enter None for standard cases, dismissed cases or if no written notification was provided.
Who made the request? 2 CHAR Enter who made the request:
E for enrollee
ER for enrollee’s representative
P for prescribing physician or other prescriber
Date forwarded to IRE 10 CHAR Enter the date the redetermination request was forwarded to the IRE. Submit in CCYY/MM/DD format (e.g., 2020/01/01).
Enter None if the request was not forwarded to the IRE.
Time forwarded to IRE 8 CHAR Enter the time the redetermination request was forwarded to the IRE. Submit in HH:MM:SS military time format (e.g., 23:59:59).
Enter None if the request was not forwarded to the IRE.

Table 5: EFF_D (Combines 9. SIAM, 10. DMRRE and 11. EIAM)

2021 Draft

Enrollee First Name 50 CHAR Enter the first name of the enrollee.
Enrollee Last Name 50 CHAR Enter the last name of the enrollee.
Enrollee ID 11 CHAR Enter the Medicare Beneficiary Identifier (MBI) of the enrollee. An MBI is the non-intelligent unique identifier that replaced the HICN on Medicare cards as a result of The Medicare Access and CHIP Reauthorization Act (MACRA) of 2015. The MBI contains uppercase alphabetic and numeric characters throughout the 11-digit identifier and is unique to each Medicare enrollee. This number must be submitted excluding hyphens or dashes.
Contract ID 5 CHAR Enter the contract number (e.g., H1234).
Plan Benefit Package (PBP) 3 CHAR Enter the PBP (e.g., 001).
Drug Name, Strength, and Dosage Form 150 CHAR Enter the drug name, strength, and dosage form requested.
NDC 11 CHAR Enter the 11-Digit National Drug Code using the NDC 11 format. Remove special characters separating the labeler, product, and trade package size. When less than 11 characters or a blank field is submitted by the pharmacy or delegate, populate the field as submitted. If the pharmacy submits a value greater than 11 characters, enter “valueXeeded” in the field. For multi-ingredient compound claims populate the field with the NDC as submitted on the associated PDE.
Is this a protected class drug? 1 CHAR Enter whether it is a protected class drug:
Y for Yes
N for No
Authorization or Claim Number 40 CHAR Enter the associated authorization or claim number for this request. If an authorization or claim number is not available, provide the internal tracking or case number.
Enter None if there is no authorization, claim or other tracking number available.
Date the overturn decision was received 10 CHAR Enter the date the overturn decision was received. Submit in CCYY/MM/DD format (e.g., 2020/01/01).
Time the overturn decision was received 8 CHAR Enter the time the overturn decision was received. Submit in HH:MM:SS military time format (e.g., 23:59:59).
Type of Request reversed by review entity 43 CHAR Enter the type of request:
• Standard request for benefits
• Standard request for payment
• Standard request for at-risk determination
• Expedited request for benefits
• Expedited request for at-risk determination
Date the overturn decision was effectuated in the system 10 CHAR Enter the date the benefit was provided, payment was authorized or the change to the at-risk determination was implemented. Submit in CCYY/MM/DD format (e.g., 2020/01/01).
Enter None if the overturn decision was not effectuated or if no effectuation was required.
Time the overturn decision was effectuated in the system 8 CHAR Enter the time the benefit was provided, payment was authorized or the change to the at-risk determination was implemented. Submit in HH:MM:SS military time format (e.g., 23:59:59).
Enter None if the overturn decision was not effectuated or if no effectuation was required.
Date reimbursement provided 10 CHAR Enter the date the check or reimbursement was provided to the enrollee. Submit in CCYY/MM/DD format (e.g., 2020/01/01).
Enter NRD if the request was approved but no reimbursement was due to the enrollee.
Enter NP if the payment has not been issued at the time of the universe submission.
Expiration date of the approval 10 CHAR Enter the expiration date of the exception approval. Submit in CCYY/MM/DD format (e.g., 2020/01/01).
Enter None if it was not an exception request.

Table 6: GRV_D (Combines 12. SGD and 13. EGD)

2021 Draft




Enrollee First Name 50 CHAR Enter the first name of the enrollee.
Enrollee Last Name 50 CHAR Enter the last name of the enrollee.
Enrollee ID 11 CHAR Enter the Medicare Beneficiary Identifier (MBI) of the enrollee. An MBI is the non-intelligent unique identifier that replaced the HICN on Medicare cards as a result of The Medicare Access and CHIP Reauthorization Act (MACRA) of 2015. The MBI contains uppercase alphabetic and numeric characters throughout the 11-digit identifier and is unique to each Medicare enrollee. This number must be submitted excluding hyphens or dashes.
Contract ID 5 CHAR Enter the contract number (e.g., H1234).
Plan Benefit Package (PBP) 3 CHAR Enter the PBP (e.g., 001).
Date the grievance was received 10 CHAR Enter the date the grievance was received. Submit in CCYY/MM/DD format (e.g., 2020/01/01).
Time the grievance was received 8 CHAR Enter the time the grievance was received. Submit in HH:MM:SS military time format (e.g., 23:59:59).
Enter None for standard cases.
AOR/Equivalent notice Receipt Date 10 CHAR Enter the date the Appointment of Representative (AOR) form or equivalent written notice was received by the Sponsoring organization. Submit in CCYY/MM/DD format (e.g., 2020/01/01).
Enter None if no AOR or equivalent written notice was received or required.
AOR/Equivalent notice Receipt Time 8 CHAR Enter the time the Appointment of Representative (AOR) form or equivalent written notice was received by the Sponsoring organization. Submit in HH:MM:SS format (e.g., 23:59:59).
Enter None for standard cases or if no AOR or equivalent written notice was received or required.
How was the grievance received? 7 CHAR Enter:
• Oral
• Written
Was the grievance processed as Standard, or Expedited? 1 CHAR Enter:
S for Standard
E for Expedited
Category of the issue 50 CHAR Enter the category of the grievance as assigned by the Sponsoring organization. Enter based on the Sponsoring organization’s internal labeling system.
Grievance Description 1800 CHAR Enter the description of the grievance.
Was this processed as a quality of care grievance? 1 CHAR Enter:
Y for Yes
N for No
Was a timeframe extension taken 1 CHAR Enter:
Y for Yes
N for No
Date oral notification provided to enrollee 10 CHAR Enter the date oral notification was provided to enrollee. Submit in CCYY/MM/DD format (e.g., 2020/01/01).
Enter None if no oral notification was provided.
Time oral notification provided to enrollee 8 CHAR Enter the time oral notification was provided to enrollee. Submit in HH:MM:SS military time format (e.g., 23:59:59).
Enter None for standard cases or if no oral notification was provided.
Date written notification provided to enrollee 10 CHAR Enter the date written notification was provided to enrollee. Do not enter the date a letter is generated or printed. Submit in CCYY/MM/DD format (e.g., 2020/01/01).
Enter None if no written notification was provided.
Time written notification provided to enrollee 8 CHAR Enter the time written notification was provided to enrollee. Submit in HH:MM:SS military time format (e.g., 23:59:59).
Enter None for standard cases or if no written notification was provided.

Table 7: AR (NEW)

2021 Draft

Enrollee First Name 50 CHAR Enter the first name of the enrollee.
Enrollee Last Name 50 CHAR Enter the last name of the enrollee.
Enrollee ID 11 CHAR Enter the Medicare Beneficiary Identifier (MBI) of the enrollee. An MBI is the non-intelligent unique identifier that replaced the HICN on Medicare cards as a result of The Medicare Access and CHIP Reauthorization Act (MACRA) of 2015. The MBI contains uppercase alphabetic and numeric characters throughout the 11-digit identifier and is unique to each Medicare enrollee. This number must be submitted excluding hyphens or dashes.
Contract ID 5 CHAR Enter the contract number (e.g., H1234).
Plan Benefit Package (PBP) 3 CHAR Enter the PBP (e.g., 001).
Drug Name, Strength, and Dosage Form 150 CHAR Enter the drug name, strength, and dosage form requested.
Enter None if not related to a specific drug (e.g. pharmacy lock-in, prescriber lock-in) or if the at-risk determination is drug related, but is not specific to a single drug (e.g. beneficiary level edit blocking all opioid access, beneficiary level edit allowing a defined cumulative MME dosage).
Date the Initial Written Notification of potential at-risk status was provided to enrollee 10 CHAR Enter the date the initial notification was provided to the enrollee that identified them as potentially at-risk. Submit in CCYY/MM/DD format (e.g., 2020/01/01).
Enter None if no written notification was provided.
Date Second Written Notification of At-Risk Determination Provided to Enrollee 10 CHAR Enter the date the second written notification or alternate second written notification was provided to enrollee. Submit in CCYY/MM/DD format (e.g., 2020/01/01).
Enter None if no written notification was provided.
Date the At-Risk Determination was made 10 CHAR Enter the date the at-risk determination was made. Submit in CCYY/MM/DD format (e.g., 2020/01/01).
Request Determination 11 CHAR Enter the determination:
• At-Risk
• Not At-Risk
Type of At-Risk Limitation 54 CHAR Enter the type of at-risk limitation imposed upon the enrollee:
• Point of Sale Edit
• Pharmacy Lock-In
• Provider Lock-In
If there are multiple limitations, enter all limitations that apply (e.g., POS edit, pharmacy lock-in and prescriber lock-in).
Enter None if an at-risk determination was not imposed on the enrollee.
Confirmation of Agreement to Place Limitation upon Enrollee 4 CHAR Identify if agreement to place limitation was confirmed by either the pharmacy, provider or both.
Enter:
YPR for Yes from Provider
YPH for Yes from Pharmacy
YBO for Yes from Both
Enter None if no confirmation of agreement was received.
If an enrollee edit was used, date the edit was effectuated in the system 10 CHAR Enter the date the enrollee edit/limitation was effectuated in the system. Submit in CCYY/MM/DD format (e.g., 2020/01/01).
Enter None if no limitations were entered into the system.
Expiration date of the at-risk restriction/lock-in 10 CHAR Enter the expiration date of the at-risk restriction/lock-in. Submit in CCYY/MM/DD format (e.g., 2020/01/01).
Enter None if there was not a restriction/lock-in placed on enrollee.
  • Yellow: Audit Review Period
  • Blue: valid values
  • Red: important information to recognize

Download tables

Disclaimer: The data included in these tables are transposed directly from the CMS website and have not been edited for grammar and format consistency. Inovaare distilled the content for your convenience and educational purposes; it should not be used as a substitute for health plan compliance team authorization. Due to the unique needs of health plans, the reader should consult her or his compliance officer to determine the appropriateness of the information contained herein.