Appendix 1. Audit Worksheets

Evaluation and Management Services Worksheets Office and Other Outpatient Services Audit Worksheet The following worksheet may be used to collect the necessary data when auditing a medical record for office and other outpatient services (99202-99205 and 99212-99215). Practices can choose to create a custom audit worksheet for each type of E/M service (e.g., office, hospital inpatient or observation care, nursing facility visit, etc.) as in this example, or they can create one audit worksheet for all E/M services.

Appendix 1. Audit Worksheets

Medical Decision Making

Code/Level of MDM (Based on 2 out of 3 Elements of MDM)Level of MDM (Based on 2 out of 3 Elements of MDM) Number and Complexity of Problems AddressedAmount and/or Complexity of Data to be Reviewed and Analyzed Each unique test, order, or document contributes to the combination of 2 or combination of 3 in Category 1 below.Risk of Complications and/or Morbidity or Mortality of Patient Management
99211N/AN/AN/A
StraightforwardMinimal
☐ 1 self-limited or minor problem
☐ Minimal or none☐ Minimal risk of morbidity from additional diagnostic testing or treatment
LowLow
☐ 2 or more self-limited or minor problems;
or
☐ 1 stable chronic illness;
or
☐ 1 acute, uncomplicated illness or injury;
or
☐ 1 stable, acute illness;
or
☐ 1 acute, uncomplicated illness or injury requiring hospital inpatient or observation level of care
☐ Limited
(Must meet the requirements of at least 1 of the 2 categories)
☐ Category 1: Tests and documents
• Any combination of 2 from the following:
 - Review of prior external note(s) from each unique source*
 - Review of the result(s) of each unique test*
 - Ordering of each unique test*
or
☐ Category 2: Assessment requiring an independent historian(s)
(For the categories of independent interpretation of tests and discussion of management or test interpretation, see moderate or high)
☐ Low risk of morbidity from additional diagnostic testing or treatment
ModerateModerate
☐ 1 or more chronic illnesses with exacerbation, progression, or side effects of treatment;
or
☐ 2 or more stable chronic illnesses;
or
☐ 1 undiagnosed new problem with uncertain prognosis;
or
☐ 1 acute illness with systemic symptoms;
or
☐ 1 acute, complicated injury
☐ Moderate
(Must meet the requirements of at least 1 out of 3 categories)
☐ Category 1: Tests, documents, or independent historian(s)
• Any combination of 3 from the following:
 - Review of prior external note(s) from each unique source*
 - Review of the result(s) of each unique test*
 - Ordering of each unique test*
 - Assessment requiring an independent historian(s)
or
☐ Category 2: Independent interpretation of tests
 - Independent interpretation of a test performed by another physician/other qualified health care professional (not separately reported)
or
☐ Category 3: Discussion of management or test interpretation
 - Discussion of management or test interpretation with external physician/other qualified health care professional/appropriate source (not separately reported)
☐ Moderate risk of morbidity from additional diagnostic testing or treatment
Examples only:
 - Prescription drug management
 - Decision regarding minor surgery with identified patient or procedure risk factors
 - Decision regarding elective major surgery without identified patient or procedure risk factors
 - Diagnosis or treatment significantly limited by social determinants of health
HighHigh
☐ 1 or more chronic illnesses with severe exacerbation, progression, or side effects of treatment;
or
☐ 1 acute or chronic illness or injury that poses a threat to life or bodily function
Extensive
(Must meet the requirements of at least 2 out of 3 categories)
☐ Category 1: Tests, documents, or independent historian(s)
• Any combination of 3 from the following:
 - Review of prior external note(s) from each unique source*;
 - Review of the result(s) of each unique test*;
 - Ordering of each unique test*;
 - Assessment requiring an independent historian(s)
or
☐ Category 2: Independent interpretation of tests
 - Independent interpretation of a test performed by another physician/other qualified health care professional (not separately reported)
or
☐ Category 3: Discussion of management or test interpretation
 - Discussion of management or test interpretation with external physician/other qualified health care professional/appropriate source (not separately reported)
☐ High risk of morbidity from additional diagnostic testing or treatment
Examples only:
 - Drug therapy requiring intensive monitoring for toxicity
 - Decision regarding elective major surgery with identified patient or procedure risk factors
 - Decision regarding emergency major surgery
 - Decision regarding hospitalization or escalation of hospital-level care
 - Decision not to resuscitate or to de-escalate care because of poor prognosis
 - Decision regarding parenteral controlled substance
Audit Worksheets

Office and Other Outpatient Services Audit Worksheet - Time Only Reporting

Record NumberDOS billed
AttendingSignedYes ☐No ☐DOS Rendered
HistoryWas a medically appropriate history documented?Yes ☐No ☐
ExaminationWas a medically appropriate exam documented?Yes ☐No ☐
The table below shows the time required for each code.
CodeHistory & ExamMedical Decision MakingTime in Minutes
99202Medically appropriateStraightforward≥ 15
99203Medically appropriateLow level≥ 30
99204Medically appropriateModerate level≥ 45
99205Medically appropriateHigh level≥ 60
99211*N/AN/AN/A
99212Medically appropriateStraightforward≥ 10
99213Medically appropriateLow level≥ 20
99214Medically appropriateModerate level≥ 30
99215Medically appropriateHigh level≥ 40

*Physician presence is not required; presenting problems are minimal

The following activities are included in the provider’s time when performed: ☐ Preparing to see the patient (e.g., review of tests) ☐ Performing a medically appropriate examination and/or evaluation ☐ Care coordination (not reported separately) ☐ Counseling and educating the patient/family/caregiver ☐ Documenting clinical information in the electronic or other health record ☐ Independently interpreting results (not reported separately) and communicating results to the patient/family/caregiver ☐ Obtaining and/or reviewing separately obtained history ☐ Ordering medications, tests, or procedures ☐ Referring and communicating with other health care professionals

Was code 99417 reported for prolonged services? Yes ☐ No ☐ The table below shows the time required to report each unit of 99417 in addition to 99205 of 99215.

New PatientCode
60-74 minutes99205
75-89 minutes99205 x1 and 99417 x1
90-104 minutes99205 x1 and 99417 x2
105 or more minutes99205 x1 and 99417 x3 or more for each additional 15 minutes
Established PatientCode
40-54 minutes99215
55-69 minutes99215 x1 and 99417 x1
70-84 minutes99215 x1 and 99417 x2
85 or more minutes99215 x1 and 99417 x3 or more for each additional 15 minutes

Appendix 1. Audit Worksheets

Medicine Auditing Worksheet

Account/medical record number: ____________ Date of service: ____________

Reviewer: ____________ Date of review: ____________

Type of review: ____________

Immunizations/Vaccines/Toxoids — CPT® Code Assignment

SubstanceCode AssignmentCode DocumentedFace-to-Face Counseling DocumentedE/M Service DocumentedE/M Service BilledComments

Therapeutic/Prophylactic Injections — CPT Code Assignment

SubstanceCode AssignmentCode DocumentedFace-to-Face Counseling DocumentedE/M Service DocumentedE/M Service BilledHCPCS Level II Code Reported

Number of Units

BilledDocumentedComments

Other Medical Services — CPT Code Assignment

ProcedureCode AssignmentCode DocumentedModifier AssignedModifier DocumentedComments

Place of Service

Indicated on ClaimDocumentedIndicated on ClaimDocumented

Number of Units

Billable Supplies

UndercodingOvercodingUndercodingOvercoding
CodePaymentCodePayment

Total Impact on Claim