US · guidance
CMS Pub. 100-16, ch. 21, § 50.6.7
Tracking and Documenting Compliance and Compliance
Program Effectiveness
(Chapter 21 - Rev. 109, Issued: 07-27-12, Effective: 07-20-12; Implementation: 07- 20-12)
(Chapter 9 - Rev. 15, Issued: 07-27-12, Effective: 07-20-12; Implementation: 07-20- 12)
42 C.F.R. §§ 422.503(b)(4)(vi)(F), 423.504(b)(4)(vi)(F)
Sponsors should track and document compliance efforts. In addition to formal audits and
monitoring, it is a best practice for sponsors to regularly track and document compliance
using dashboards, scorecards, self-assessment tools that the sponsor creates or purchases,
and other mechanisms that show the extent to which operational areas and FDRs are
meeting compliance goals. Compliance of operational areas should be tracked by
management and publicized to employees. Issues of noncompliance identified in
dashboards, scorecards and self-assessment tools, etc., should be shared with senior
management. Sponsors should consider including compliance performance as a measure
for staff, management, and FDR evaluations.
History
(Chapter 21 - Rev. 109, Issued: 07-27-12, Effective: 07-20-12; Implementation: 07- 20-12)
Provenance
- Source
- cms.gov
- Retrieved
- 2026-08-25
- Edition
- iom-2026-08-25
- Content hash
a61fe54e273c35ffb6be4a8b241f6a5f9c722850a9ecbd35b937fc78892d7680
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