Provider Manual Effective 9/1/2012

Transcription

1 Provider Manual Effective 9/1/2012

2 Table of Contents OptumHealth New Mexico Provider Manual Introduction 1 Resource Guide 3 Online Services.5 Glossary.7 Provider Roles and Responsibilities..9 Clinical Network Development and Maintenance..22 Service Registration...24 Treatment Planning and Care Coordination..26 Transportation and Related Services.35 Claims Processing and Payment Suspicious Activity Detection and Billing Investigations..40 Quality Improvement..46 Appeals and Grievances...58 Recovery and Resiliency...61 Manual Updates and Governing Law..64 Consumer Rights and Responsibilities...65

3 Important Notice OptumHealth New Mexico, (OptumHeatlh) a service mark of United Behavioral Health (UBH), provides this manual as a more focused resource for clinicians and facilities in New Mexico. OptumHealth works closely with New Mexico s Behavioral Health Collaborative (Collaborative) to respond to the call for resiliency and recovery in the diverse communities in the state. This manual does not replace the primary UBH Network Manual. Rather, this manual supplements the UBH Network Manual by focusing on the core service array, roles and responsibilities as well as process and procedures specific to the New Mexico Statewide Behavioral Health Collaborative program. Some sections of the primary UBH manual are repeated for convenience and topics or requirements that are specific to OptumHealth are detailed here as well. There is also a link on the OptumHealth provider portal to the UBH Network Manual. INTRODUCTION Welcome to OptumHealth New Mexico! We are a mission-driven organization, committed to promoting recovery and resiliency and to strengthening community mental health and substance abuse systems in service of the New Mexico Behavioral Health Purchasing Collaborative s vision. We recognize the critical role you play supporting consumers and families in New Mexico, and look forward to working with you. As we work together, you will become familiar with our committed public-sector team comprised of leaders tested in complex state and local systems, including Arizona, Colorado, Texas, Nevada, Tennessee, California, Washington, Minnesota, Wisconsin and New Mexico. You will also find the resources of our parent company, UnitedHealth Group, brought to bear in service of recovery and resiliency for New Mexicans. We strongly encourage network participants to become familiar with all aspects of the UBH Network Manual which guides our overall contract with you and this OptumHealth Manual Addendum. Because we value your time, we have incorporated a Resource Guide in this manual so you can see key contacts as well as Web-based resources at a glance. OptumHealth New Mexico believes we are engaged in a partnership with our network clinicians and facilities and with the community at large. We strongly encourage dialogue and are open to your ideas. Thank you for participating. Michael K. Evans Chief Executive Officer OptumHealth New Mexico 1

4 ABOUT OptumHealth New Mexico OptumHealth New Mexico embraces the Collaborative s vision of change and the challenge of maximizing available resources to support recovery, resiliency and wellness for all New Mexicans. Four core elements are at the heart of our program: Systematic support for Recovery and Resiliency Enhanced information systems Strong regional service model Performance excellence necessary to get things done These systems are designed to make resources readily available to you, assist you and reduce your administrative burden. Mission: We help people live their lives to the fullest. Vision: We build our business by being a constructive, transformative force in public-sector healthcare systems, driven by a team of talented, empathic and passionate individuals. Values: ETHICAL CONDUCT We do the right thing at all times. CONSUMER FOCUS We define quality, value, and service through the eyes of the consumers and customers we serve. DIVERSITY We conduct every interaction with consumers and each other with an awareness, sensitivity, understanding and respect for differences in race, ethnicity, language, gender, age, religion, national origin, socioeconomic status and disability status. POSITIVE & RESPECTFUL WORK ENVIRONMENT We treat every employee, every consumer, every family member and caregiver, and every provider with respect. Demonstrating a positive attitude is the first step. ACCOUNTABILITY We take responsibility for our actions and targets, and consider how your efforts affect coworkers, our workplace, and our customers. SUCCESS We are committed to operational and business excellence in the service of consumers, customers, the community and our shareholders. 2

5 OptumHealth New Mexico RESOURCE GUIDE Web Site This Web site is a shared resource for providers and practitioners, consumers and families, and other community stakeholders. Providers and practitioners will find both general resource information such as training opportunities and Level of Care Guidelines as well as a host of features designed to streamline your administration, including secure transactions online. Please see the Online Services in the next section of this manual for more information. To obtain a user ID and password for secure transactions or for technical support, please call toll-free Provider Relations Office Locations and Contact Information You will find OptumHealth New Mexico provider support and claims specialists ready to assist you in regional offices around the state. For general information and contractual questions, contact Provider Relations toll-free , follow the prompts to reach the appropriate regional office. You may also go online and click the Contact Us link in the left sidebar menu. Region Number Office City 1 Farmington 2 Santa Fe Counties in the Region Cibola McKinley San Juan Sandoval Valencia Colfax Guadalupe Mora Rio Arriba San Miguel Sante Fe Taos Union 3 Albuquerque Bernalillo 4 Roswell 5 Las Cruces Chaves Curry DeBaca Eddy Harding Lea Quay Roosevelt Catron Dona Ana Grant Hidalgo Lincoln Luna Otero Sierra Office Address Phone Fax 2800 Hutton Avenue Farmington, NM Rodeo Park East Suite 300A Santa Fe, NM Horizon Blvd NE Suite 260 Albuquerque, NM Pennsylvania Ave Suite 550 Roswell, NM N. Telshor Blvd. Suite A Las Cruces, NM Region Albuquerque

6 6 Indian Affairs Socorro Torrance New Mexico 2904 Rodeo Park East Suite 300A Santa Fe, NM Working Together: Training Opportunities As part of the ongoing process to make certain that New Mexico Providers are familiar with the OptumHealth of New Mexico operational processes, OptumHealth will host an ongoing series of free training forums. Providers are strongly encouraged to attend each and every training offered to providers. For more information regarding trainings, please visit Administrative Training and Technical Support Modules OptumHealth has eight training modules, covering 14 topics, to provide technical assistance to providers regarding important administrative requirements. These foundational trainings will be followed by quarterly training opportunities addressing such topics as ethics, HIPAA and compliance, and clinical or administrative updates. Visit the Providers & Practitioners page at optumhealthnewmexico.com to access modules or to view the training calendar. Foundational modules include: Introduction to OptumHealth New Mexico/Network Orientation Provider Portal Orientation Utilization Management Provider Readiness Training Service Registration, Claims and Billing Coordinating with Medicare, Medicaid, and Other Funding Sources Care Coordination and Transitioning Pharmacy Quality Reporting Requirements: HIPAA, Critical Incidents, and Language Translation Complaints, Disputes, Appeals and Grievances Recovery and Resiliency Modules OptumHealth has four core modules related to Recovery and Resiliency. These programs provide an overview of Recovery and Resiliency including self-directed care, history and challenges of the movement. In addition, best practices (evidence-based, professional guidelines and consumer-driven elements) will be addressed along with barriers to, and support for, the Recovery and Resiliency movement. These core modules will support the efforts of all stakeholders to act upon and continuously improve current Recovery and Resiliency goals and objectives. In addition to these core offerings, we will provide additional learning opportunities on such topics as consumer and family engagement, traditional healers and cultural preferences, and consumer rights and responsibilities. There will also be a range of clinical and therapeutic intervention topics covered. Please check the provider portal regularly to see upcoming trainings. Claims/Customer Service To ensure proper processing of claims, it is important to contact your Provider Relations Representative if you change your Tax ID number or other practice information. To contact a Claims/Customer Service representative, call toll-free and follow the prompts to reach Claims/Customer Service. 4

7 ONLINE SERVICES This OptumHealth New Mexico Web site serves providers, consumers, families and community stakeholders. The OptumHealth New Mexico provider portal offers on-line clinical and administrative content along with secure, self-service transactions to providers and practitioners. This service is offered at no cost. On-line clinical and administrative content is available to all visitors to the provider portal. Secure, self-service transactions are available to network providers and practitioners with a User ID and password. Some online features are highlighted here. Clinical and administrative content information includes: News and updates Training modules on a variety of administrative and technical topics Level of Care Guidelines OptumHealth New Mexico service contact information Forms Search feature Secure online transactions for the clinical network include: Eligibility and benefit inquiry Allows you to search and view eligibility status and benefit structure for OptumHeatlh consumers Service registration Enables required notification to OptumHealth that a consumer is being treated and it simplifies the collection of state required data Online claim submission Supports the direct submission of your professional claims electronically using the OptumHealth provider portal Claim status inquiry Provides access to the processing status of submitted claims Electronic Payments and Statements (EPS) Provides access to claim payment details processed via electronic funds transfer and the associated electronic provider remittance advices. Secure Communication Provides the ability to submit inquiries, compliments, complaints and other information to OptumHealth New Mexico via a secure web form. Obtaining a User ID To obtain a user ID and password for optumhealthnewmexico.com or for technical support, please call tollfree You must have this user ID and password before you can access any secure transaction feature including Service Registration. Your user ID and password are sent by secure or secure fax when OptumHealth has a secure or fax on file, otherwise it is sent through the U.S. Postal Service. Electronic Claims Electronic claim submission is easy and efficient. We invite you to use our online secure transaction or you can submit claims electronically through an Electronic Data Interchange (EDI) clearinghouse using payer ID

8 Eligibility Inquiry You are responsible to determine the eligibility of a qualified beneficiary at the time service is rendered. You can use the online Eligibility & Benefit Inquiry function to determine the active status of a consumer covered by Medicaid. You will need to go through online Service Registration to obtain authorization for Medicaid benefits. For non-medicaid services, you will need to go through online Service Registration to determine eligibility and qualify the consumer for those services and the appropriate funding entity. 6

9 Glossary Abuse: is (1) any intentional, knowing or reckless act or failure to act that produces or is likely to produce physical or great mental or emotional harm, unreasonable confinement, sexual abuse or sexual assault consistent with NMSA 1978, ; or (2) provider practices that are inconsistent with sound fiscal, business, medical or service related practices and result in an unnecessary cost to the Medicaid program, or in reimbursement for services that are not medically necessary or that fail to meet professionally recognized standards for health care. Action: is the denial or limited authorization of a requested service, including the type or level of service; the reduction, suspension or termination of a previously authorized service; the denial, in whole or part, of payment for a service; or the failure to provide services in a timely manner. An untimely service authorization constitutes a denial and is thus considered an action. Adverse reaction to treatment: serious adverse reaction to treatment requiring an urgent or emergency intervention. Appeal: a request from a member or provider (acting on behalf of a member with member s authorization or on provider s own behalf) for review by OptumHealth New Mexico of an action. Attempted Suicide: a deliberate self-injurious behavior that has the potential to cause serious harm or death to the person, but does not result in death. Suicide "gestures" (such as cutting, ingestion of small amounts of medication etc.) should not be included in this category. Community Mental Health Center (CMHC): an institution that provides mental health services required by 1916(c)(4) of the Public Health Service Act and is certified by the appropriate state authorities as meeting such requirements. Damage to property: damage to property including that which occurs secondary to the setting of a fire, due to intentional actions of a consumer while in a behavioral health treatment setting. Detentions for Criminal Activity: an individual detained in an adult or adolescent institution, county jail, or detention center as punishment for a crime or pending formal sentencing or for a violation of their probation or parole. Elopement: the unauthorized leave or absence of consumer without permission, including not returning from pass, for longer than 24 hours past the designated return time. Environmental Hazard: unsafe conditions which create an immediate threat to life or safety, including, but not limited, to fire or contagious diseases requiring quarantine. Expedited Appeal: is a federally mandated provision for an expedited resolution within three working days of a requested appeal by OptumHealth New Mexico. Federally Qualified Health Centers (FQHC): a federally qualified health center is a type of provider defined by the Medicare and Medicaid statutes. FQHCs include all organizations receiving grants under Section 330 of the Public Health Service Act, certain tribal organizations, and FQHC Look-a-Likes. A FQHC Look-A-Like is an organization that meets all of the eligibility requirements of an organization that receives a PHS Section 330 grant, but does not receive grant funding. Financial exploitation: the act or process, performed intentionally, knowingly, or recklessly, of using a consumer s property for another person profit, advantage or benefit without legal entitlement to do so. Fraud: is an intentional deception or misrepresentation by a person or an entity with the knowledge that the deception could result in some unauthorized benefit to himself or some other person. It includes any act that constitutes fraud under applicable federal or state law, consistent with NMAC

10 Grievance: is an oral or written statement by a member, provider or other party, expressing dissatisfaction with any aspect of OptumHealth New Mexico or its operations that is not an OptumHealth New Mexico action. Homicide: the act of terminating another person s life. Indian Health Services (IHS): a hospital/clinic established and operated by the Federal Indian Health Service. Injuries/Emergency Services: unanticipated admission to a hospital or other psychiatric facility; or the unanticipated provision or emergency services that result in medical care for this individual which would not be routinely provided by a primary care provider. Such services include, but are not limited to the following: treatment for broken bones, lacerations requiring sutures, poisoning or contacting poison control for treatment, burns requiring specialized medical treatment, or other conditions requiring emergency medical services (EMS), specialized treatment at an urgent care facility or an emergency room. Injuries/Emergency Services excludes adverse reaction to treatment and medication errors. Involuntary hospitalization: A legal procedure used to compel an individual to receive inpatient treatment for a mental health disorder against his or her will. Medication or treatment errors: medication under or overdose or medication errors requiring treatment. optumhealthnewmexico.com: OptumHealth New Mexico Web portals for providers and for members. Includes general information, manuals, forms and newsletters are available to any portal visitor. In addition, a variety of secure, self-service transactions including service registration are available to network providers. PAD: psychiatric advance directive. Protective custody: The act of law enforcement officials placing a person in a government facility or foster home in order to protect him/her from a dangerous person or situation. Examples include: a child who has been neglected or battered or in danger from someone violent; domestic violence; acute intoxication; and psychiatric beds unavailable. Self-injurious behaviors: self-inflicted harm requiring an urgent or emergency intervention. Examples include: cutting, burning (or branding with hot objects), picking at skin or re-opening wounds, hair-pulling (trichotillomania), hitting (with hammer or other object), bone-breaking, head-banging, or multiple piercing and multiple tattooing. Sexual behaviors: With other consumers, staff or third party whether consensual or not, while in a treatment program (i.e. sexual contact of any type, sexual abuse, sexual assault, rape, attempted rape, touching, or indecent exposure). Suicide: The deliberate act of causing one s own death. Treatment, Payment, or Health Care Operations: as defined by HIPAA include: 1) Treatment Coordination or management of health care and related services; 2) Payment purposes The activities of a health plan to obtain premiums or fulfill responsibility for coverage and provision of benefits under the health plan; and 3) Health Care Operations The activities of a health plan such as quality review, business management, customer service, and claims processing. Tribal 638 facility (638): a hospital/clinic is operated by a Native American/Indian tribe and funded by Title I or Title III of the Indian Self-Determination and Education Assistance Act (P.L (see 25 CFR 900). Violent/ Assaultive behavior (non-lethal): In a behavioral health setting with physical harm to self or others. Examples include: physical assault with weapon, physical assault with no weapon, fight, and attempted homicide. Waste: is the allocation or expenditure of resources significantly in excess of need for the principal purpose of personal or commercial gain. 8

11 PROVIDER ROLES AND RESPONSIBILITIES OptumHealth New Mexico believes that through the efforts of our clinical network, consumers will have the best opportunity to achieve a level of functioning that promotes recovery and resiliency and improves quality of life. One important component of this goal is collaboration between OptumHealth and you. We encourage you to direct questions and concerns to your OptumHealth Provider Relations representative. Providers should not involve consumers in any dispute between the Provider and OptumHealth. OptumHealth New Mexico maintains six regional offices housed in five locations and your Provider Relations team will be housed in each of those locations. Please refer to the Resource Guide located in this manual which includes contact information for each of the Provider Relations office locations. Contacting Provider Relations You may contact your Provider Relations representative by going to our Web site, and selecting Contact Us from the sidebar menu on the left of the homepage. The centralized telephone number for Provider Relations is , follow the prompts to reach the appropriate regional office. Additional contact information is provided in the contact table in the Resource Guide section of this manual. Your Provider Relations team will answer contract-related questions and help with such activities as: Joining the network Updating you on your network status Making changes to your practice or program information, including but not limited to: o Demographic changes (address or phone number) o Changes or additions to facility program offerings o Updates or changes to Tax ID or EIN Claims-related questions Written Notification of Status Changes for Clinicians and Facilities You are required to notify Provider Relations in writing within 10 calendar days of any changes to: The status of the practice, including changes in practice location, billing address, or telephone or fax number (or changes in facility ownership) The status of professional licensure and/or certification such as revocation, suspension, restriction, probation, termination, reprimand, inactive status, voluntary relinquishment, or any other adverse action The status of professional liability insurance Potential legal standing (any malpractice action or notice of licensing board complaint filing) The Tax Identification Number (TIN) used for claims filing The programs you offer (services you provide must continue to meet our credentialing criteria) Many of these notifications can be handled online at optumhealthnewmexico.com. Changes submitted in writing, via mail or fax, should be sent by clinicians to your region-specific Provider Relations team who will coordinate those changes as needed. Failure to report changes in a timely manner may result in claims payment delays and/or adversely affect network participation. 9

12 Provider Relationship with Consumer Nothing in this manual is intended to interfere with your relationship with consumers as patients. Professional Responsibility In accordance with the Participation Agreement, you are required to provide services in a manner that is consistent with professional and legal standards applicable at the time of service regardless of a consumer s benefit plan or terms of coverage. Providers should post and/or make available Consumer Rights information (see appendix of this manual for a listing of Consumer Rights and Responsibilities). Discharge Planning Discharge planning is a critical component of care. Providers are expected to incorporate discharge criteria and planning into the overall treatment plan, beginning at admission. Consumers (and their families, when appropriate) should be actively involved in this aspect of care. Marketing Guidelines and Restrictions The New Mexico Human Services Department (HSD) has established marketing guidelines and restrictions that apply to OptumHealth as the Statewide Entity and also to providers contracted with OptumHealth New Mexico. Providers are required to comply with these guidelines and restrictions. Marketing is defined as the act or process of promoting a business. Marketing includes brochures, leaflets, internet, newspaper, magazine, radio, television, billboards and other presentation materials and media used by OptumHealth New Mexico, subcontractors and contracted providers intended to attract or retain membership. The key requirements and restrictions related to marketing include the following: All marketing and outreach materials must indicate that Medicaid services are funded in whole or in part under contract with the State of New Mexico All materials must be accurate, non-threatening and not misleading HSD shall be provided an opportunity to review, and may approve or disapprove any communications to consumers including information regarding behavioral health, Medicaid specific services, or advertisements related to Medicaid The dissemination of Medicaid-specific advertising and marketing materials by OptumHealth New Mexico, its subcontractors and contracted providers requires the approval of HSD Promotional materials may be made available to consumers and potential consumers at care sites if HSD has approved the contents of the materials, but face-to-face meetings at care delivery sites for the purpose of marketing to potential enrollees is not permitted OptumHealth New Mexico may hold public meetings but must provide notice to HSD of any such meetings OptumHealth New Mexico and its providers, with HSD approval, may disseminate approved materials, including nominal gifts, to potential members. OptumHealth and its providers may offer rewards to consumers for accessing care, participating in preventive health services or achieving health milestones. Any gift over $25 required HSD approval For a complete copy of HSD s marketing guidelines, please refer to the provider portal on optumhealthnewmexico.com or contact your Provider Relations Representative. 10

13 National Provider Identification The purpose of a National Provider Identifier (NPI) is to improve the efficiency and effectiveness of the electronic transmission of health information. The implementation of this provision in 2007 is in compliance with HIPAA. OptumHealth requires the billing clinician to include the NPI number and taxonomy code on all electronic claims. Providers participating in the OptumHealth New Mexico network are required to comply with CMS (Center for Medicare and Medicaid Services) rules regarding the use of NPI (National Provider Identifier) on the submission of claims. What is an NPI? The NPI is a unique identification number for covered health care providers used in the administrative and financial transactions adopted under HIPAA. The NPI is a 10-digit, intelligence-free numeric identifier. This means that the numbers do not carry other information about healthcare providers, such as the state in which they live or their medical specialty. For a full overview on the use of NPI, please visit the NPI section of the CMS web site at Getting an NPI is easy and free. For instructions on how to apply for an NPI, log onto the CMS website listed above and follow the links to the National Plan and Provider Enumeration System (NPPES) under the "How to Apply" section of the web page. When applying for an NPI, you will be asked to select a "Healthcare Provider Taxonomy Code." The Healthcare Provider Taxonomy codes are a HIPAA standard code set that may be required by a healthcare payer to properly pay or process a claim and/or encounter information transactions. The Healthcare Provider Taxonomy code set divides health care providers into hierarchical groupings by type, classification, and specialization, and assigns a code to each grouping. These codes are not assigned to providers; rather, healthcare providers select the taxonomy code(s) that most closely represents their education, license, or certification. Please note that if a healthcare provider has more than one taxonomy code associated with it, we may ask you to use one over another when submitting claims for certain services to properly process your claim. The Americans with Disabilities Act Providers are expected to comply with protections and accommodations as covered by the Americans with Disabilities Act. This includes, but is not limited to, protections against discrimination that limit or prevent access to services based on the presence of the disability and modifications to facilities or equipment that accommodate individuals to gain access to services offered for which they are eligible. Services of Interpreters It is typically your responsibility to arrange for the services of interpreters, when indicated, for consumers under your care. Financial responsibility for such services varies depending on the benefit plan and/or governing law; accordingly, these costs may be assigned to you, to OptumHealth, to the consumer or may be shared between any or among all of these parties. You may contact a Care Coordinator to determine who is financially responsible. Service Registration and Utilization Management OptumHealth New Mexico expects providers and facilities to submit a Service Registration for each consumer who is to receive treatment, care or services. OptumHealth will convert the previous Statewide Entity s non-medicaid enrollments and service data to our Service Registration system for those consumers who were receiving care prior to July 1, OptumHealth New Mexico will work with providers on an 11

14 individual basis to obtain any missing or additional information needed to successfully complete this conversion. Service Registrations are to be completed by providers and facilities for all services they will be providing including: Hospital and facility-based care Outpatient services Medicaid and Non-Medicaid eligible consumer services Service Registration via the OptumHealth provider web portal asks concise questions for service and funding relevant questions which will: Reduce the administrative burden on the provider to determine funding source(s) for the consumer as the service registration process on the provider portal will link the consumer with the most appropriate funding source Enhance awareness of available funding and service utilization to remove barriers to participation, increase provider confidence, and minimize under spending due to uncertainty Provide detailed summaries and accurate reporting Service Registrations can be submitted 24 hours/day. Some service registrations will require review by OptumHealth Utilization Managers and authorizations based on those reviews (e.g., inpatient level of care). The provider portal will alert the provider that he/she must call OptumHealth New Mexico. In addition to Web-based registration, providers may call to register the consumer by phone or to get assistance should you have difficulty entering service registration online or have questions about eligibility. Customer Support Specialists (CSS) are available 24 hours/7 days a week to respond to questions around service registrations. Please see the Service Registration section of this manual for more information about web, telephonic and paper-based registration options. Access to Outpatient Services To ensure that all Consumers have access to appropriate treatment as needed, we develop and maintain a network with adequate numbers and types of clinicians and require that the network adhere to specific access standards, which are outlined as follows. In all cases, we expect that you will respond within 24 hours to a consumer request for routine outpatient care for MH/SA services. The table below outlines appointment access standards within which you are expected to offer an appointment. If more stringent time frames are required by state law, we require that the network adhere to the more stringent time frames. Appointment Access Standards Routine Appointment Within 14 days of the request for services, unless the consumer requests a later time Urgent Care Appointment Within 24 hours Crisis Services Within two (2) hours Life-threatening Emergency Immediate access In cases where a consumer is being discharged from acute inpatient care, OptumHealth expects a follow-up outpatient appointment to occur within seven days from the discharge date. This appointment should be 12

15 included in the facility discharge plan. The effort made by clinicians to meet the needs of consumers being discharged from a facility, including those who may not have been in treatment with you prior to their admission to inpatient services, are greatly appreciated. If you are unable to take a referral, direct the consumer to call OptumHealth toll-free so that he or she can obtain a new referral. Consumers can also access a Provider Directory online at OptumHealth employs a variety of methods to monitor consumer access to care. Billing No Shows Medicaid prohibits billing consumers for no-shows under any circumstance. Providers cannot bill Medicaid for no-shows. Consumers are never to be charged a deposit or advance payment for a potential missed appointment or no-show. You may not bill OptumHealth for services not rendered. Cultural Competence OptumHealth consumers represent a richly diverse population and we are committed to supporting ongoing education related to cultural sensitivity. Educational opportunities will be posted to Provider Information and Training Our curriculum for new providers includes a full orientation to the values, administrative processes, and clinical priorities of OptumHealth and the Collaborative. Every network provider is to receive introductory training. Your Welcome kit includes information about accessing the online provider manual, content specific manuals, and training resources on the provider portal, including the Essential Learning catalog. Trainings are provided in a range of media/settings including but not limited to print, online, telephonic/webenabled, and in-person trainings. Our Regional Provider Relations and Training staff will deliver training at varying times of day, and in multiple locations to ensure rural and frontier Providers have access to trainings. Categories of training offered include, but are not limited to: Recovery and Resiliency Training (some examples listed here) Strengths Based Assessment Effective Use of Peer Support Developing Comprehensive Care Plans (including WRAP Plans) Clinical Implications of Supported Employment Post Traumatic Stress Disorders Suicide Prevention, Awareness and Response Administrative Training and Technical Support (some examples listed here) Network Orientation Claims and Billing Critical Incident Reporting Requirements 13

16 Service Registration, Eligibility Verification, Referrals and more Care Coordination Process and Administration Complaints, Disputes, Appeals and Grievance processes HIPAA and Privacy Requirements Clinical Education and Training (some examples listed here) OptumHealth Level of Care Guidelines Substance Abuse Level of Care Guidelines (ASAM PPC-2R) Integration of Physical and Behavioral Health Culturally Adapted Evidence-Based Practices Promising and Emerging Practices Prevention and Early Intervention Be sure to check the Provider Portal to view our calendar of current offerings as well as the Essential Learning catalog with an extensive library of topics covering clinical issues, compliance and agency management. Many of the courses offered in the Essential Learning catalog offer Continuing Education Units. Our regional Provider Relations, and Training staff, with assistance of consumer, family, and provider peer trainers, will deliver trainings year-round. Privacy Practices All aspects of OptumHealth New Mexico operations are compliant with required HIPAA privacy practices as well as other applicable New Mexico and federal laws pertaining to the privacy, confidentiality, release and maintenance of consumer information, including information related to substance or alcohol abuse. OptumHealth New Mexico requires all its providers similarly to comply with all applicable New Mexico and federal regulations concerning privacy and the release of confidential consumer information. The Health Insurance Portability and Accountability Act (HIPAA) of 1996 is a federal law enacted to ensure privacy and security of a consumer s Protected Health Information (PHI). PHI is defined as individually identifiable health information that is transmitted or maintained in any form or medium. A few examples of PHI include an individual s name, social security number or consumer identification number, address, and date of birth. HIPAA Privacy Rule: The Use and Disclosure of PHI OptumHealth has established policies relating to requests for and disclosure of PHI in accordance with HIPAA and other applicable federal and state laws. These policies ensure that only the minimum amount of information necessary is disclosed to accomplish the purpose of the disclosure or request. The HIPAA Privacy Rule requires providers to implement and enforce policies and procedures to comply with the rules. These policies and procedures must incorporate the following consumer rights: The right to receive a notification of privacy practices; The right to authorize how their protected health information (PHI) is used; The right to see and obtain a copy of their PHI; The right to request to change incorrect or incomplete information in their PHI; 14

17 The right to ask and obtain from a provider when and to whom PHI was disclosed; The right to request restrictions on how their PHI is used or disclosed; The right to have only the minimum amount of information needed released; and The right to file a complaint with the federal Department of Human Services, if they believe their rights related to PHI has been violated. Providers are required to train all of their staff members on HIPAA privacy regulations and must maintain records dealing with HIPAA privacy issues for at least six years. All OptumHealth employees are required to receive initial and annual refresher training on HIPAA privacy regulations. Providers may request records containing PHI for their consumers from other healthcare providers and facilities, as well as from OptumHealth, without the consumer s approval if the purpose of the request is for treatment, payment or healthcare operations (TPO) so long as the information requested and provided is the minimum necessary for the purpose of the request. Treatment, Payment, or Health Care Operations as defined by HIPAA include: 1) Treatment Coordination or management of health care and related services; 2) Payment purposes The activities of a health plan to obtain premiums or fulfill responsibility for coverage and provision of benefits under the health plan; and 3) Health Care Operations The activities of a health plan such as quality review, business management, customer service, and claims processing. The Privacy Rule requires a covered entity, such as a provider, to treat a "personal representative" the same as the patient, with respect to uses and disclosures of PHI. A personal representative is a person legally authorized to make health care decisions on behalf of a consumer or to act for a deceased patient or the estate. Once the personal representative has been authenticated, a provider can treat the personal representative as you would the consumer (you can give the personal representative whatever information you could give to the patient). Providers may obtain detailed information about the HIPAA Privacy Rule by referring to the Office of Civil Rights website at Disclosures Related to Substance or Alcohol Abuse The Federal Substance Abuse Regulations apply to any information (whether in writing or not) which could either directly or indirectly identify a patient as an alcohol or substance abuser. Although HIPAA covers substance abuse information, the federal substance abuse regulations are even more restrictive than HIPAA and they do not allow disclosure without the member s written consent except in very limited circumstances (i.e., the federal substance regulations do not contain a treatment exception as HIPAA does). HIPAA Security Rule Like the HIPAA Privacy Rule, the HIPAA Security Rule requires covered entities such as OptumHealth and its providers to protect consumer protected health information (PHI). This rule requires providers to: Ensure the confidentiality, integrity and security of all electronic PHI Protect against any reasonably anticipated threats or hazards to the security and integrity of PHI Protect against any reasonably anticipated uses or disclosures of PHI that are not permitted or required; and Provide training to all staff on the requirements of the Security rule. Some Suggested Precautions and Tips to Protect PHI 15

18 Maintain the privacy of phone contacts Keep confidential records secure Dispose of all PHI in designated bins for shredding Pick up any printed confidential information from printers or fax machines immediately even from secure areas Record only necessary information in the patient s record Do not discuss any patient information in the elevators or outside the building De-identify PHI to the full extent possible when making an authorized disclosure Encrypt laptops (and any portable devices) containing PHI Verify the identify of any caller requesting PHI If an employee leaves their workstation for any period of time, secure or log-off of the computer If you are sending a document containing multiple consumer names, such as a Remittance Advise, black out any names or PHI on consumers not the subject of the communication Faxes: o Use a fax cover sheet with a privacy statement at the bottom. o Double check the fax number before transmitting. o Remove all faxes from the paper tray after faxing. o Use a dedicated fax machine or fax line to send or receive PHI o Encrypt s containing PHI o Ensure is secure if communicating with consumers or other health care professionals o Do not use consumer PHI in the heading line of an Guidelines for Storing Consumer Records Below are additional guidelines for completing and maintaining treatment records for consumers: Practice sites must have an organized system of filing information in treatment records Treatment records must be stored in a secure area and the practice site must have an established procedure to maintain the confidentiality of treatment records in accordance with any applicable laws and regulations The practice site must have a process in place to ensure that records are available to qualified professionals if the treating clinician is absent Treatment records are required to be maintained for seven years from the date of service, or in accordance with state or federal laws or regulations, whichever is longer; termination of the Participation Agreement has no bearing on this requirement Financial records concerning covered services rendered are required to be maintained from the date of service for 10 years, or the period required by applicable state or federal law, whichever is longer; termination of the Participation Agreement has no bearing on this requirement. Record Retention Provision Behavioral health, treatment, service, claim and medical records ( Medical Records ) are legal documents and are subject to retention laws of the United State and the State of New Mexico. The Provider is obligated to comply with all applicable federal and State laws, regulations, rules as well as the policies and directives of the Behavioral Health Collaborative ( Collaborative ) and OHNM governing all aspects of the records including but not limited to the production, ownership, accessibility, and destruction of Medical Records. A Provider must have a written record retention and destruction policy which is updated regularly. This policy must: 16

19 1. Identify how and with whom necessary records and documents will be adequately protected and maintained. 2. Identify the total number of records (for example: 25 client medical records ) that are to be kept and the regulation governing such retention, i.e., state guidelines, Centers for Medicare & Medicaid Services and HIPAA protocols. A detailed log with identifying consumer information shall also be maintained by the Provider and made available upon request by the Collaborative or other appropriate State agency. In providing the information below, please consider any material related to patient care to be part of the record such as billing records, appointment schedules, individual medical encounters, patient's medical history, hospital admission documentation. Example: Description: An original medical record and legible copy or copies of court orders or other documents, if any, authorizing another person to speak or act on behalf of this resident Retention: For a period of at least ten (10) years following a consumer s discharge or death. Disposition: Dispose by shredding. Authority: NM, Title 7 Chapter 9, Part 2, F(2) (attach as many additional sheets as necessary) 3. Identify you or your agency s method for ongoing management of storage of records each retention period 4. Identify the accountable, management team or entity responsible for ongoing storage and management. Please provide full contact information for accountable persons/entities (name/ address/phone number/ fax number/ ). Note: The outsourcing of medical record transcription and storage has the potential to violate patient-physician confidentiality by possibly allowing unaccountable persons access to patient data. If outsourcing of medical record storage and maintenance is utilized please provide a copy of the management contract. 5. Identify an ongoing schedule for systematic destruction or disposal of obsolete or unnecessary records. For example: Adult patients: ten years after the last contact with the practice Minor patients: o Ten years after the last contact with the practice OR o Four years beyond the patient s 18 th birthday, whichever is longer Deceased patients: five years after the patients death Other laws and regulations may apply in the following circumstances (e.g., Medicare, OSHA, managed care patients). Check with the appropriate authority to ensure that your retention policy meets their guidelines. 6. Describe the Provider s methods for destruction which protects the confidentiality of this information, such as shredding or burning or in the case of EMR destruction of all backups. At a minimum, the Provider method shall include: the date and method of destruction, a description of the disposed records, inclusive dates covered, a statement that the records were destroyed in the 17

20 normal course of business, and the signatures of the individuals supervising and witnessing the destruction. It also recommends that facilities maintain destruction documents permanently. 7. Describe the Provider s methods for maintaining a Destruction Log At a minimum, your destruction log shall contain the patient s name, ID number, and other key identifiers (e.g. dates of service); a description of records being destroyed; general record content; type of media (paper, fiche, CD, etc); the date the records were destroyed and method of destruction; and the name and signature of the person or the company destroying the records. Communication with Primary Physicians and Other Health Care Professionals To coordinate and manage care between behavioral health and medical professionals, OptumHealth expects that you will seek to obtain the consumer s consent to exchange appropriate treatment information with medical care professionals (e.g., primary physicians, medical specialists) and/or other behavioral health clinicians (e.g., psychiatrists, therapists). Coordination and communication should take place at: the time of intake, during treatment, the time of discharge or termination of care, between levels of care and at any other point in treatment that may be appropriate. Coordination of services improves the quality of care to consumers in several ways: It confirms for a primary physician that his or her patient followed through on a behavioral health referral It minimizes potential adverse medication interactions for consumers who are prescribed psychotropic medication It allows for better management of treatment and follow-up for consumers with coexisting behavioral and medical disorders It can reduce the risk of relapse with consumers in some populations, as with substance use disorders The following guidelines are intended to facilitate effective communication among all treatment professionals involved in a consumer s care: During the diagnostic assessment session, request the consumer's written consent to exchange information with all appropriate treatment professionals After the initial assessment, provide other treating professionals with the following information within 7 days: o Summary of consumer s evaluation o Diagnosis o Treatment plan summary (including any medications prescribed) o Primary clinician treating the consumer Update other behavioral health and/or medical clinicians when there is a change in the consumer's condition or medication(s) Update other health care professionals when serious medical conditions warrant closer coordination Inform primary care and, when applicable, specialist physicians regarding laboratory and radiology results Apprise primary care physicians of any sentinel event to include hospitalizations, emergencies or incarceration Report transitions in levels of care At the completion of treatment, send a copy of the discharge summary to the other treating professionals Attempt to obtain all relevant clinical information that other treating professionals may have pertaining to the patient's mental health or substance use problems 18

21 Some consumers may refuse to allow for release of this information. This decision must be noted in the clinical record after reviewing the potential risks and benefits of this decision. OptumHealth, as well as accrediting organizations, expect you to make a good faith effort at communicating with other behavioral health clinicians or facilities and any medical care professionals who are treating the consumer. In order to qualify for an admission for out-of-home placement, the provider must, (i) obtain or confirm that a Release of Information is in the child's file that has been executed by the child's legal guardian permitting the release of information to all applicable Core Service Agencies, (ii) ensure that the proposed out-of-home placement admission is signed and approved by the applicable Core Service Agencies, and (iii) promptly contact the applicable Core Service Agencies and cooperate with such Core Services Agencies in creating and determining the child's treatment, transition, discharge planning, transfer, and/or the child's next appropriate level of care. Failure to comply with any of the above requirements will be grounds for provider default. All providers, whether a Core Service Agency or not, are expected to cooperate and communicate in a timely and reasonble manner with one another and the consumer or family member's representative Core Service Agency regarding the care of consumers of all ages in determining a consumer's treatment, tradition, discharge, transfer, crisis intervention, and/or the consumer's next appropriate level of care. Failure to comply with the foregoing requirement will be grounds for provider default. Consumer Rights and Responsibilities You will find a copy of the OptumHealth Consumer Rights and Responsibilities at the end of this manual and at optumhealthnewmexico.com. You may request a paper copy by contacting your Regional Provider Relations Representative. These rights and responsibilities are in keeping with industry standards. All consumers benefit from reviewing these standards in the treatment setting. OptumHealth requests that you display the Consumer Rights and Responsibilities in your waiting room, or have some other means of documenting that these standards have been communicated to OptumHealth consumers. Advance Directives A mental health or psychiatric advance directive (PAD) is a legal document designed to preserve the autonomy of an individual with mental illness during times when the mental illness temporarily compromises the individual s ability to make or communicate mental health treatment decisions. The Mental Health Care Treatment Decisions Act, passed into law in 2006, gives all individuals 18 years of age or older the right to have a psychiatric advance directive and provides direction on the completion of a PAD and how organizations and providers must utilize and honor a PAD. A PAD allows an individual to give instructions about their treatment, including refusal of treatment, if they are unable to do so because of illness or incapacitation. A PAD also lets a consumer assign an agent to make decision for the consumer if the consumer is unable to make their own decisions. The agent is required to make decisions in the best interest of and in accordance with the wishes of the consumer. Both the consumer and the agent must sign the PAD and it must be signed by a witness. An appropriately executed PAD has no expiration date and is valid until rescinded by the consumer. The law includes a standard PAD form which a consumer may use. This form is optional, not mandatory and other versions of a PAD may be used. For more information on PADs in New Mexico and for a copy of the PAD form, link to OptumHealth peer specialists are available to assist consumers in completing and understanding psychiatric advance directives. 19