dhcs dmc-ods regulatory and compliance...cal chapter 1 p. 63 chapter 2 pp. 11 & 13 chapter 3 p....

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DHCS DMC-ODS regulatory and compliance Masonic Center Nov 28 8:30-11:30 or 1:00-4:00 Substance Use Treatment Services Nov 27 8:30-11:30 or 1:00-4:00 Register: SCCLearn www.scclearn.sccgov.org

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Page 1: DHCS DMC-ODS regulatory and compliance...cal Chapter 1 p. 63 Chapter 2 pp. 11 & 13 Chapter 3 p. 13 Chapter 4 pp. 20, 23, 24 & 25 Chapter 4 pp. 23 & 24 Chapter 5 p. 4 Chapter 5 p. 27

DHCS DMC-ODS

regulatory and compliance

Masonic

Center

Nov 28

8:30-11:30 or 1:00-4:00

Substance Use Treatment Services

Nov 27

8:30-11:30 or 1:00-4:00

Register: SCCLearnwww.scclearn.sccgov.org

Page 2: DHCS DMC-ODS regulatory and compliance...cal Chapter 1 p. 63 Chapter 2 pp. 11 & 13 Chapter 3 p. 13 Chapter 4 pp. 20, 23, 24 & 25 Chapter 4 pp. 23 & 24 Chapter 5 p. 4 Chapter 5 p. 27

SUBSTANCE USE TREATMENT SERVICES

DMC-ODS

NOVEMBER 2018

Steve Lownsbery, L.M.F.T., 31363SUTS Clinical Standards Coordinator

Page 3: DHCS DMC-ODS regulatory and compliance...cal Chapter 1 p. 63 Chapter 2 pp. 11 & 13 Chapter 3 p. 13 Chapter 4 pp. 20, 23, 24 & 25 Chapter 4 pp. 23 & 24 Chapter 5 p. 4 Chapter 5 p. 27

DMC-ODS Documentation Training

AM session PM session

8:00 Registration 12:30

8:30 Regulatory statutes and compliance issues 1:00

9:00 Assessment 1:30

9:30 Treatment Planning 2:00

10:00 Progress Notes 2:30

10:30 Clinical Justification for Services 3:00

11:00 Discharge Planning and Continuing Care 3:30

11:30 Questions 4:00

Sign out and certificates

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Page 4: DHCS DMC-ODS regulatory and compliance...cal Chapter 1 p. 63 Chapter 2 pp. 11 & 13 Chapter 3 p. 13 Chapter 4 pp. 20, 23, 24 & 25 Chapter 4 pp. 23 & 24 Chapter 5 p. 4 Chapter 5 p. 27

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Page 5: DHCS DMC-ODS regulatory and compliance...cal Chapter 1 p. 63 Chapter 2 pp. 11 & 13 Chapter 3 p. 13 Chapter 4 pp. 20, 23, 24 & 25 Chapter 4 pp. 23 & 24 Chapter 5 p. 4 Chapter 5 p. 27

Primary Source

• Intergovernmental Agreement (IA)

(also known as the SUTS contract with DHCS)

Disclaimer: The material on the IA is presented for the purposes of familiarizing the audience with its key features. The presentation does not cover the entire IA and does not claim to be comprehensive. Readers are strongly encouraged to read the original IA.

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Page 6: DHCS DMC-ODS regulatory and compliance...cal Chapter 1 p. 63 Chapter 2 pp. 11 & 13 Chapter 3 p. 13 Chapter 4 pp. 20, 23, 24 & 25 Chapter 4 pp. 23 & 24 Chapter 5 p. 4 Chapter 5 p. 27

Primary Source - IA• Preamble

• Federal requirements

• Program Specifications

• Includes covered services, access to services, coordination and continuity of care, authorization of services, continued certification of providers, defines the DMC-ODS modalities, case management, recovery services, cultural competency, describes the beneficiary problem resolution process, program integrity requirements, quality management, state monitoring, contractor monitoring and reporting requirements, training program mandates, compliance records, program complaints, correction action plans, individual quality improvement programs and utilization management and performance measures.

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Page 7: DHCS DMC-ODS regulatory and compliance...cal Chapter 1 p. 63 Chapter 2 pp. 11 & 13 Chapter 3 p. 13 Chapter 4 pp. 20, 23, 24 & 25 Chapter 4 pp. 23 & 24 Chapter 5 p. 4 Chapter 5 p. 27

Primary Sources - Regulatory Authority citations• STC- Standard Terms and Conditions

• AOD Cert. Standards - Alcohol and/or Other Drug Program Certification Standards (May 1, 2017) Alcohol and/or Other Drug Program Certification Standards

• DMC - Drug Medi-Cal Certification Standards for Substance Abuse Clinics (July 1, 2004

• DTS - Standards for Drug Treatment Programs (September 1982)

• Title 9 - California Code of Regulations, Title 9 - Narcotic Treatment Programs

• Title 22 - California Code of Regulations

• Title 22 - Drug Medi-Cal (as amended by Emergency Regulations)

• WIC - Welfare and Institutions Code

• Perinatal Service Network Guidelines 2016-2017

• SUTS CPM - Substance Use Treatment Services Clinical Performance Measures 7

Page 8: DHCS DMC-ODS regulatory and compliance...cal Chapter 1 p. 63 Chapter 2 pp. 11 & 13 Chapter 3 p. 13 Chapter 4 pp. 20, 23, 24 & 25 Chapter 4 pp. 23 & 24 Chapter 5 p. 4 Chapter 5 p. 27

• NTP/OTP

• How to fill out a GRS or RRS

• a TRS or a CRS• an ALOC• a CalOMS – Clinician's Guide to CalOMS

• Billing Procedures - SUTS Biz Ops and DHCS Billing Manual • Client Satisfaction Survey• HIPAA or 42CFR or 438• Beneficiary rights and Grievance procedures• SUTS Clinical Documentation Manual• Other specific clinical trainings, eg., ALOC, Case Management,

DSM Diagnostic tree, Stages of Change, Treatment planning, Use of EBPs 8

does not address

Page 9: DHCS DMC-ODS regulatory and compliance...cal Chapter 1 p. 63 Chapter 2 pp. 11 & 13 Chapter 3 p. 13 Chapter 4 pp. 20, 23, 24 & 25 Chapter 4 pp. 23 & 24 Chapter 5 p. 4 Chapter 5 p. 27

SCCo SUTS Contract with DHCS• Specific terms and conditions of SUTS

relationship with DHCS

• Contractually SUTS has a dual role:• Operates as an organized delivery system (ODS)

• Functioning as a managed care plan (MCP)

• SUTS must comply with IA terms

The Intergovernmental Agreement (IA)

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Page 10: DHCS DMC-ODS regulatory and compliance...cal Chapter 1 p. 63 Chapter 2 pp. 11 & 13 Chapter 3 p. 13 Chapter 4 pp. 20, 23, 24 & 25 Chapter 4 pp. 23 & 24 Chapter 5 p. 4 Chapter 5 p. 27

County – specific provisions in the IA

• Provisions of Section 30 are unique to each county’s waiver proposal submitted to DHCS

• Section 30 lists key elements of SUTS waiver proposal submitted to & accepted by DHCS (& CMS)

• SUTS is contractually obligated to provide services proposed in the waiver plan

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Page 11: DHCS DMC-ODS regulatory and compliance...cal Chapter 1 p. 63 Chapter 2 pp. 11 & 13 Chapter 3 p. 13 Chapter 4 pp. 20, 23, 24 & 25 Chapter 4 pp. 23 & 24 Chapter 5 p. 4 Chapter 5 p. 27

Foundations of the MCP

• Provider Staff – Counselors, Licensed Practitioners of the Healing Arts (LPHAs), & Medical Director

• Substance Use Disorder Diagnosis & Medical Necessity

• Treatment Modalities

• Documentation Requirements

• Utilization Review

• Training expectations

• Outcome measures11

Page 12: DHCS DMC-ODS regulatory and compliance...cal Chapter 1 p. 63 Chapter 2 pp. 11 & 13 Chapter 3 p. 13 Chapter 4 pp. 20, 23, 24 & 25 Chapter 4 pp. 23 & 24 Chapter 5 p. 4 Chapter 5 p. 27

SUD Provider responsibilities• Know and follow ALL applicable regulations and statures

• Work within your scope of practice

• Provide quality individualized care in a comprehensive chart record

• Ensure medical necessity is documented

• Treatment is provided under the direction of a Licensed LPHA

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Licensed Practitioner of the Healing Arts

LPHAs include: • Physician • Nurse Practitioners • Physician Assistants• Registered Nurses• Registered Pharmacists • Licensed Clinical Psychologists• Licensed Clinical Social Worker • Licensed Professional Clinical Counselor • Licensed Marriage and Family Therapists • License Eligible Practitioners working under the supervision of licensed clinicians

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The Role of the Medical Director/Physician

• Develop & Implement Medical Policies & Standards

• Physicians do not delegate their duties to non-physician personnel

• Ensure Physicians

• trained to perform diagnosis & determine medical necessity, within scope

• receive five hours of continuing education related to addiction medicine annually 16

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Medical Necessity Criteria

• Beneficiaries must have

one SUD diagnosis from the DSM

• Must meet the ASAM Criteria definition of medical necessity

for services based on the ASAM Criteria

17

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• Place appropriate limits on a service

- On the basis of criteria applied under the State plan, such as medical necessity; or

• For the purpose of utilization control, provided that

- The services furnished can reasonably achieve their purpose

- Must ensure that the services are sufficient in amount, duration or scope to reasonably achieve the purpose for which the services are furnished.

Medical Necessity Criteria

42 CFR 438.210(a)(4)

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Determination of Services Medically Necessary

42 CFR 438.210(a)(4)

• Intake / Assessment• Treatment Plan• Clinical Justification for Services• ASAM – 6 Dimensions• DSM Criteria• 42 CFR 438.210(a)(4) (Adults)• 22 CCR § 51303 (Adolescents)

By – Medical Director or LPHA

Required professional reviews the initial treatment plan to determine whether the services are medically necessary. Shall type or legibly print name, sign & date treatment plan within 15 days of the therapist or counselor or within 30 days from admission, whichever comes first.

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Substance Use Disorder Diagnosis

• Counselor – LPHA or Medical Director

• required face-to-face review

• Medical Director or LPHA (working within their scope of practice)

• SHALL document the basis of the diagnosis based on DSM criteria

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Regulation Compliance Clinical

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Reg

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nIntake and Assessment

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Reg

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nIntake and Assessment

• Physical Exam(PE): a) completed by M.D. / LNP / PA within 30 days of

admit b) provides proof a PE done within the last 12 months

• c) Obtaining a PE is a Treatment Plan goal

• HSQ and determination of medical eligibility w/in 30d of admit signed

by MD w/lic, #, & dated

• ASAM biopsychosocial assessment is completed within 30 days of

admit

• Documentation of the face-to-face/telehealth chart review by the

counselor & LPHA

• LPHA determines and provides justification for DSM5 diagnosis and

appropriate Level of Care in a documentation note23

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Intake and Assessment

Beneficiary Record shall include:

• Identifier (i.e., name, number)

• Birthday

• Gender

• Race and/or Ethnic Background

• Address

• Telephone number

• Next of Kin or Emergency Contact

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ceIntake and Assessment

1. Documentation of all client demographics and emergency phone number

2. Monthly Medi-Cal eligibility is documented3. YOUTH - Parental/guardian’s involvement in treatment is justified,

sign & dated4. ALOC reflects appropriate LOC for the treatment modality & is

signed and dated5. ALOC is completed at the "Intake" counseling session6. - ALOC reflects appropriate LOC, is signed & dated with QI

authorization7. Consent to Treatment is signed and dated8. There is a written consent for psychiatric medications 25

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ceIntake and Assessment

9. Admission Agreement is signed and dated10. Program Rules are signed and dated11. Appropriate Release of Information (ROI) are completed, signed

and dated12. Beneficiary Handbook given & Ack of Receipt of Grievance

process signed & dated13. Beneficiary's Fair Hearing Rights are signed and dated14. Beneficiary's preferred language for treatment is documented15. Interpretation services are documented when preferred language

is not English16. Identifies client's strengths

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ceIntake and Assessment

17. Financial, educational, employment and legal history is documented18. Individual and family substance use history documented19. Familial, cultural and social factors are identified20. Case Management issues are summarized21. Documentation of coordination of care with other providers22. Admit to Recovery Services is conditional on previously completing

OS treatment23. ASAM biopsychosocial assessment is completed within 30 d of admit24. Diagnosis is supported by current symptoms and behaviors25. Medical necessity is stated as a significant impairment or distress in

life functioning 27

Page 28: DHCS DMC-ODS regulatory and compliance...cal Chapter 1 p. 63 Chapter 2 pp. 11 & 13 Chapter 3 p. 13 Chapter 4 pp. 20, 23, 24 & 25 Chapter 4 pp. 23 & 24 Chapter 5 p. 4 Chapter 5 p. 27

Cli

nic

al

Chapter 1 p. 63

Chapter 2 pp. 11 & 13

Chapter 3 p. 13Chapter 4 pp. 20, 23, 24 & 25

Chapter 4 pp. 23 & 24

Chapter 5 p. 4

Chapter 5 p. 27

Chapter 6 p. 32

Chapter 6 p. 34

Chapter 8 p. 38

Intake and Assessment

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Page 29: DHCS DMC-ODS regulatory and compliance...cal Chapter 1 p. 63 Chapter 2 pp. 11 & 13 Chapter 3 p. 13 Chapter 4 pp. 20, 23, 24 & 25 Chapter 4 pp. 23 & 24 Chapter 5 p. 4 Chapter 5 p. 27

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nTreatment Plan Timeline and Requirements

Initial:

• 30 calendar days from admission

–Counselor/LPHA

–Beneficiary

• Or within 30 days from admission, if documenting MN by approving the TP

–Medical Director/LPHA 29

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a. Description of Service; type and

frequency

b. Problem statements identify areas

of impairment or distress of SUD

c. Goals

d. Target Dates

e. Action Steps

Treatment Plan

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f. Beneficiary’s Diagnosis

g. Client’s goal to obtain a PE (as needed)

h. other medical concerns

i. Assignment of Primary Counselor

j. LPHA printed, signed, lic & # and dated

Treatment Plan

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nTreatment Plan

l. Client has name printed, signed and

dated

l. Notation client was offered a copy

m.LPHA determines and provides

justification for diagnosis and appropriate

Level of Care in a documentation note32

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1. Interventions are clinically appropriate to reduce impairment,

restore functioning or prevent significant deterioration

2. Problem Statements are correctly matched with the

appropriate dimension

3. Case Management (CM) identifies specific linkage services

4. Case Management (CM) is stated with range of frequency

5. Stage of Change is correctly matched with appropriate

Problem

6. Goal(s) relate to the Problem Statement & match the Stage of

Change

Treatment Plan

33

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a. Action Steps\Interventions are strength-based

b. Action Steps are stated in measurable terms (S.M.A.R.T.)

c. Action Steps help achieve the Goal(s)

d. Action Steps are strength-based

e. WM Care Plan signed by LPHA, license & # and dated w/in 48h

of admit

f. PHS/RES - TP signed, by LPHA license & # and dated w/in 10

days of admit

g. OS/IOS/RS TP printed, signed by LPHA, lic & # and dated w/in

30d of admit

Treatment Plan

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Clin

ical

Chapter 2 p. 15

Chapter 3 pp. 20, 21, 22 & 23

Chapter 4 p. 23, 25,

Chapter 5 p. 26, 28 & 30

Chapter 6 p. 32 & 34

Chapter 7 pp. 35, 36, &37

Chapter 9 pp. 40, 41, 42 & 45

Treatment Plan

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nProgress Note

1. Topic of session OR purpose of the service

2. Attendance – date, actual start & end times

If break is provided, must document

3. Identify where services are provided, in-person, by

telephone, or by telehealth

If provided in the community, identify location and how

the provider ensured confidentiality

5. Actual treatment service or counseling session time is noted

distinctly from the documentation and travel time

6. Description of progress OR lack of progress based on TP

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nProgress Note

7. Description of type and summary of services provided

8. Location, if out of office

9. Each session has date and start & end time

10.Services are individualized based on the TP

11.CM services connected to the TP Goals

12.Counselor’s intervention(s) are stated with client’s

response 37

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nProgress Note

13.Reflects treatment progress or lack thereof based

on TP goals

14.Completed within 7 days of the session (SUTS

standard is 48 hours)

13. IF documentation time is different must note

14.Counselor’s name is printed, signed, license & #, and dated

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nProgress Note

13. IOS - Adult - minimum of 9 hrs/wk / Youth -

minimum of 6 hrs/wk

13. IOS - Breaks are separated from the hourly listing

of service

18. PHS and RES are daily documented with a

minimum of 20 hours a wk of clinical services

39

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nSignature Requirements

LPHA or counselor shall:

i. Type or legibly print their name

ii. Sign and date the progress note within 7 calendar days

of the counseling session or treatment service

iii. Counselor’s name is printed, signed, license & #, and

dated

iv. Signature shall be adjacent to the typed or legibly

printed name

Progress Note

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nCase Management

a. Beneficiary’s name

b. The purpose of the service

c. Narrative summary

d. Date, start & end times

e. How confidentiality was insured

f. Identify if the service was provided in-person,

by phone, by telehealth or in the community

Progress Note

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1. No show or cancelations are documented

2. Services are individualized based on the TP

3. Counselor's interventions reflect EBPs used

4. CM/phone - Has justification / rationale of treatment

services

5. CM services are connected to the TP Goals and

Action Steps

6. CM field sessions have an explanation of how

confidentiality is protected

Progress Note

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Progress Notea. OS & RS - completed within 48 hrs of the session

b. IOS / PHS / WM / RES - DAILY documentation of

activities, services and sessions

c. PHS – treatment services correspond to a

minimum of 20 hours/week

d. RS - Minimum 1x monthly (face-to-face, telephone

or telehealth)

e. RES - Bed census correspond to Treatment

services documented 7d/wk

f. RES documentation of all treatment and activities

are a minimum of 20 hrs/wk 43

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i. Family therapy and/or family counseling appropriately

claimed

ii. Notation if treatment services were provided in their

preferred language

iii. Evidence of coordination of care with client's PCP

iv. Documentation of coordination of care with other

providers

Progress Note

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Clin

ical

Chapter 1 p. 13

Chapter 2 p. 15

Chapter 4 pp. 20, 22,23 & 24

Chapter 6 p. 32

Chapter 7 p. 37

Chapter 9 pp. 42 & 43

Chapter 9 p. 43

Chapter 10 p. 5

Progress Note

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nGroup - Sign-In Sheets

• Establish and maintain a sign in sheet for every

group counseling session to include:

• Date of session Typed or legibly printed name of

LPHA and/or counselor and beneficiary inc. lic &#

and date

• Topic of session

• Start and end time of session

For IOS and Residential:

– Provider shall have a sign-in sheet for all education

and structured activities 46

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nGroup - Sign-In Sheets

• Group sign-in sheet lists between 2-12 participants

• Group sign-in sheet has topic and date

• Sign-in sheet has client's notation of start and end

time

• Client’s name is printed and signed with time

signed in to the group session

• Counselor’s name printed, signed, license & # and

dated 47

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Justification of a cofacilitator is noted

Group notes documented separately by a

cofacilitator

Group

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nUpdated:

• 90 calendar days

–From initial or prior treatment plan

• Unless there is…

–A change in treatment modality

–Or a significant event necessitating a new TP (clinical justification)

» Whichever occurs first

Treatment Plan Timelines and Requirements

49

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nUpdated Treatment Plan

Plan has modality of SUD services, frequency, amount &

target dates

Problem statement identifies areas of impairment or distress

of SUD

Client’s name is printed, signed and dated

Primary Counselor's name is printed, signed, license & # and

dated w/in 90d of previous TP

Notation TP copy given to client 50

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1. Problem Statements identifies areas of impairment or

distress of SU

2. 1st Problem Statements are correctly matched with the

appropriate dimension

3. Stage of Change is correctly matched with appropriate

problem(s)

4. Goal(s) relate to the Problem Statement & match the Stage

of Change

Updated Treatment Plan

51

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Clin

ical

Chapter 2 p. 15

Chapter 4 p. 21 & 23

Updated Treatment Plan

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nContinuing Services Justification (CSJ)

Between 5th - 6th month from admin or last CSJ

• Outpatient Services

• Intensive Outpatient Services

• Recovery Services

• Medication Assisted Treatment

53

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Reg

ula

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nContinuing Services Justification

• LPHA/counselor shall review

– Document recommendation of continuation of services

• Determination of continued medical necessity shall be

documented by medical director or LPHA

• Review and consideration of the following shall be

documented:

− Beneficiary’s personal, medical, substance use history

− Most recent physical exam

− Progress notes & treatment plan goals

− LPHA/counselor’s recommendation

− Beneficiary’s prognosis54

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nContinuing Services Justification

Justification of Clinical Services describes treatment

outcomes

Counselor/LPHA gives prognosis

Counselor’s name is printed, signed, license & #,

dated

LPHA has narrative clinical justification for medical

necessity for this LOC

55

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Reg

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nContinuing Services Justification

YOUTH - Notice of Parental/guardian’s is

updated, justified, signed & dated

Signed by LPHA between the 5th & 6th or 11th

& 12th month

LPHA name printed, signed, license & # and

dated

56

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Co

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ce

i. Describes treatment outcome

ii. Counselor/LPHA gives prognosis

iii. Counselor’s name is printed, signed, license & # and dated

iv. LPHA has narrative clinical justification for medical

necessity for this LOC

v. YOUTH - Notice of Parental/guardian’s is updated, justified,

signed & dated

vi. Signed by LPHA between the 5th & 6th / 11th & 12th month

vii. LPHA name printed, signed, license & # and dated

Continuing Services Justification

57

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Clin

ical

Chapter 4 p. 21

Continuing Services Justification

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n – Within 30 days of last face-to-face service

• Required elements:

– List of relapse triggers

– Plan for avoiding relapse when faced with triggers

– Support plan - how to assist / avoid

• People

• Organizations

• During last face-to-face, LPHA/counselor and beneficiary,

shall type or legibly print printed, signed, license & # and

dated on the discharge plan

• A copy must be provided to beneficiary & documented

Discharge Plan

59

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nDischarge Plan

1. Detailed progress and goals (achieved or not)

2. Details client’s Continuing Care Support Plan

3. Has client’s name printed, signed and dated

4. Client notification of a NOADB - IF Involuntarily terminated given 10 day prior to D/C

60

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Discharge Plan

1. Notes either reason of Voluntary or Involuntary discharge

2. Detailed progress and goals (achieved or not)

3. Details client’s Continuing Care Support Plan

4. States value and referral to Recovery Services

5. Treatment / Residential / Recovery Services Plan is current

at discharge

6. Client notification of a NOADB - IF Involuntarily terminated given 10

day prior to D/C

61

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Reg

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n • Required for an unexpected lapse in treatment services for

30+ days

• Completed by LPHA/counselor within 30 days of last face-

to-face

• Required elements:

– Duration of the treatment episode

– Reason for discharge

– Narrative summary of the treatment episode

– Prognosis

Discharge Summary

62

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Discharge Summary

Involuntarily terminated client’s Fair Hearing

Rights are advised

Client notification of a NOADB - IF Involuntarily

terminated is given 10 day prior

63

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Clin

ical

Discharge Summary

Chapter 4 pp. 21, 23, & 24 & 26

64

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Provider Responsibilities

• CONSULT, Consult, consult

• Ask and Discuss in clinical supervision

• Digest the SUTS Clinical Documentation Manual

• Keep up on your hours for licensure requirements

• Go to relevant trainings

• Review the training elements of

• https://www.sccgov.org/sites/bhd-p/QI/SUTS/Pages/SUTS-Manuals.aspx65

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SUTS System of Care audits

• Intergovernmental Agreement

• Drug Medi-Cal ODS

• Contract Monitoring

• Fiscal

• Clinical

• Personnel

• Facilities 66

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67

SUBSTANCE USE TREATMENT SERVICES

UTILIZATION REVIEW PROCESS 1. U.R. will take place quarterly on the last Monday of the month. In the event of a holiday it will

occur on the 3rd Monday of the month.

2. Although there is no State ADP requirement, Medi-Cal charts will typically be brought on a random basis, having a 10% sample of the total number of open charts of the site to be reviewed quarterly.

3. Clinicians will be notified one week prior to the U.R. process in order to allow time for them to

complete the top portion of the U.R. “Quarterly Chart Review” prior to bringing the chart to U.R. 4. The “Period Reviewed” will be the three-month period prior to the U.R. as per the State

calendar. 5. Clinicians conducting the U.R. are expected to review content for any disallowances related to

provider services. (i.e. medical review, meeting target dates, individual/group progress notes match type of service provided; assessment is complete; all consent forms are signed etc.)

DISALLOWANCES

A. A disallowance will occur for the following reasons: 1. Physical Exam documentation does not occur prior to the 30 day window of Treatment Plan

(TP) development. 2. OR Physical Exam, as a client’s goal, is not documentation the TP.

3. TP is not developed within 30 days or 5th visit from admission.

4. M.D. does not sign the TP within 15 days after Counselor’s signature 5. A Request for the Six Month Extension of Treatment is prior to the fifth or after the sixth

month.

6. Group Sign-In Sheets are not completed for clients attending group sessions. 7. A group size of less than 2 or more than 12.

8. Any direct service not billable per the Service Rendered Document forms.

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68

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UTILIZATION REVIEW (UR)

SANTA CLARA COUNTY DRUG MEDI-CAL

Client: ID #: Counselor: PROGRAM: Diagnosis: ,

Admit Date: 9/1/18 Discharge Date: 10/1/18 REVIEWED From: Date: 10/31/18 to Date: 10/31/18

DRUG MEDI-CAL - DISALLOWANCE COMPLIANCE ISSUE

Intake and Assessment P NP P NP

Physical Exam

a) completed by MD/LNP/PA within 30 days of admission date

b) proof a PE done within the last 12 months

YOUTH Notice of parental/guardian’s involvement in treatment

is justified

Admission Agreement/Program Rules are included and signed

Health screen (HSQ) done within / 30 days of Admit

Date:

______________ ______________________

HSQ signed by M.D.

Date: 5/1/15

ASAM assessment is completed within 30 days of Admit ASAM assessment is Signed by MD

Primary Counselor of Medi-Cal services is noted Substance Use Disorder criteria is delineated

Initial Treatment Plan P NP P NP

Initial Treatment Plan (TP) is submitted within 30 Date: 5/1/15

days of Admission date

Client physical health issues as noted per the HSQ (Dim 2) are on

the Treatment Plan

States a Substance Use Disorder diagnosis Short and long term goals noted

Lists SUD treatment services, frequency and target dates Action steps are clearly defined and measurable

Client’s name is printed, signed and dated

Counselor’s name printed, signed, & dated within 30 days of

Date: ____________ Admit

M.D. name printed, signed, and dated within 15 days of

Date: ____________ counselor

Progress Note P NP P NP

Has counselor’s signature and

date

Time and Duration Completed within 7 days of the counseling session Progress or lack of per TP goals

Crisis session is substance use related and justified Counselor’s intervention noted Second Service Same Day is documented per DMC standard Client’s response stated

Second Service Same Day DHCS MC 6700 form is completed & in

the chart

Stage of change recorded

IOP Sessions correspond to a minimum of 3 days a week 3

hours each day per week

Collateral is with a nonprofessional

IOP Second Service Same Day is ONLY a Crisis and is

documented per DMC standard

69

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SUTS

70

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SUTS

71

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72

DHCS audits Post Service Post Payment

Performance Management Branch

Compliance Division

Audits and Investigations

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Regulation Compliance Clinical

73

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Primary Source - IA• Preamble

• Federal requirements

• Program Specifications

• Includes covered services, access to services, coordination and continuity of care, authorization of services, continued certification of providers, defines the DMC-ODS modalities, case management, recovery services, cultural competency, describes the beneficiary problem resolution process, program integrity requirements, quality management, state monitoring, contractor monitoring and reporting requirements, training program mandates, compliance records, program complaints, correction action plans, individual quality improvement programs and utilization management and performance measures.

74

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IA Outline

75

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76

IA Outline

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FEDERAL REQUIREMENTS

• 42 CFR Part 2

– Confidentiality of Alcohol and Drug Abuse Patient Records

• https://www.gpo.gov

• 42 CFR Part 438

– Managed Care Subparts A-J

• https://www.gpo.gov/fdsys/granule/CFR-2011-title42-vol4/CFR-2011-

title42-vol4-part438/content-detail.html

• 45 CFR

– HIPAA Privacy Rule

• https://www.hhs.gov/hipaa/for-professionals/privacy/index.html77

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DMC-ODS RESOURCES

• FAQs, Fact Sheets & Information Notices

• Special Terms and Conditions

• Technical Assistance

• Webinars

• DMCODS webpage:

– (http://www.dhcs.ca.gov/provgovpart/Pages/Drug-Medi-Cal-Organized-

Delivery-System.aspx)

• Submit a form for all DMC-ODS Waiver questions:

– (http://www.dhcs.ca.gov/services/adp/Pages/DMC-Answers.aspx)78

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DMC-ODS Additional RESOURCES

• MHSUDS Information Notices

–http://www.dhcs.ca.gov/formsandpubs/Pages/M

HSUDS-Information-Notices.aspx

• State Health Information Guidance (SHIG)

–http://www.chhs.ca.gov/ohii/pages/shig.aspx

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• SUD County Complaint

[email protected]

• Required within 2-business days of completing the investigation.

• Program/Counselor Complaints

• http://www.dhcs.ca.gov/individuals/Pages/Sud-Complaints.aspx

• Public Number: (916) 322-2911

• Toll Free number: (877) 685-8333

• Certifying Organization Complaints

[email protected]

COMPLAINTS

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• Certifying Organizations

• http://www.dhcs.ca.gov/provgovpart/Pages/CounselorCertificationOrganizations.aspx

• Counselor Certification

• DHCS Revoked and/or Suspended Counselor List

• http://www.dhcs.ca.gov/provgovpart/Pages/CounselorCertification.aspx

• Licensed Professionals

• http://www.mbc.ca.gov/Breeze/License_Verification.aspx81

CERTIFICATIONS & LICENCE

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• DHCS Medi-Cal Fraud Website

• http://www.dhcs.ca.gov/individuals/Pages/StopMedi-CalFraud.aspx

• 1-800-822-6222

[email protected]

• Medi-Cal Fraud Complaint – Intake UnitAudits and InvestigationsPO Box 997413, MS 2500Sacramento, CA 95899-7413

82

Medi-Cal Fraud

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• California Association of DUI Treatment Programs (CADTP)

• Website: http://www.cadtp.org/

• California Consortium of Addiction Programs and Professionals (CCAPP)

• Website: https://www.ccapp.us/

• DHCS Certifying Organization (CO) Webpage

• http://www.dhcs.ca.gov/provgovpart/Pages/CounselorCertificationOrganizations.aspx

83

Certifying Organizations

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• Counselor/Registrant

• Certifying Organization Website – Registry

• DHCS Revoked and/or Suspended Counselor List

• DHCS Counselor Certification Page http://www.dhcs.ca.gov/provgovpart/Pages/CounselorCertification.aspx

• Licensed Professionals

• Department of Consumer Affairs (BreEZe)

http://www.mbc.ca.gov/Breeze/License_Verification.aspx

84

License Status Verification

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SUD Medical Directors are required to take 5 hours of continuing in “addiction medicine” annually.

Medical Directors also have required Continued Medical Education (CMEs) credits either online or in person.

Additional websites that provide information on physician Continuing Medical Education (CME):

• http://cmelist.com/addiction-substance-abuse-cme.htm

• http://www.audio-digest.org/CME-Series-Specials/substance-abuse

• http://www.abam.net/become-certified/earning-cme-for-the-2014-examination-application/

• http://www.csam-asam.org/online-cme

• http://psychiatry.ufl.edu/education/addiction-medicine-cme-program/ 85

Medical Director required training Resources

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QUESTIONS?

86

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Thanks to:

Tianna Nelson

Nancy Taylor

Kristin Galindo87