FAQ Directory: Utilization Management, Credentialing and Provider Network

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4.15.2017 UM 9B: Timeliness of the Appeal Process for Medicaid Under the new Medicaid Managed Care Final Rule, effective July 1, 2017, Medicaid organizations are required to have only one level of appeal. However, this may not be effective immediately for organizations with contracts prior to this date. How will NCQA evaluate Medicaid organizations coming through under the 2017 standards and guidelines?

Organizations with one level of appeal will be evaluated against the timeliness requirements specified in the current 2017 standard. Medicaid organizations that maintain a two-level appeal process will be evaluated under the 2016 standard requirements; these time frames apply:

For preservice first-level appeals: 30 calendar days.
For postservice first-level appeals: 60 calendar days.

UM_CR 2017

3.15.2017 UM 9 C: Scoring reviewer for appeals of system-made benefit denials Under UM 9, Element C, for an appeal of an initial benefit denial that was made by an automated system (e.g., claims or POS), where a person makes the appeal decision, should the file be scored “NA” or “Yes”?

The file should be scored "Yes.” A person making the appeal decision is different from, and not subordinate to, an automated system.

UM_CR 2017

1.15.2017 UM 7 B: Specific criterion referenced in a denial decision In UM 7, Element B, factor 2, organizations are required to reference the specific criterion used to make a denial decision. How specific does the criterion need to be?

The criterion referenced must be identifiable by name and must be specific to an organization or source (e.g., ABC PBM’s Criteria for Treatment of Hypothyroidism with Synthroid or CriteriaCompany Inc.’s Guidelines for Wound Treatment). If it is clear that the criterion is attributable to the organization, it is acceptable to state “our Criteria for XXX” (e.g., our Criteria for Treating High Cholesterol with Lipitor).

Note: This also applies to Element E and Element H in HPA and Element E in UM-CR.

UM_CR 2016

10.15.2016 Scoring organizations 100% for UM 4, Element H How are organizations scored for UM 4, Element H (UM 4, Element F in MBHO and UM-CR) under the 2016 Standards and Guidelines?

For the 2016 standards year, NCQA evaluates and scores the UM 4, Element H file review as normal during the onsite survey.
The final score will be adjusted, after the onsite survey, to 100% if the organization includes all denials required by UM 4, Element H in the file review universe.
If the organization does not include all denials in the file review universe, NCQA will adjust the organization's final score to 50% for the 2016 standards year and 0% thereafter.

UM_CR 2016

10.15.2016 Updated: Types of denials excluded from the UM 4H file-review universe What types of denials are excluded from file review for UM 4, Element H (UM 4F in UM-CR and MBHO)?

The following types of denials are excluded from the file review for UM 4, Element H (UM 4F in UM-CR and MBHO):

Denials based on medical necessity.
Postservice payment disputes where the member is not at financial risk.
Denials by the secondary insurance organization, based on coordination of benefits, when the member has not filed a claim with the primary insurance.
Denials of vision, dental or alternative/complementary medicine services not included in the member’s medical benefits or included as a rider.
Denials of duplicate claims, even if there are other reasons for the denial.
Denials of claims for the following reasons:
- A service included in a bundled or case rate that is incorrectly billed separately.
- Incorrect or missing provider billing information (e.g., tax ID).
- The member was not eligible on the date of service.
- Nonexistent CPT or ICD code.

UM_CR 2016

10.15.2016 Types of pharmacy point of service claims included in UM 4, Element H file review What types of pharmacy point of service claims should be included in the scope of UM 4, Element H (UM 4, Element F in MBHO and UM-CR)?

The following denials (rejections) are included in the scope of UM 4, Element H (UM 4, Element F in MBHO and UM-CR):

Claims for prescriptions that were refilled too soon.
Claims for prescriptions with the incorrect dosage or quantity.*
Claims that were denied because the organization’s reasonable filing procedures were not followed (e.g., lack of prior authorization).

* Inaccurately filed claims that were rejected because of incorrect dosage or quantity may be considered pending until a decision is made. If the request is denied, the claim is included in the scope of UM 4, Element H.

UM_CR 2016

10.06.2016 Updated: Types of files included in the UM 4H file-review universe What types of files are included in file review for UM 4, Element H (UM 4F in UM-CR and MBHO)?

The following types of denials are included in file review for UM 4, Element H (UM 4F in UM-CR and MBHO):

Denials based on benefits that underwent a medical necessity review, which determined there was a benefit exclusion.
Denials based on failure to follow the organization’s reasonable filing procedures. (i.e., lack of timely filing, lack of prior authorization).
Auto-adjudicated claims denials or point of service (POS) claim denials that were not based on medical necessity (excluding duplicate claims).
Denials not listed above that are not based on medical necessity, such as reversals or prior decisions due to fraud or improper billing.

UM_CR 2016

5.20.2016 UM 4, Element H File Review and Medical Necessity Denials Are medical necessity denials included in the UM 4, Element H file review?

No. If an organization inadvertently includes a medical necessity denial in the UM 4H benefit denial file review, NCQA verifies that the file is appropriately classified as a medical necessity denial. If so, NCQA scores the file NA. If not, NCQA reviews the files under the benefit denial requirements of UM 4H.

UM_CR 2016

5.20.2016 UM 4, Element H File Review Does UM 4, Element H file review include benefit denials that resulted from the UM medical necessity review process?

Yes. If an organization inadvertently includes a benefit denial in the UM 4–UM 7 medical necessity denial file reviews, NCQA verifies that the file is appropriately classified as a benefit denial. If so, NCQA scores the file NA. If not, NCQA reviews the files under the medical necessity denial requirements of UM 4–UM 7.

UM_CR 2016

4.15.2016 Off-label medication use denials in UM 4H Are denials for “off-label” medication use included in the file review for UM 4, Element H (UM 4F in UM-CR and MBHO)?

Yes. Denials for off-label medication use are included in the scope of UM 4, Element H (UM 4F in UM-CR and MBHO) if the organization covers medications only for “on-label” use.

UM_CR 2016

4.15.2016 Experimental/investigational procedure denials in UM 4H Are denials of requests for experimental or investigational procedures included in the file review for UM 4, Element H (UM 4F in UM-CR and MBHO)?

Yes. If an experimental or investigational procedure is explicitly excluded from the benefits or medical policy, this is a benefit denial and is included in the scope of UM 4, Element H (UM 4F in UM-CR and MBHO).

UM_CR 2016

3.15.2016 Review process versus review outcome Does the type of review (i.e., medical necessity, benefit or other) determine if a denial is included in the file-review universe for UM 4, Element H (UM 4F in UM-CR and MBHO)?

No. The outcome (reason for the denial) determines which files are included. If the decision is not made on the basis of medical necessity, but on the basis of a benefit or an administrative limitation, the file is included in the scope of UM 4, Element H (UM 4F in UM-CR and MBHO).

UM_CR 2016