Utah Administrative Code
The Utah Administrative Code is the body of all effective administrative rules as compiled and organized by the Division of Administrative Rules (see Subsection 63G-3-102(5); see also Sections 63G-3-701 and 702).
NOTE: For a list of rules that have been made effective since September 1, 2016, please see the codification segue page.
NOTE TO RULEFILING AGENCIES: Use the RTF version for submitting rule changes.
R414. Health, Health Care Financing, Coverage and Reimbursement Policy.
Rule R414-1. Utah Medicaid Program.
As in effect on September 1, 2016
Table of Contents
- R414-1-1. Introduction and Authority.
- R414-1-2. Definitions.
- R414-1-3. Single State Agency.
- R414-1-4. Medical Assistance Unit.
- R414-1-5. Incorporations by Reference.
- R414-1-6. Services Available.
- R414-1-7. Aliens.
- R414-1-8. Statewide Basis.
- R414-1-9. Medical Care Advisory Committee.
- R414-1-10. Discrimination Prohibited.
- R414-1-11. Administrative Hearings.
- R414-1-12. Utilization Review.
- R414-1-13. Provider and Client Agreements.
- R414-1-14. Utilization Control.
- R414-1-15. Medicaid Fraud.
- R414-1-16. Confidentiality.
- R414-1-17. Eligibility Determinations.
- R414-1-18. Professional Standards Review Organization.
- R414-1-19. Timeliness in Eligibility Determinations.
- R414-1-20. Residency.
- R414-1-21. Out-of-state Services.
- R414-1-22. Retroactive Coverage.
- R414-1-23. Freedom of Choice of Provider.
- R414-1-24. Availability of Program Manuals and Policy Issuances.
- R414-1-25. Billing Codes.
- R414-1-26. General Rule Format.
- R414-1-27. Determination of Death.
- R414-1-28. Cost Sharing.
- R414-1-29. Provider-Preventable Conditions.
- Date of Enactment or Last Substantive Amendment
- Notice of Continuation
- Authorizing, Implemented, or Interpreted Law
(1) This rule generally characterizes the scope of the Medicaid Program in Utah, and defines all of the provisions necessary to administer the program.
(2) The rule is authorized by Title XIX of the Social Security Act, and Sections 26-1-5, 26-18-2.1, 26-18-2.3, UCA.
The following definitions are used throughout the rules of the Division:
(1) "Act" means the federal Social Security Act.
(2) "Applicant" means any person who requests assistance under the medical programs available through the Division.
(3) "Categorically needy" means aged, blind or disabled individuals or families and children:
(a) who are otherwise eligible for Medicaid; and
(i) who meet the financial eligibility requirements for AFDC as in effect in the Utah State Plan on July 16, 1996; or
(ii) who meet the financial eligibility requirements for SSI or an optional State supplement, or are considered under section 1619(b) of the federal Social Security Act to be SSI recipients; or
(iii) who is a pregnant woman whose household income does not exceed 133% of the federal poverty guideline; or
(iv) is under age six and whose household income does not exceed 133% of the federal poverty guideline; or
(v) who is a child under age one born to a woman who was receiving Medicaid on the date of the child's birth and the child remains with the mother; or
(vi) who is least age six but not yet age 18, or is at least age six but not yet age 19 and was born after September 30, 1983, and whose household income does not exceed 100% of the federal poverty guideline; or
(vii) who is aged or disabled and whose household income does not exceed 100% of the federal poverty guideline; or
(viii) who is a child for whom an adoption assistance agreement with the state is in effect.
(b) whose categorical eligibility is protected by statute.
(4) "Code of Federal Regulations" (CFR) means the publication by the Office of the Federal Register, specifically Title 42, used to govern the administration of the Medicaid Program.
(5) "Client" means a person the Division or its duly constituted agent has determined to be eligible for assistance under the Medicaid program.
(6) "CMS" means The Centers for Medicare and Medicaid Services, a Federal agency within the U.S. Department of Health and Human Services. Programs for which CMS is responsible include Medicare, Medicaid, and the State Children's Health Insurance Program.
(7) "Department" means the Department of Health.
(8) "Director" means the director of the Division.
(9) "Division" means the Division of Health Care Financing within the Department.
(10) "Emergency medical condition" means a medical condition showing acute symptoms of sufficient severity that the absence of immediate medical attention could reasonably be expected to result in:
(a) placing the patient's health in serious jeopardy;
(b) serious impairment to bodily functions;
(c) serious dysfunction of any bodily organ or part; or
(11) "Emergency service" means immediate medical attention and service performed to treat an emergency medical condition. Immediate medical attention is treatment rendered within 24 hours of the onset of symptoms or within 24 hours of diagnosis.
(12) "Emergency Services Only Program" means a health program designed to cover a specific range of emergency services.
(13) "Executive Director" means the executive director of the Department.
(14) "InterQual" means the McKesson Criteria for Inpatient Reviews, a comprehensive, clinically based, patient focused medical review criteria and system developed by McKesson Corporation.
(15) "Medicaid agency" means the Department of Health.
(16) "Medical assistance program" or "Medicaid program" means the state program for medical assistance for persons who are eligible under the state plan adopted pursuant to Title XIX of the federal Social Security Act; as implemented by Title 26, Chapter 18.
(17) "Medical or hospital assistance" means services furnished or payments made to or on behalf of recipients under medical programs available through the Division.
(18) "Medically necessary service" means that:
(a) it is reasonably calculated to prevent, diagnose, or cure conditions in the recipient that endanger life, cause suffering or pain, cause physical deformity or malfunction, or threaten to cause a handicap; and
(b) there is no other equally effective course of treatment available or suitable for the recipient requesting the service that is more conservative or substantially less costly.
(19) "Medically needy" means aged, blind, or disabled individuals or families and children who are otherwise eligible for Medicaid, who are not categorically needy, and whose income and resources are within limits set under the Medicaid State Plan.
(20) "Medical standards," as applied in this rule, means that an individual may receive reasonable and necessary medical services up until the time a physician makes an official determination of death.
(21) "Prior authorization" means the required approval for provision of a service that the provider must obtain from the Department before providing the service. Details for obtaining prior authorization are found in Section I of the Utah Medicaid Provider Manual.
(22) "Provider" means any person, individual or corporation, institution or organization that provides medical, behavioral or dental care services under the Medicaid program and who has entered into a written contract with the Medicaid program.
(23) "Recipient" means a person who has received medical or hospital assistance under the Medicaid program, or has had a premium paid to a managed care entity.
(24) "Undocumented alien" means an alien who is not recognized by Immigration and Naturalization Services as being lawfully present in the United States.
(25) "Utilization review" means the Department provides for review and evaluation of the utilization of inpatient Medicaid services provided in acute care general hospitals to patients entitled to benefits under the Medicaid plan.
(26) "Utilization Control" means the Department has implemented a statewide program of surveillance and utilization control that safeguards against unnecessary or inappropriate use of Medicaid services, safeguards against excess payments, and assesses the quality of services available under the plan. The program meets the requirements of 42 CFR, Part 456.
The Utah Department of Health is the Single State Agency designated to administer or supervise the administration of the Medicaid program under Title XIX of the federal Social Security Act.
Within the Utah Department of Health, the Division of Health Care Financing has been designated as the medical assistance unit.
The Department incorporates the April 1, 2016, versions of the following by reference:
(1) Utah Medicaid State Plan, including any approved amendments, under Title XIX of the Social Security Act Medical Assistance Program;
(2) Medical Supplies Utah Medicaid Provider Manual, Section 2, Medical Supplies, as applied in Rule R414-70, and the manual's attachment for Donor Human Milk Request Form;
(3) Hospital Services Utah Medicaid Provider Manual with its attachments;
(4) Home Health Agencies Utah Medicaid Provider Manual, and the manual's attachment for the Private Duty Nursing Acuity Grid;
(5) Speech-Language Pathology and Audiology Services Utah Medicaid Provider Manual;
(6) Hospice Care Utah Medicaid Provider Manual, and the manual's attachment for the Utah Medicaid Prior Authorization Request for Hospice Services;
(7) Long Term Care Services in Nursing Facilities Utah Medicaid Provider Manual with its attachments;
(8) Personal Care Utah Medicaid Provider Manual and the manual's attachment for the Request for Prior Authorization: Personal Care and Capitated Programs;
(9) Utah Home and Community-Based Waiver Services for Individuals Age 65 or Older Utah Medicaid Provider Manual;
(10) Utah Home and Community-Based Waiver Services for Individuals with an Acquired Brain Injury Utah Medicaid Provider Manual;
(11) Utah Community Supports Waiver for Individuals with Intellectual Disabilities or Other Related Conditions Utah Medicaid Provider Manual;
(12) Utah Home and Community-Based Services Waiver for Individuals with Physical Disabilities Utah Medicaid Provider Manual;
(13) Utah Home and Community-Based Waiver Services New Choices Waiver Utah Medicaid Provider Manual;
(14) Utah Home and Community-Based Services Waiver for Technology Dependent, Medically Fragile Individuals Utah Medicaid Provider Manual;
(15) Utah Home and Community-Based Waiver Services Medicaid Autism Waiver Utah Medicaid Provider Manual;
(16) Office of Inspector General Administrative Hearings Procedures Manual;
(17) Pharmacy Services Utah Medicaid Provider Manual with its attachments;
(18) Coverage and Reimbursement Code Look-up Tool found at http://health.utah.gov/medicaid/stplan/lookup/CoverageLookup.php;
(19) CHEC Services Utah Medicaid Provider Manual with its attachments;
(20) Chiropractic Medicine Utah Medicaid Provider Manual;
(21) Dental, Oral Maxillofacial, and Orthodontia Services Utah Medicaid Provider Manual;
(22) General Attachments (All Providers) for the Utah Medicaid Provider Manual;
(23) Indian Health Utah Medicaid Provider Manual;
(24) Laboratory Services Utah Medicaid Provider Manual with its attachments;
(25) Medical Transportation Utah Medicaid Provider Manual;
(26) Non-Traditional Medicaid Plan Utah Medicaid Provider Manual with attachment;
(27) Licensed Nurse Practitioner Utah Medicaid Provider Manual;
(28) Physical Therapy and Occupational Therapy Services Utah Medicaid Provider Manual, and the manual's attachment for Physical Therapy and Occupational Therapy Decision Tables;
(29) Physician Services, Anesthesiology and Laboratory Services Utah Medicaid Provider Manual with its attachments;
(30) Podiatric Services Utah Medicaid Provider Manual;
(31) Primary Care Network Utah Medicaid Provider Manual with its attachments;
(32) Rehabilitative Mental Health and Substance Use Disorder Services Utah Medicaid Provider Manual;
(33) Rural Health Clinics and Federally Qualified Health Centers Services Utah Medicaid Provider Manual;
(34) School-Based Skills Development Services Utah Medicaid Provider Manual;
(35) Section I: General Information Utah Medicaid Provider Manual;
(36) Targeted Case Management for Individuals with Serious Mental Illness Utah Medicaid Provider Manual;
(37) Targeted Case Management for Early Childhood (Ages 0-4) Utah Medicaid Provider Manual;
(38) Vision Care Services Utah Medicaid Provider Manual;
(39) Women's Services Utah Medicaid Provider Manual;
(40) Medically Complex Children's Waiver Utah Medicaid Provider Manual; and
(41) Autism Spectrum Disorder Related Services for EPSDT Eligible Individuals Utah Medicaid Provider Manual.
(1) Medical or hospital services available under the Medical Assistance Program are generally limited by federal guidelines as set forth under Title XIX of the federal Social Security Act and Title 42 of the Code of Federal Regulations (CFR).
(2) The following services provided in the State Plan are available to both the categorically needy and medically needy:
(a) inpatient hospital services, with the exception of those services provided in an institution for mental diseases;
(b) outpatient hospital services and rural health clinic services;
(c) other laboratory and x-ray services;
(d) skilled nursing facility services, other than services in an institution for mental diseases, for individuals 21 years of age or older;
(e) early and periodic screening and diagnoses of individuals under 21 years of age, and treatment of conditions found, are provided in accordance with federal requirements;
(f) family planning services and supplies for individuals of child-bearing age;
(g) physician's services, whether furnished in the office, the patient's home, a hospital, a skilled nursing facility, or elsewhere;
(h) podiatrist's services;
(i) optometrist's services;
(j) psychologist's services;
(k) interpreter's services;
(l) home health services:
(i) intermittent or part-time nursing services provided by a home health agency;
(ii) home health aide services by a home health agency; and
(iii) medical supplies, equipment, and appliances suitable for use in the home;
(m) private duty nursing services for children under age 21;
(n) clinic services;
(o) dental services;
(p) physical therapy and related services;
(q) services for individuals with speech, hearing, and language disorders furnished by or under the supervision of a speech pathologist or audiologist;
(r) prescribed drugs, dentures, and prosthetic devices and eyeglasses prescribed by a physician skilled in diseases of the eye or by an optometrist;
(s) other diagnostic, screening, preventive, and rehabilitative services other than those provided elsewhere in the State Plan;
(t) services for individuals age 65 or older in institutions for mental diseases:
(i) inpatient hospital services for individuals age 65 or older in institutions for mental diseases;
(ii) skilled nursing services for individuals age 65 or older in institutions for mental diseases; and
(iii) intermediate care facility services for individuals age 65 or older in institutions for mental diseases;
(u) intermediate care facility services, other than services in an institution for mental diseases. These services are for individuals determined, in accordance with section 1902(a)(31)(A) of the Social Security Act, to be in need of this care, including those services furnished in a public institution for the mentally retarded or for individuals with related conditions;
(v) inpatient psychiatric facility services for individuals under 22 years of age;
(w) nurse-midwife services;
(x) family or pediatric nurse practitioner services;
(y) hospice care in accordance with section 1905(o) of the Social Security Act;
(z) case management services in accordance with section 1905(a)(19) or section 1915(g) of the Social Security Act;
(aa) extended services to pregnant women, pregnancy-related services, postpartum services for 60 days, and additional services for any other medical conditions that may complicate pregnancy;
(bb) ambulatory prenatal care for pregnant women furnished during a presumptive eligibility period by a qualified provider in accordance with section 1920 of the Social Security Act; and
(cc) other medical care and other types of remedial care recognized under state law, specified by the Secretary of the United States Department of Health and Human Services, pursuant to 42 CFR 440.60 and 440.170, including:
(i) medical or remedial services provided by licensed practitioners, other than physician's services, within the scope of practice as defined by state law;
(ii) transportation services;
(iii) skilled nursing facility services for patients under 21 years of age;
(iv) emergency hospital services; and
(v) personal care services in the recipient's home, prescribed in a plan of treatment and provided by a qualified person, under the supervision of a registered nurse.
(dd) other medical care, medical supplies, and medical equipment not otherwise a Medicaid service if the Division determines that it meets both of the following criteria:
(i) it is medically necessary and more appropriate than any Medicaid covered service; and
(ii) it is more cost effective than any Medicaid covered service.
Certain qualified aliens described in Title IV of Pub. L. No. 104 193, 110 Stat. 2105, may be eligible for the Medicaid program. All other aliens are prohibited from receiving non-emergency services as described in Section 1903(v) of the Social Security Act.
The medical assistance program is state-administered and operates on a statewide basis in accordance with 42 CFR 431.50.
There is a Medical Care Advisory Committee that advises the Medicaid agency director on health and medical care services. The committee is established in accordance with 42 CFR 431.12.
In accordance with Title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d et seq.), Section 504 of the Rehabilitation Act of 1973 (29 U.S.C. 70b), and the regulations at 45 CFR Parts 80 and 84, the Medicaid agency assures that no individual shall be subjected to discrimination under the plan on the grounds of race, color, gender, national origin, or handicap.
The Department has a system of administrative hearings for medical providers and dissatisfied applicants, clients, and recipients that meets all the requirements of 42 CFR, Part 431, Subpart E.
(1) The Department conducts hospital utilization review as outlined in the Hospital Services Utah Medicaid Provider Manual in effect at the time service is rendered.
(2) The Department shall determine medical necessity and appropriateness of inpatient admissions during utilization review by use of InterQual Criteria, published by McKesson Corporation.
(3) The standards in the InterQual Criteria shall not apply to services in which a determination has been made to utilize criteria customized by the Department or that are:
(a) excluded as a Medicaid benefit by rule or contract;
(b) provided in an intensive physical rehabilitation center as described in Rule R414-2B; or
(c) organ transplant services as described in Rule R414-10A.
In these exceptions, or where InterQual is silent, the Department shall approve or deny services based upon appropriate administrative rules or its own criteria as incorporated in the Medicaid provider manuals.
(1) To meet the requirements of 42 CFR 431.107, the Department contracts with each provider who furnishes services under the Utah Medicaid Program.
(2) By signing a provider agreement with the Department, the provider agrees to follow the terms incorporated into the provider agreements, including policies and procedures, provider manuals, Medicaid Information Bulletins, and provider letters.
(3) By signing an application for Medicaid coverage, the client agrees that the Department's obligation to reimburse for services is governed by contract between the Department and the provider.
(1) In order to control utilization, and in accordance with 42 CFR 440, Subpart B, services, equipment, or supplies not specifically identified by the Department as covered services under the Medicaid program are not a covered benefit. In addition, the Department will also use prior authorization for utilization control. All necessary and appropriate medical record documentation for prior approvals must be submitted with the request. If the provider has not obtained prior authorization for a service as outlined in the Medicaid provider manual, the Department shall deny coverage of the service.
(2) The Department may request records that support provider claims for payment under programs funded through the Department. These requests must be in writing and identify the records to be reviewed. Responses to requests must be returned within 30 days of the date of the request. Responses must include the complete record of all services for which reimbursement is claimed and all supporting services. If there is no response within the 30 day period, the Department will close the record and will evaluate the payment based on the records available.
(3)(a) If the Department pays for a service which is later determined not to be a benefit of the Utah Medicaid program or does not comply with state or federal policies and regulations, the provider shall refund the payment upon written request from the Department.
(b) If services cannot be properly verified or when a provider refuses to provide or grant access to records, the provider shall refund to the Department all funds for services rendered. Otherwise, the Department may deduct an equal amount from future reimbursements.
(c) Unless appealed, the refund must be made to Medicaid within 30 days of written notification. An appeal of this determination must be filed within 30 days of written notification as specified in Rule R410-14.
(d) A provider shall reimburse the Department for all overpayments regardless of the reason for the overpayment.
(e) Provider appeals of action for recovery or withholding of money initiated by the Office of Inspector General of Medicaid Services (OIG) shall be governed by the OIG Administrative Hearings Procedures Manual incorporated by reference in Section R414-1-5.
The Department has established and will maintain methods, criteria, and procedures that meet all requirements of 42 CFR 455.13 through 455.21 for prevention and control of program fraud and abuse.
State statute, Title 63G, Chapter 2, and Section 26-1-17.5, impose legal sanctions and provide safeguards that restrict the use or disclosure of information concerning applicants, clients, and recipients to purposes directly connected with the administration of the plan.
All other requirements of 42 CFR Part 431, Subpart F are met.
Determinations of eligibility for Medicaid under the plan are made by the Division of Health Care Financing, the Utah Department of Workforce Services, and the Utah Department of Human Services. There is a written agreement among the Utah Department of Health, the Utah Department of Workforce Services, and the Utah Department of Human Services. The agreement defines the relationships and respective responsibilities of the agencies.
All other provisions of the State Plan shall be administered by the Medicaid agency or its agents according to written contract, except for those functions for which final authority has been granted to a Professional Standards Review Organization under Title XI of the Act.
The Medicaid agency shall adhere to all timeliness requirements of 42 CFR 435.911, for processing applications, determining eligibility, and approving Medicaid requests. If these requirements are not completed within the defined time limits, clients may notify the Division of Health Care Financing at 288 North, 1460 West, Salt Lake City, UT 84114-2906.
Medicaid is furnished to eligible individuals who are residents of the State under 42 CFR 435.403.
Medicaid services shall be made available to eligible residents of the state who are temporarily in another state. Reimbursement for out-of-state services shall be provided in accordance with 42 CFR 431.52.
Individuals are entitled to Medicaid services under the plan during the 90 days preceding the month of application if they were, or would have been, eligible at that time.
Unless an exception under 42 CFR 431.55 applies, any individual eligible under the plan may obtain Medicaid services from any institution, pharmacy, person, or organization that is qualified to perform the services and has entered into a Medicaid provider contract, including an organization that provides these services or arranges for their availability on a prepayment basis.
In accordance with 42 CFR 431.18, the state office, local offices, and all district offices of the Department maintain program manuals and other policy issuances that affect recipients, providers, and the public. These offices also maintain the Medicaid agency's rules governing eligibility, need, amount of assistance, recipient rights and responsibilities, and services. These manuals, policy issuances, and rules are available for examination and, upon request, are available to individuals for review, study, or reproduction.
In submitting claims to the Department, every provider shall use billing codes compliant with Health Insurance Portability and Accountability Act of 1996 (HIPAA) requirements as found in 45 CFR Part 162.
The following format is used generally throughout the rules of the Division. Section headings as indicated and the following general definitions are for guidance only. The section headings are not part of the rule content itself. In certain instances, this format may not be appropriate and will not be implemented due to the nature of the subject matter of a specific rule.
(1) Introduction and Authority. A concise statement as to what Medicaid service is covered by the rule, and a listing of specific federal statutes and regulations and state statutes that authorize or require the rule.
(2) Definitions. Definitions that have special meaning to the particular rule.
(3) Client Eligibility. Categories of Medicaid clients eligible for the service covered by the rule: Categorically Needy or Medically Needy or both. Conditions precedent to the client's obtaining coverage such as age limitations or otherwise.
(4) Program Access Requirements. Conditions precedent external to the client's obtaining service, such as type of certification needed from attending physician, whether available only in an inpatient setting or otherwise.
(5) Service Coverage. Detail of specific services available under the rule, including limitations, such as number of procedures in a given period of time or otherwise.
(6) Prior Authorization. As necessary, a description of the procedures for obtaining prior authorization for services available under the particular rule. However, prior authorization must not be used as a substitute for regulatory practice that should be in rule.
(7) Other Sections. As necessary under the particular rule, additional sections may be indicated. Other sections include regulatory language that does not fit into sections (1) through (5).
(1) In accordance with the provisions of Section 26-34-2, the fiduciary responsibility for medically necessary care on behalf of the client ceases upon the determination of death.
(2) Reimbursement for the determination of death by acceptable medical standards must be in accordance with Medicaid coverage and billing policies that are in place on the date the physician renders services.
(1) An enrollee is responsible to pay the:
(a) hospital a $220 coinsurance per year;
(b) hospital a $6 copayment for each non-emergency use of hospital emergency services;
(c) provider a $3 copayment for outpatient office visits for physician and physician-related mental health services except that no copayment is due for preventive services, immunizations, health education, family planning, and related pharmacy costs; and
(d) pharmacy a $3 copayment per prescription up to a maximum of $15 per month;
(2) The out-of-pocket maximum payment for copayments for physician and outpatient services is $100 per year.
(3) The provider shall collect the copayment amount from the Medicaid client. Medicaid shall deduct that amount from the reimbursement it pays to the provider.
(4) Medicaid clients in the following categories are exempt from copayment and coinsurance requirements;
(b) pregnant women;
(c) institutionalized individuals;
(d) American Indians; and
(e) individuals whose total gross income, before exclusions and deductions, is below the temporary assistance to needy families (TANF) standard payment allowance. These individuals must indicate their income status to their eligibility caseworker on a monthly basis to maintain their exemption from the copayment requirements.
(1) In accordance with 42 CFR 447.26, October 1, 2011 ed., which is incorporated by reference, Medicaid will not reimburse providers or contractors for provider-preventable conditions as noted therein. Please see Utah Medicaid State Plan Attachments 4.19-A and 4.19-B for detail.
(2) Medicaid providers who treat Medicaid eligible patients must report all provider-preventable conditions whether or not reimbursement for the services is sought. Medicaid providers shall meet this requirement by complying with existing state reporting requirements (rules and legislation) of these events that include:
(a) Rule R380-200;
(b) Rule R380-210;
(c) Rule R386-705;
(d) Rule R428-10; and
(e) Section 26-6-31.
(3) Utilizing the reporting mechanism from one of the rules noted above shall not impact confidentiality and privacy protections for reporting entities as noted in Title 26, Chapter 25, Confidential Information Release.
June 27, 2016
March 2, 2012
26-1-5; 26-18-3; 26-34-2
For questions regarding the content or application of rules under Title R414, please contact the promulgating agency (Health, Health Care Financing, Coverage and Reimbursement Policy). A list of agencies with links to their homepages is available at http://www.utah.gov/government/agencylist.html or from http://www.rules.utah.gov/contact/agencycontacts.htm.