Current through Register Vol. 35, No. 18, September 24, 2024
A SSP and an annual budget request are developed at least
annually by the eligible recipient in collaboration with the eligible
recipient's consultant and others that the eligible recipient invites to be
part of the process. The consultant serves in a supporting role to the eligible
recipient, assisting the eligible recipient to understand the mi via program,
and with developing and implementing the SSP and the AAB. The SSP and annual
budget request are developed and implemented as specified in 8.314.6 NMAC and
mi via service standards and submitted to the TPA for final approval. Upon
final approval the annual budget request becomes an AAB.
A.
SSP development process: For
development of the participant-centered service plan, the planning meetings are
scheduled at times and locations convenient to the eligible recipient. This
process obtains information about eligible recipient strengths, capacities,
preferences, desired outcomes and risk factors through the LOC assessment and
the planning process that is undertaken between the consultant and eligible
recipient to develop his or her SSP. If the eligible recipient chooses to
purchase personal plan facilitation services, that assessment information would
also be used in developing the SSP.
(1)
Assessments:(a) Assessment
activities that occur prior to the SSP meeting assist in the development of an
accurate and functional plan. The functional assessments conducted during the
LOC determination process address the following needs of a person: medical,
behavioral health, adaptive behavior skills, nutritional, functional,
community/social and employment; LOC assessments are conducted in person and
take place in the eligible recipient's home, or in a HSD approved
location.
(b) Assessments occur on
an annual basis or during significant changes in circumstance or at the time of
the LOC determination. After the assessments are completed, the results are
made available to the eligible recipient and his or her consultant for use in
planning.
(c) The eligible
recipient and the consultant will assure that the SSP addresses the information
and concerns, if any, identified through the assessment process.
(2)
Pre-planning:
(a) The consultant contacts the eligible
recipient upon his or her choosing enrollment in the mi via program to provide
information regarding this program, including the range and scope of choices
and options, as well as the rights, risks, and responsibilities associated with
self-direction.
(b) The consultant
discusses areas of need to address on the eligible recipient's SSP. The
consultant provides support during the annual re-determining process to assist
with completing medical and financial eligibility in a timely manner.
(c) Personal plan facilitators are optional
supports. To assist in pre-planning, the eligible recipient is also able to
access an approved provider to develop a personal plan.
(3)
SSP components: The SSP
contains:
(a) the mi via services that are
furnished to the eligible recipient, the projected amount, frequency and
duration, and the type of provider who furnishes each service;
(i) the SSP must describe in detail how the
services or goods relate to the eligible recipient's qualifying condition or
disability;
(ii) the SSP must
describe how the services and goods support the eligible recipient to remain in
the community and reduce his or her risk of institutionalization; and
(iii) the SSP must specify the hours of
services to be provided and payment arrangements;
(b) other services needed by the mi via
eligible recipient regardless of funding source, including state plan
services;
(c) informal supports
that complement mi via services in meeting the needs of the eligible
recipient;
(d) methods for
coordination with the medicaid state plan services and other public
programs;
(e) methods for
addressing the eligible recipient's health care needs when relevant;
(f) quality assurance criteria to be used to
determine if the services and goods meet the eligible recipient's needs as
related to his or her qualifying condition or disability;
(g) information, resources or training needed
by the eligible recipient and service providers;
(h) methods to address the eligible
recipient's health and safety, such as emergency and back-up services;
and
(i) the IBA.
(4)
Service and support plan
meeting:(a) The eligible recipient
receives an LOC assessment and local resource manual prior to the SSP
meeting.
(b) The eligible recipient
may begin planning and drafting the SSP utilizing those tools prior to the SSP
meeting.
(c) During the SSP
meeting, the consultant assists the eligible recipient to ensure that the SSP
addresses the eligible recipient's goals, health, safety and risks. The
eligible recipient and his or her consultant will assure that the SSP addresses
the information and concerns identified through the assessment process. The SSP
must address the eligible recipient's health and safety needs before addressing
other issues. The consultant ensures that:
(i) the planning process addresses the
eligible recipient's needs and goals in the following areas: health and
wellness and accommodations or supports needed at home and in the
community;
(ii) services selected
address the eligible recipient's needs as identified during the assessment
process; needs not addressed in the SSP will be addressed outside the mi via
program;
(iii) the outcome of the
assessment process for assuring health and safety is considered in the
plan;
(iv) services do not
duplicate or supplant those available to the eligible recipient through the
medicaid state plan or other programs;
(v) services are not duplicated in more than
one service code;
(vi) job
descriptions are complete for each provider and employee in the plan; a job
description will include frequency, intensity and expected outcomes for the
service;
(vii) the quality
assurance section of the SSP is complete and specifies the roles of the
eligible recipient, consultant and any others listed in this section;
(viii) the responsibilities are assigned for
implementing the plan;
(ix) the
emergency and back-up plans are complete; and
(x) the SSP is submitted to the TPA after the
SSP meeting, in compliance with mi via rules and service standards.
B.
Individual budgetary allotment (IBA): Each eligible recipient's
annual IBA is determined by MAD or its designee as follows.
(1) Budgetary allotments are based on
calculations developed by MAD for each mi via population group, utilizing
historical traditional waiver care plan authorized budgets within the
population, minus the case management costs, and minus a ten percent
discount.
(2) The determination of
each eligible recipient's sub-group is based on a comprehensive assessment. The
eligible recipient then receives the IBA available to that category of need,
according to the eligible recipient's age.
(3) An eligible recipient has the authority
to expend the IBA through an AAB that is to be expended on a monthly basis and
in accordance with the mi via rules and program service standards.
(a) The state and CMS approves a range of
rates, as applicable, for mi via services wherein each recipient or EOR can
self-direct and establish his or her own rate with a particular provider of a
service. The current rate schedule is available on the HSD and DOH websites. Mi
via recipients, or EORs, are required to negotiate and determine the rate for
their employees and services within the range of rates established by the
state. Justification for paying more than the established rates must be
submitted, in writing, to the TPA for consideration. The established rate may
not be exceeded in order to pay for additional services the employee or
provider may provide which are outside the scope of the specific service for
which the employee or provider is approved; nor can a rate exception be
approved for credentials that exceed those required to provide the service
unless the credentials specifically meet criteria below. To exceed the
established range of rates the following criteria must be met:
(i) behavioral conditions: the recipient's
behaviors are of a severity that pose considerable risk to the eligible
recipient, caregivers or the community; and require a frequency and intensity
of assistance to ensure the eligible recipient's health and safety in the home
or the community or supervision or consultation requiring specialized or unique
behavioral supports; these services cannot be accessed through other services;
or
(ii) medical conditions: the
recipient has ongoing need for intense medical supports including oxygen
monitoring, diabetic monitoring, skin breakdown, J and G tube feedings, ostomy
and urology care, catheter insertion, digital extractions, suctioning,
nebulizer treatments, routine order treatments in the prevention of infections,
and responsive awareness to severe allergic reactions; or
(iii) specialized supports: in order to
support the recipient's inclusion in the community the recipient requires
specialized support that can enhance communicative or functional skills such as
american sign language or programming of adaptive communication devices;
or
(iv) location: the recipient
lives in a geographic location, within New Mexico, with limited providers. The
recipient, or guardian, has researched multiple providers and has been unable
to identify another provider in the geographic location available to provide
the service within the range of rates. The service goal must specify the
recipient's need for this service and contact with available local provider
within six months of the date of request including reason why alternate
providers are not available.
(b) The AAB shall contain goods and services
necessary for health and safety (i.e., direct care services and medically
related goods) which will be given priority over goods and services that are
non-medical or not directly related to health and safety. This prioritization
applies to the IBA, AAB, and any subsequent modifications.
C.
SSP review
criteria: Services and related goods identified in the eligible
recipient's requested SSP may be considered for approval if the following
requirements are met:
(1) the services or
goods must be responsive to the eligible recipient's qualifying condition or
disability and must address the eligible recipient's clinical, functional,
medical or habilitative needs; and
(2) the services or goods must accommodate
the eligible recipient in managing his or her household; or
(3) the services or goods must facilitate
activities of daily living; or
(4)
the services or goods must promote the eligible recipient's personal health and
safety; and
(5) the services or
goods must afford the eligible recipient an accommodation for greater
independence; and
(6) the services
or goods must support the eligible recipient to remain in the community and
reduce his/her risk for institutionalization; and
(7) the services or goods must be documented
in the SSP and advance the desired outcomes in the eligible recipient's SSP;
and
(8) the SSP contains the
quality assurance criteria to be used to determine if the service or goods meet
the eligible recipient's need as related to the qualifying condition or
disability; and
(9) the services or
goods must decrease the need for other MAD services; and
(10) the eligible recipient receiving the
services or goods does not have the funds to purchase the services or goods;
or
(11) the services or goods are
not available through another source; the eligible recipient must submit
documentation that the services or goods are not available through another
source, such as the medicaid state plan or medicare; and
(12) the service or good is not prohibited by
federal regulations, NMAC rules, billing instructions, standards, and manuals;
and
(13) each service or good must
be listed as an individual line item whenever possible; however, when a service
or a good are 'bundled' the SSP must document why bundling is necessary and
appropriate.
D.
Budget review criteria: The eligible recipient's proposed annual
budget request may be considered for approval, if all of the following
requirements are met:
(1) the proposed annual
budget request is within the eligible recipient's IBA; and
(2) the proposed rate for each service is
within the mi via range of rates for that chosen service; and
(3) the proposed cost for each good is
reasonable, appropriate and reflects the lowest available cost for that chosen
good; and
(4) the estimated cost of
the service or good is specifically documented in the eligible recipient's
budget worksheets; and
(5) no
employee exceeds 40 hours paid work in a consecutive seven-day work
week.
E.
Modification of the SSP:
(1) The
SSP may be modified based upon a change in the eligible recipient's needs or
circumstances, such as a change in the eligible recipient's health status or
condition or a change in the eligible recipient's support system, such as the
death or disabling condition of a family member or other individual who was
providing services.
(2) If the
modification is to provide new or additional services than originally included
in the SSP, these services must not be able to be acquired through other
programs or sources. The eligible recipient must document the fact that the
services are not available through another source.
(3) The eligible recipient must provide
written documentation of the change in needs or circumstances as specified in
the mi via service standards. The eligible recipient submits the documentation
to the consultant. The consultant initiates the process to modify the SSP by
forwarding the request for modification to the TPA for review.
(4) The SSP must be modified before there is
any change in the AAB.
(5) The SSP
may be modified once the original SSP has been submitted and approved. Only one
SSP revision may be submitted at a time, e.g., a SSP revision may not be
submitted if an initial SSP request or prior SSP revision request is under
initial review by the TPA. This requirement also applies to any
re-consideration of the same revision request. Other than for critical health
and safety reasons, neither the SSP nor the AAB may be modified within 60
calendar days of expiration of the current SSP.
F.
Modifications to the eligible
recipient's annual budget: Revisions to the AAB may occur within the SSP
year, and the eligible recipient is responsible for assuring that all
expenditures are in compliance with the most current AAB in effect. The SSP
must be amended first to reflect a change in the eligible recipient's needs or
circumstances before any revisions to the AAB can be requested.
(1) Budget revisions involve requests to add
new goods or services to a budget or to reallocate funds from any line item to
another approved line item. Budget revisions must be submitted to the TPA for
review and approval. Other than for critical health and safety reasons for the
eligible recipient, budget revisions may not be submitted to the TPA for review
within the last 60 calendar days of the budget year.
(2) The amount of the AAB cannot exceed the
eligible recipient's annual IBA. The rare exception would be the eligible
recipient whose assessed or documented needs, based on his or her qualifying
condition, cannot be met within the annual IBA, in which case the eligible
recipient would initiate a request for an adjustment through his or her
consultant.
(3) Mi via budgets are
developed by service. A recipient may request an increase to his or her budget
above his or her annual IBA, or AAB, as applicable if services necessary for
health and safety cannot be met within the IBA, or AAB. Prioritization, as
described in Subparagraph (b) of Paragraph (3) of Subsection B of 8.314.6.17
NMAC applies. Requests for additional funding are built in the annual budget
and are specific to the service that is being requested. If the eligible
recipient requests an increase in his or her budget above his or her annual
IBA, or AAB, as applicable, the eligible recipient must show at least one of
the following four circumstances related to the specific service for which an
increase to the additional funding is being requested:
(a) chronic physical condition: the eligible
recipient has one or more chronic physical conditions, which are identified
during the initial or reevaluation of the LOC, that result in a prolonged
dependency on medical services or care, for which daily intervention is
medically necessary; and the eligible recipient's needs cannot be met within
the assigned IBA or other current resources, including natural supports,
medicaid state plan services, medicare or other sources; the eligible recipient
must submit a written, dated, and signed evaluation or letter from a medical
doctor (MD), doctor of osteopathy (DO), a certified nurse practitioner (CNP) or
a physician assistant (PA) that documents the chronic physical condition in the
eligible recipient's health status relevant to the criteria; the evaluation or
letter must have been completed after the last LOC assessment or less than one
year from the date the request is submitted, whichever is most recent; the
chronic physical conditions are characterized by at least one of the following:
(i) a life-threatening condition with
frequent or constant periods of acute exacerbation that places the eligible
recipient at risk for institutionalization; that could result in the eligible
recipient's inability to remember to self-administer medications accurately
even with the use of assistive technology devices; or that requires a frequency
and intensity of assistance, supervision, or consultation to ensure the
eligible recipient's health and safety in the home or in the community; or
which, in the absence of such skilled intervention, assistance, medical
supervision or consultation, would require hospitalization or admission to a NF
or ICF-IID;
(ii) the need for
administration of specialized medications, enteral feeding or treatments that
are ordered by a medical doctor, doctor of osteopathy, certified nurse
practitioner or physician's assistant; which require frequent and ongoing
management or monitoring or oversight of medical technology;
(b)
change in physical
status: the eligible recipient has experienced a deterioration or
permanent change in his or her health status such that the eligible recipient's
needs for services and supports can no longer be met within the IBA, current
AAB or other current resources, including natural supports, medicaid state plan
services, medicare or other sources; the eligible recipient must submit a
written, dated, and signed evaluation or letter from a MD, OD, CNP, or PA that
documents the change in the eligible recipient's health status relevant to the
criteria; the evaluation or letter must have been completed after the last LOC
assessment or less than one year from the date the request is submitted,
whichever is most recent; the eligible recipient may submit additional
supportive documentation by others involved in the eligible recipient's care,
such as a current individual service plan (ISP) if the eligible recipient is
transferring from another waiver, a recent evaluation from a specialist or
therapist, a recent discharge plan, relevant medical records or other
documentation or recent statements from family members, friends or other
support individuals; types of physical health status changes that may
necessitate an increase in the IBA or current AAB are as follows:
(i) the eligible recipient now requires the
administration of medications via intravenous or injections on a daily or
weekly basis;
(ii) the eligible
recipient has experienced recent onset or increase in aspiration of saliva,
foods or liquids;
(iii) the
eligible recipient now requires external feedings, e.g. naso-gastric,
percutaneous endoscopic gastrostomy, gastric-tube or
jejunostomy-tube;
(iv) the eligible
recipient is newly dependent on a ventilator;
(v) the eligible recipient now requires
suctioning every two hours, or more frequently, as needed;
(vi) the eligible recipient now has seizure
activity that requires continuous monitoring for injury and aspiration, despite
anti-convulsant therapy; or
(vii)
the eligible recipient now requires increased assistance with activities of
daily living as a result of a deterioration or permanent changes in his or her
physical health status;
(c)
chronic or intermittent behavioral
conditions or cognitive difficulties: the eligible recipient has chronic
or intermittent behavioral conditions or cognitive difficulties, which are
identified during the initial or reevaluation LOC assessment, or the eligible
recipient has experienced a change in his or her behavioral health status, for
which the eligible recipient requires additional services, supports,
assistance, or supervision to address the behaviors or cognitive difficulties
in order to keep the eligible recipient safe; these behaviors or cognitive
difficulties are so severe and intense that they result in considerable risk to
the eligible recipient, caregivers or the community; and require a frequency
and intensity of assistance, supervision or consultation to ensure the eligible
recipient's health and safety in the home or the community; in addition, these
behaviors are likely to lead to incarceration or admission to a hospital,
nursing facility or ICF-IID; require intensive intervention or medication
management by a doctor or behavioral health practitioner or care practitioner
which cannot be effectively addressed within the IBA, current AAB or other
resources, including natural supports, the medicaid state plan services,
medicare or other sources;
(i) examples of
chronic or intermittent behaviors or cognitive difficulties are such that the
eligible recipient injures him or herself frequently or seriously; has
uncontrolled physical aggression toward others; disrupts most activities to the
extent that his or her SSP cannot be implemented or routine activities of daily
living cannot be carried out; withdraws personally from contact with most
others; or leaves or wanders away from the home, work or service delivery
environment in a way that puts him or herself or others at risk;
(ii) the eligible recipient must submit a
written, dated, and signed evaluation or letter from a licensed MD, doctor of
osteopathy (DO), CNP, physician assistant (PA), psychiatrist, or RLD licensed
psychologist that documents the change in the eligible recipient's behavioral
health status relevant to the criteria; the evaluation or letter must have been
completed after the last LOC assessment or less than one year from the date the
request is submitted, whichever is most recent; the eligible recipient may
submit additional supportive documentation including a current ISP if the
eligible recipient is transferring from another waiver, a positive behavioral
support plan or assessment, recent notes, a summary or letter from a behavioral
health practitioner or professional with expertise in intellectual or
developmental disabilities, recent discharge plan, recent recommendations from
a rehabilitation facility, any other relevant documentation or recent
statements from family members, friends or other support individuals involved
with the eligible recipient.
(d)
change in natural supports:
the eligible recipient has experienced a loss, as a result of situations such
as death, illness, or disabling condition, of his or her natural supports, such
as family members or other community resources that were providing direct care
or services, whether paid or not. This absence of natural supports or other
resources is expected to continue throughout the period for which supplemental
funds are requested. The type, intensity or amount of care or services
previously provided by natural supports or other resources cannot be acquired
within the IBA and are not available through the medicaid state plan services,
medicare, other programs or sources in order for the eligible recipient to live
in a home and community-based setting.
(4) The eligible recipient is responsible for
tracking all budget expenditures and assuring that all expenditures are within
the AAB. The eligible recipient must not exceed the AAB within any SSP year.
The eligible recipient's failure to properly allocate the expenditures within
the SSP year resulting in the depletion of the AAB, due to mismanagement of or
failure to track the funds, prior to the calendared expiration date does not
substantiate a claim for a budget increase (i.e., if all of the AAB is expended
within the first three months of the SSP year, it is not justification for an
increase in the annual budget for that SSP year). Amendments to the AAB may
occur within the SSP year and the eligible recipient is responsible for
assuring that all expenditures are in compliance with the most current AAB in
effect. Amendments to the AAB must be preceded by an amendment to the
SSP.
(5) The AAB may be revised
once the original annual budget request has been submitted and approved. Only
one annual budget revision request may be submitted at a time, e.g., an annual
budget revision request may not be submitted if a prior annual budget revision
request is under initial review by the TPA. The same requirement also applies
to any reconsideration of the same revision request.
G.
SSP and annual budget
supports: As specified in 8.314.6 NMAC and its service standards, the
eligible recipient is assisted by his or her consultant in development and
implementation of the SSP and AAB. The FMA assists the eligible recipient with
implementation of the AAB.
H.
Submission for approval: The TPA must approve the SSP and
associated annual budget request (resulting in an AAB). The TPA must approve
certain changes in the SSP and annual budget request, as specified in 8.314.6
NMAC and mi via service standards and in accordance with 8.302.5 NMAC.
(1) At any point during the SSP and
associated annual budget utilization review process, the TPA may request
additional documentation from the eligible recipient. This request must be in
writing and submitted to both the eligible recipient and the consultant
provider. The eligible recipient has seven working days from the date of the
initial request to respond with additional documentation. The TPA will issue a
second request for information on the seventh day if information was not
received and issue a final request for information 14 working days after the
initial request. The eligible recipient has a total of 21 working days to
respond with additional documentation. Failure by the eligible recipient to
submit the requested information may subject the SSP and annual budget request
to denial.
(2) Services cannot
begin and goods may not be purchased before the start date of the approved SSP
and AAB or approved revised SSP and revised AAB.
(3) Any revisions requested for other than
critical health or safety reasons within 60 calendar days of expiration of the
SSP and AAB are subject to denial for that reason.