The protocols in this section are unique to capitated and/or delegated medical management entities. The protocols in Chapter 7: Medical management may also apply if we are financially responsible for the service.
If we are financially responsible for the service, or responsible for processing the claim, ask us if we require an authorization.
We monitor the performance of delegated activities. We hold our delegates to the requirements outlined in the Provider Administrative Guide. We perform clinical assessments of those activities prior to the approval of delegation to make sure the potential delegate meets those requirements. Once we approve the delegate, and they are implemented, we make sure they remain compliant. We provide our delegates with information they need to meet regulatory and contractual requirements and accreditation standards.
Pre-contractual or pre-delegation assessments
When an entity – usually a medical group/IPA – expresses interest in contracting to perform delegated activities, we begin an assessment process to confirm the entity can perform those activities. Clinical reviewers request documented processes
(e.g., programs, policies and procedures, work flows or protocols) and supporting evidence prior to an onsite visit. Supporting evidence may include materials (e.g., letter templates, scripts, brochures or website) and reports (or the demonstrated ability to produce required reports). Clinical reviewers arrange an onsite visit to further assess systems and processes, staffingand resources. We report assessment results and delegation recommendations to the Delegation Oversight Governance Committee, which decides whether to proceed with delegation and determines any contingencies for delegation.
Post-contractual or post-delegation clinical assessments
We conduct another assessment within 90 calendar days after the contract or delegation effective date. Assessments are based on documented processes, materials, reports and case records or files specific to the delegated activities. Further assessments are performed at least quarterly. The quarterly review process includes:
Quarterly review process
The quarterly review process includes new scoring guidelines for any deficiencies found. Total assessment scores will no longer be provided. Any review items marked as not met will be placed into the following categories on your remediation plan:
UnitedHealthcare and medical group/IPAs delegated for utilization/medical management review nationally recognized evidence-based criteria to determine medical necessity and appropriate level of care for services whenever possible. UnitedHealthcare and delegates use several resources and guidelines to determine medical necessity and appropriate level of care.
Hierarchy of criteria use
When using criteria to make decisions about service requests, the delegate must use the following criteria appropriate to the benefit plan:
Community Plan (UnitedHealthcare Medicaid)
With limited exceptions, we do not reimburse for services that are not medically necessary, or when you have not followed correct procedures (e.g., notification requirements, prior authorization, or verification guarantee process). Delegates may institute the same policy.
Accreditation standards require all health care organizations, health benefit plans, and medical group/IPAs delegated for utilization/medical management to distribute a statement to all members, physicians, health care providers and employees who make utilization management (UM) decisions stating:
Regardless of the medical management program determination, the decision to render medical services lies with the member and the attending physician.
If you and a member decide to go forward with the medical service once UnitedHealthcare or the delegate has denied prior authorization (and issued a denial notice to the member and physician as appropriate), neither UnitedHealthcare nor the delegate reimburse for the denied services. Medical directors are available to discuss their decisions and our criteria with you. Find medical policies and guidelines on UHCprovider.com/policies or from the delegated medical group/IPA as applicable.
To track the specific level of care and services provided to its members, UnitedHealthcare requires you to use the most current service codes (i.e., ICD-10-CM, UB and CPT codes). We also require you to make sure the documented bill type is appropriate for the type of service provided.
You must participate, cooperate and comply with our medical management policies. You must render covered services at the most appropriate level of care, based on nationally recognized criteria.
We may delegate medical management functions to a medical group/IPA or other entity that demonstrates compliance with our standards. Care providers associated with these delegates must use the delegate’s medical management office and protocols. We may retain responsibility for some medical management activities, such as inpatient admissions and outpatient surgeries.
When a care provider is not associated with a delegate, or when we are responsible for the specific medical management activity, the care provider must comply with our medical management procedures.
For medical management functions retained by us, you have to confirm we have authorized a request for services before rendering services for a member. If you have not requested a prior authorization, submit the request within 3 business days before providing or ordering the covered service. The exception is emergency or urgent services.
To confirm prior authorization has been approved by UnitedHealthcare, use the Prior Authorization and Notification tool on Link, or UHCprovider.com/paan. If the member is assigned to a delegated medical group/IPA, check with that medical group/IPA for confirmation.
For urgent or emergent cases, we notify you within 24 hours of services rendered, or an admission.
If you don’t get prior authorization when required or tell us within the appropriate time frame, we may deny payment. The delegated medical group/IPA sets its own policies about care provider responsibilities.
If you do not get a prior authorization, neither us (or our delegate) nor our member can be held responsible to reimburse care providers for medical services, admissions, inappropriate facility days, and/or not medically necessary services. Receiving an authorization does not affect the payment policies or determining reimbursement.
Continuity of care provides a short-term transition period so members may temporarily continue to receive services from a non-network care provider. The time frames and conditions vary based on state regulations. In general, continuity of care is available to:
A condition that warrants a request for continuity of care requires prompt medical attention for a short time. It is not enough that the member prefers receiving treatment from a former care provider or other non-network care provider, even for a chronic condition. A member should not continue care with a non-network care provider without formal approval by us or the delegate. Except for emergencies or urgent out-of-area (OOA) care, if the member does not receive prior authorization from us or the delegate, the member pays for services performed by a non-network care provider.
We (or the medical group/IPA delegated for continuity of care) review and document all requests for continuity of care on a case-by-case basis. We consider the severity of the member’s condition and the potential clinical effect on the member’s
treatment and outcome of the condition under treatment, which may result from a change of care provider. Document member specifics for consideration in case reviews as relevant clinical information.
A member may request to continue covered services with a care provider for continuity of care when the care provider:
A member must be undergoing an active course of treatment to be considered for continuity of care.
For any service that requires a prior authorization, the admitting care provider initiates an authorization request online at least 3 business days prior to the scheduled date of service.
The authorized care provider submits a claim with the authorization number in the usual manner to the appropriate address.
If you are a network care provider for a delegated medical group/IPA, follow the delegate’s protocols. Delegates may use their own systems and forms. They must meet the same regulatory and accreditation requirements as UnitedHealthcare.
Tell us of a member’s emergency admission within 24 hours of admission, or as soon as the member’s condition has stabilized. The medical management department receives admission notifications 24 hours a day, 7 days a week at:
EDI: Transaction 278N
Document member specifics for consideration in case reviews as relevant clinical information. The delegate sets its own policies regarding notification and authorization for these services.
The medical group/IPA/facility is financially responsible for providing all approved medical and facility services within a designated service area as well as illness or injury that arises while a member is outside of the medical group/IPA’s contracted service area. The contract service area is typically defined as being within 30 miles or less from medical group/IPA site based on the shortest route using public streets and highways but can be based on other contractual terms. Refer to your Agreement for your delegated entity service area. For MA members, refer to the CMS regulatory access requirements.
Urgent or emergency services provided within the medical group/IPA/facility service area are the financial risk of the capitated entity regardless of whether services are rendered by the medical group/IPA/facility’s network of care providers unless your Agreement states otherwise.
Out-of-Area (OOA) medical services
OOA medical services are emergency or urgently needed services that treat an unforeseen illness or injury while a member is outside of the medical group/IPA’s contracted service area. These would have been the medical group/IPA’s financial responsibility if they had been provided within the medical group/IPA service area.
Travel dialysis is not considered an OOA medical service unless contractually defined. It is the medical group/ IPA’s responsibility.
The delegated medical group/IPA is responsible for authorizing and arranging medically necessary services. If the DOFR assigns risk for injectable medications to a medical group/IPA, the medical group/IPA authorizes and pays for all injectable medications, whether self-injected or given with the aid of a health professional in the home.
Trauma services are medically necessary, covered services rendered at a state-licensed, designated trauma facility or a facility designated to receive trauma cases. Trauma services must meet county, state and/or federal regulatory requirements as applicable.
The medical group/IPA reviews and authorizes trauma services using the applicable provision review criteria.
Optum serves as our transplant network. For medical groups/IPAs who have risk for transplant services, notify the Optum case management department when a member is referred for evaluation, authorized for transplant and admitted for transplant and/or may meet criteria for service denial. Medical groups/IPAs who do not have risk for transplant services must refer members into Optum transplant case management program who have been identified as:
You may submit referrals to Optum by:
The transplant case manager works with the member’s transplant team, PCP, and other clinicians to assess the member’s health care needs, develop, implement, and monitor a care plan. They also coordinate services and re-evaluate the member’s care plan.
Notify the case management department when you refer a member for evaluation for VAD/MCSD and admit a member for VAD/ MCSD and/or may meet criteria for service denial.
Perform VAD/MCSD evaluations and surgery at a facility in Optum VAD Network, or a facility approved by our medical directors, to align with heart transplant service centers.
Members have the right to second opinions. The delegate provides a second opinion when either the member or a qualified health care professional requests it. Qualified health care professionals must provide the member with second opinions at no cost. We also allow a third opinion.
When a member meets the following criteria, they may be authorized to receive a second opinion consultation from an appropriately qualified health care professional:
PCP second opinions
When the PCP is affiliated with a delegated medical group/IPA, and the member requests a second opinion based on care received from that PCP, the medical group/IPA is responsible for second opinion authorization. If delegated for claims, the medical group/IPA is responsible for claims payment.
A second opinion regarding primary care is provided by an appropriately qualified health professional of the member’s choice from within the medical group/IPA group’s network of care providers.
If the request for a second medical opinion is denied, the medical group/IPA tells the member in writing and provides the reasons for the denial. The member may appeal the denial. If the member gets a second medical opinion without prior authorization from the delegate and/or UnitedHealthcare, the member is financially responsible for the cost of the opinion.
When the PCP is not affiliated with any participating medical group/IPA but is independently contracted with us, the member may request a second opinion from a care provider or specialist listed in our care provider directory on UHCprovider.com/findprovider.
The approved care provider documents the second medical opinion in a consultation report, which they will make available to the member and the treating participating care provider. The second opinion care provider reports any recommended procedures or tests they believe are appropriate. If this second medical opinion includes a recommendation for a particular treatment, diagnostic test or service covered by UnitedHealthcare, and the delegate or UnitedHealthcare (as appropriate) determines if the recommendation is medically necessary, then the delegate or UnitedHealthcare arrange the treatment, diagnostic test or service.
Note: Although a second opinion may recommend a particular treatment, diagnostic test or service, this does not mean the recommended action is medically necessary or covered. The member is responsible for paying any applicable cost- sharing amount to the care provider who gives the second medical opinion.
Specialist care second opinions
The member has the right to request a second opinion consultation based on care received through an authorized referral to a specialist within the medical group/IPA network.
The second opinion may be provided by any practitioner of the member’s choice from any medical group/IPA within the UnitedHealthcare network care provider of the same or equivalent specialty.
If the health care professional is part of the member’s assigned medical group/IPA, the medical group/IPA authorizes the second opinion consultation. The medical group/IPA is also responsible to pay claims if it is delegated for claims.
If approved, we pay the claim for the non-participating health care professional’s second opinion consultation.
A second opinion consists of one office visit for a consultation or evaluation only. The care provider’s opinion is included in a consultation report after completing the examination. The member must return to their assigned medical group/IPA for all follow-up care and authorizations.
If a second opinion consultation differs from the initial opinion, coverage for a third opinion must be provided if requested by the member or care provider, following the same process as for second opinions.
If the request for a second medical opinion is denied, the medical group/IPA tells the member in writing and provides the reasons for the denial. The member may appeal the denial.
Turnaround time for second or third opinions
We process requests for second opinions in a timely manner to support the clinical urgency of the member’s condition. We follow established utilization management procedures and regulatory requirements. When a member’s health is seriously threatened, we (or the delegate) make the second opinion decision within 72 hours after receipt of the request. An imminent and serious threat includes the potential loss of life, limb, or other major bodily function. It can also exist when a delay would be detrimental to the member’s ability to regain maximum function.
Experimental items and medications have limited coverage. We do not delegate coverage determinations for experimental/ investigational services or clinical trials.
For capitated providers, the member’s care provider is responsible for these tests, unless stated differently in your contract.
We only cover experimental/investigational services when they meet Medicare requirements. Do not authorize or deny services. Contact:
Cancer Resource Services
Transplant Resource Services (Commercial and Medicare Advantage):
For all other clinical trials, contact the prior authorization department at 1-877-842-3210 or visit UHCprovider.com/paan.
Delegates on the NICE platform may also visit UHCprovider.com to submit carve-out services on Link as a prior authorization submission, outlining commercial clinical trials request.
You can find additional information and requirements in the Clinical trials, experimental or investigational services section in Chapter 7: Medical Management, and on UHCprovider.com/policies > Commercial Policies > Medical and Drug Policies and Coverage Determination Guidelines for UnitedHealthcare Commercial Plans > Clinical Trials - or Medicare Advantage Policies > Coverage Summaries for Medicare Advantage Plans > Experimental Procedures and Items, Investigational Devices and Clinical Trials.
For certain radiation therapy services, such as intensity modulated radiation therapy (IMRT), proton beam therapy (PBT) and stereotactic body radiation therapy (SBRT), prior authorization is required. Use the Prior Authorization and Notification tool at UHCprovider.com/paan. You may also initiate your request by calling the number on the back of the member’s ID card.
Prior authorization staff will not process the request or make a decision until they receive all necessary information from the medical group/IPA. They make a decision and contact the medical group/IPA within the applicable time frame.
We authorize radiation therapy services following the member’s benefit design, provided the member has not exceeded their benefit restrictions.