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Minnesota Administrative Rules

9505.0372 COVERED SERVICES.

Subpart 1.

Diagnostic assessment.

Medical assistance covers four types of diagnostic assessments when they are provided in accordance with the requirements in this subpart.

A.

To be eligible for medical assistance payment, a diagnostic assessment must:

(1)

identify a mental health diagnosis and recommended mental health services, which are the factual basis to develop the recipient's mental health services and treatment plan; or

(2)

include a finding that the client does not meet the criteria for a mental health disorder.

B.

A standard diagnostic assessment must include a face-to-face interview with the client and contain a written evaluation of a client by a mental health professional or practitioner working under clinical supervision as a clinical trainee according to part 9505.0371, subpart 5, item C. The standard diagnostic assessment must be done within the cultural context of the client and must include relevant information about:

(1)

the client's current life situation, including the client's:

(a)

age;

(b)

current living situation, including household membership and housing status;

(c)

basic needs status including economic status;

(d)

education level and employment status;

(e)

significant personal relationships, including the client's evaluation of relationship quality;

(f)

strengths and resources, including the extent and quality of social networks;

(g)

belief systems;

(h)

contextual nonpersonal factors contributing to the client's presenting concerns;

(i)

general physical health and relationship to client's culture; and

(j)

current medications;

(2)

the reason for the assessment, including the client's:

(a)

perceptions of the client's condition;

(b)

description of symptoms, including reason for referral;

(c)

history of mental health treatment, including review of the client's records;

(d)

important developmental incidents;

(e)

maltreatment, trauma, or abuse issues;

(f)

history of alcohol and drug usage and treatment;

(g)

health history and family health history, including physical, chemical, and mental health history; and

(h)

cultural influences and their impact on the client;

(3)

the client's mental status examination;

(4)

the assessment of client's needs based on the client's baseline measurements, symptoms, behavior, skills, abilities, resources, vulnerabilities, and safety needs;

(5)

the screenings used to determine the client's substance use, abuse, or dependency and other standardized screening instruments determined by the commissioner;

(6)

assessment methods and use of standardized assessment tools by the provider as determined and periodically updated by the commissioner;

(7)

the client's clinical summary, recommendations, and prioritization of needed mental health, ancillary or other services, client and family participation in assessment and service preferences, and referrals to services required by statute or rule; and

(8)

the client data that is adequate to support the findings on all axes of the current edition of the Diagnostic and Statistical Manual of Mental Disorders, published by the American Psychiatric Association; and any differential diagnosis.

C.

An extended diagnostic assessment must include a face-to-face interview with the client and contain a written evaluation of a client by a mental health professional or practitioner working under clinical supervision as a clinical trainee according to part 9505.0371, subpart 5, item C. The face-to-face interview is conducted over three or more assessment appointments because the client's complex needs necessitate significant additional assessment time. Complex needs are those caused by acuity of psychotic disorder; cognitive or neurocognitive impairment; need to consider past diagnoses and determine their current applicability; co-occurring substance abuse use disorder; or disruptive or changing environments, communication barriers, or cultural considerations as documented in the assessment. For child clients, the appointments may be conducted outside the diagnostician's office for face-to-face consultation and information gathering with family members, doctors, caregivers, teachers, and other providers, with or without the child present, and may involve directly observing the child in various settings that the child frequents such as home, school, or care settings. To complete the diagnostic assessment with adult clients, the appointments may be conducted outside of the diagnostician's office for face-to-face assessment with the adult client. The appointment may involve directly observing the adult client in various settings that the adult frequents, such as home, school, job, service settings, or community settings. The appointments may include face-to-face meetings with the adult client and the client's family members, doctors, caregivers, teachers, social support network members, recovery support resource representatives, and other providers for consultation and information gathering for the diagnostic assessment. The components of an extended diagnostic assessment include the following relevant information:

(1)

for children under age 5:

(a)

utilization of the DC:0-3R diagnostic system for young children;

(b)

an early childhood mental status exam that assesses the client's developmental, social, and emotional functioning and style both within the family and with the examiner and includes:

i.

physical appearance including dysmorphic features;

ii.

reaction to new setting and people and adaptation during evaluation;

iii.

self-regulation, including sensory regulation, unusual behaviors, activity level, attention span, and frustration tolerance;

iv.

physical aspects, including motor function, muscle tone, coordination, tics, abnormal movements, and seizure activity;

v.

vocalization and speech production, including expressive and receptive language;

vi.

thought, including fears, nightmares, dissociative states, and hallucinations;

vii.

affect and mood, including modes of expression, range, responsiveness, duration, and intensity;

viii.

play, including structure, content, symbolic functioning, and modulation of aggression;

ix.

cognitive functioning; and

x.

relatedness to parents, other caregivers, and examiner; and

(c)

other assessment tools as determined and periodically revised by the commissioner;

(2)

for children ages 5 to 18, completion of other assessment standards for children as determined and periodically revised by the commissioner; and

(3)

for adults, completion of other assessment standards for adults as determined and periodically revised by the commissioner.

D.

A brief diagnostic assessment must include a face-to-face interview with the client and a written evaluation of the client by a mental health professional or practitioner working under clinical supervision as a clinical trainee according to part 9505.0371, subpart 5, item C. The professional or practitioner must gather initial background information using the components of a standard diagnostic assessment in item B, subitems (1), (2), unit (b), (3), and (5), and draw a provisional clinical hypothesis. The clinical hypothesis may be used to address the client's immediate needs or presenting problem. Treatment sessions conducted under authorization of a brief assessment may be used to gather additional information necessary to complete a standard diagnostic assessment or an extended diagnostic assessment.

E.

Adult diagnostic assessment update includes a face-to-face interview with the client, and contains a written evaluation of the client by a mental health professional or practitioner working under clinical supervision as a clinical trainee according to part 9505.0371, subpart 5, item C, who reviews a standard or extended diagnostic assessment. The adult diagnostic assessment update must update the most recent assessment document in writing in the following areas:

(1)

review of the client's life situation, including an interview with the client about the client's current life situation, and a written update of those parts where significant new or changed information exists, and documentation where there has not been significant change;

(2)

review of the client's presenting problems, including an interview with the client about current presenting problems and a written update of those parts where there is significant new or changed information, and note parts where there has not been significant change;

(3)

screenings for substance use, abuse, or dependency and other screenings as determined by the commissioner;

(4)

the client's mental health status examination;

(5)

assessment of client's needs based on the client's baseline measurements, symptoms, behavior, skills, abilities, resources, vulnerabilities, and safety needs;

(6)

the client's clinical summary, recommendations, and prioritization of needed mental health, ancillary, or other services, client and family participation in assessment and service preferences, and referrals to services required by statute or rule; and

(7)

the client's diagnosis on all axes of the current edition of the Diagnostic and Statistical Manual and any differential diagnosis.

Subp. 2.

Neuropsychological assessment.

A neuropsychological assessment must include a face-to-face interview with the client, the interpretation of the test results, and preparation and completion of a report. A client is eligible for a neuropsychological assessment if at least one of the following criteria is met:

A.

There is a known or strongly suspected brain disorder based on medical history or neurological evaluation such as a history of significant head trauma, brain tumor, stroke, seizure disorder, multiple sclerosis, neurodegenerative disorders, significant exposure to neurotoxins, central nervous system infections, metabolic or toxic encephalopathy, fetal alcohol syndrome, or congenital malformations of the brain; or

B.

In the absence of a medically verified brain disorder based on medical history or neurological evaluation, there are cognitive or behavioral symptoms that suggest that the client has an organic condition that cannot be readily attributed to functional psychopathology, or suspected neuropsychological impairment in addition to functional psychopathology. Examples include:

(1)

poor memory or impaired problem solving;

(2)

change in mental status evidenced by lethargy, confusion, or disorientation;

(3)

deterioration in level of functioning;

(4)

marked behavioral or personality change;

(5)

in children or adolescents, significant delays in academic skill acquisition or poor attention relative to peers;

(6)

in children or adolescents, significant plateau in expected development of cognitive, social, emotional, or physical function, relative to peers; and

(7)

in children or adolescents, significant inability to develop expected knowledge, skills, or abilities as required to adapt to new or changing cognitive, social, emotional, or physical demands.

C.

If neither criterion in item A nor B is fulfilled, neuropsychological evaluation is not indicated.

D.

The neuropsychological assessment must be conducted by a neuropsychologist with competence in the area of neuropsychological assessment as stated to the Minnesota Board of Psychology who:

(1)

was awarded a diploma by the American Board of Clinical Neuropsychology, the American Board of Professional Neuropsychology, or the American Board of Pediatric Neuropsychology;

(2)

earned a doctoral degree in psychology from an accredited university training program:

(a)

completed an internship, or its equivalent, in a clinically relevant area of professional psychology;

(b)

completed the equivalent of two full-time years of experience and specialized training, at least one which is at the postdoctoral level, in the study and practices of clinical neuropsychology and related neurosciences supervised by a clinical neuropsychologist; and

(c)

holds a current license to practice psychology independently in accordance with Minnesota Statutes, sections 148.88 to 148.98;

(3)

is licensed or credentialed by another state's board of psychology examiners in the specialty of neuropsychology using requirements equivalent to requirements specified by one of the boards named in subitem (1); or

(4)

was approved by the commissioner as an eligible provider of neuropsychological assessment prior to December 31, 2010.

Subp. 3.

Neuropsychological testing.

A.

Medical assistance covers neuropsychological testing when the client has either:

(1)

a significant mental status change that is not a result of a metabolic disorder that has failed to respond to treatment;

(2)

in children or adolescents, a significant plateau in expected development of cognitive, social, emotional, or physical function, relative to peers;

(3)

in children or adolescents, significant inability to develop expected knowledge, skills, or abilities, as required to adapt to new or changing cognitive, social, physical, or emotional demands; or

(4)

a significant behavioral change, memory loss, or suspected neuropsychological impairment in addition to functional psychopathology, or other organic brain injury or one of the following:

(a)

traumatic brain injury;

(b)

stroke;

(c)

brain tumor;

(d)

substance abuse or dependence;

(e)

cerebral anoxic or hypoxic episode;

(f)

central nervous system infection or other infectious disease;

(g)

neoplasms or vascular injury of the central nervous system;

(h)

neurodegenerative disorders;

(i)

demyelinating disease;

(j)

extrapyramidal disease;

(k)

exposure to systemic or intrathecal agents or cranial radiation known to be associated with cerebral dysfunction;

(l)

systemic medical conditions known to be associated with cerebral dysfunction, including renal disease, hepatic encephalopathy, cardiac anomaly, sickle cell disease, and related hematologic anomalies, and autoimmune disorders such as lupus, erythematosis, or celiac disease;

(m)

congenital genetic or metabolic disorders known to be associated with cerebral dysfunction, such as phenylketonuria, craniofacial syndromes, or congenital hydrocephalus;

(n)

severe or prolonged nutrition or malabsorption syndromes; or

(o)

a condition presenting in a manner making it difficult for a clinician to distinguish between:

i.

the neurocognitive effects of a neurogenic syndrome such as dementia or encephalopathy; and

ii.

a major depressive disorder when adequate treatment for major depressive disorder has not resulted in improvement in neurocognitive function, or another disorder such as autism, selective mutism, anxiety disorder, or reactive attachment disorder.

B.

Neuropsychological testing must be administered or clinically supervised by a neuropsychologist qualified as defined in subpart 2, item D.

C.

Neuropsychological testing is not covered when performed:

(1)

primarily for educational purposes;

(2)

primarily for vocational counseling or training;

(3)

for personnel or employment testing;

(4)

as a routine battery of psychological tests given at inpatient admission or continued stay; or

(5)

for legal or forensic purposes.

Subp. 4.

Psychological testing.

Psychological testing must meet the following requirements:

A.

The psychological testing must:

(1)

be administered or clinically supervised by a licensed psychologist with competence in the area of psychological testing as stated to the Minnesota Board of Psychology; and

(2)

be validated in a face-to-face interview between the client and a licensed psychologist or a mental health practitioner working as a clinical psychology trainee as required by part 9505.0371, subpart 5, item C, under the clinical supervision of a licensed psychologist according to part 9505.0371, subpart 5, item A, subitem (2).

B.

The administration, scoring, and interpretation of the psychological tests must be done under the clinical supervision of a licensed psychologist when performed by a technician, psychometrist, or psychological assistant or as part of a computer-assisted psychological testing program.

C.

The report resulting from the psychological testing must be:

(1)

signed by the psychologist conducting the face-to-face interview;

(2)

placed in the client's record; and

(3)

released to each person authorized by the client.

Subp. 5.

Explanations of findings.

To be eligible for medical assistance payment, the mental health professional providing the explanation of findings must obtain the authorization of the client or the client's representative to release the information as required in part 9505.0371, subpart 6. Explanation of findings is provided to the client, client's family, and caregivers, or to other providers to help them understand the results of the testing or diagnostic assessment, better understand the client's illness, and provide professional insight needed to carry out a plan of treatment. An explanation of findings is not paid separately when the results of psychological testing or a diagnostic assessment are explained to the client or the client's representative as part of the psychological testing or a diagnostic assessment.

Subp. 6.

Psychotherapy.

Medical assistance covers psychotherapy as conducted by a mental health professional or a mental health practitioner as defined in part 9505.0371, subpart 5, item C, as provided in this subpart.

A.

Individual psychotherapy is psychotherapy designed for one client.

B.

Family psychotherapy is designed for the client and one or more family members or the client's primary caregiver whose participation is necessary to accomplish the client's treatment goals. Family members or primary caregivers participating in a therapy session do not need to be eligible for medical assistance. For purposes of this subpart, the phrase "whose participation is necessary to accomplish the client's treatment goals" does not include shift or facility staff members at the client's residence. Medical assistance payment for family psychotherapy is limited to face-to-face sessions at which the client is present throughout the family psychotherapy session unless the mental health professional believes the client's absence from the family psychotherapy session is necessary to carry out the client's individual treatment plan. If the client is excluded, the mental health professional must document the reason for and the length of time of the exclusion. The mental health professional must also document the reason or reasons why a member of the client's family is excluded.

C.

Group psychotherapy is appropriate for individuals who because of the nature of their emotional, behavioral, or social dysfunctions can derive mutual benefit from treatment in a group setting. For a group of three to eight persons, one mental health professional or practitioner is required to conduct the group. For a group of nine to 12 persons, a team of at least two mental health professionals or two mental health practitioners or one mental health professional and one mental health practitioner is required to co-conduct the group. Medical assistance payment is limited to a group of no more than 12 persons.

D.

A multiple-family group psychotherapy session is eligible for medical assistance payment if the psychotherapy session is designed for at least two but not more than five families. Multiple-family group psychotherapy is clearly directed toward meeting the identified treatment needs of each client as indicated in client's treatment plan. If the client is excluded, the mental health professional or practitioner must document the reason for and the length of the time of the exclusion. The mental health professional or practitioner must document the reasons why a member of the client's family is excluded.

Subp. 7.

Medication management.

The determination or evaluation of the effectiveness of a client's prescribed drug must be carried out by a physician or by an advanced practice registered nurse, as defined in Minnesota Statutes, sections 148.171 to 148.285, who is qualified in psychiatric nursing.

Subp. 8.

Adult day treatment.

Adult day treatment payment limitations include the following conditions.

A.

Adult day treatment must consist of at least one hour of group psychotherapy, and must include group time focused on rehabilitative interventions, or other therapeutic services that are provided by a multidisciplinary staff. Adult day treatment is an intensive psychotherapeutic treatment. The services must stabilize the client's mental health status, and develop and improve the client's independent living and socialization skills. The goal of adult day treatment is to reduce or relieve the effects of mental illness so that an individual is able to benefit from a lower level of care and to enable the client to live and function more independently in the community. Day treatment services are not a part of inpatient or residential treatment services.

B.

To be eligible for medical assistance payment, a day treatment program must:

(1)

be reviewed by and approved by the commissioner;

(2)

be provided to a group of clients by a multidisciplinary staff under the clinical supervision of a mental health professional;

(3)

be available to the client at least two days a week for at least three consecutive hours per day. The day treatment may be longer than three hours per day, but medical assistance must not reimburse a provider for more than 15 hours per week;

(4)

include group psychotherapy done by a mental health professional, or mental health practitioner qualified according to part 9505.0371, subpart 5, item C, and rehabilitative interventions done by a mental health professional or mental health practitioner daily;

(5)

be included in the client's individual treatment plan as necessary and appropriate. The individual treatment plan must include attainable, measurable goals as they relate to services and must be completed before the first day treatment session. The vendor must review the recipient's progress and update the treatment plan at least every 30 days until the client is discharged and include an available discharge plan for the client in the treatment plan; and

(6)

document the interventions provided and the client's response daily.

C.

To be eligible for adult day treatment, a recipient must:

(1)

be 18 years of age or older;

(2)

not be residing in a nursing facility, hospital, institute of mental disease, or regional treatment center, unless the recipient has an active discharge plan that indicates a move to an independent living arrangement within 180 days;

(3)

have a diagnosis of mental illness as determined by a diagnostic assessment;

(4)

have the capacity to engage in the rehabilitative nature, the structured setting, and the therapeutic parts of psychotherapy and skills activities of a day treatment program and demonstrate measurable improvements in the recipient's functioning related to the recipient's mental illness that would result from participating in the day treatment program;

(5)

have at least three areas of functional impairment as determined by a functional assessment with the domains prescribed by Minnesota Statutes, section 245.462, subdivision 11a;

(6)

have a level of care determination that supports the need for the level of intensity and duration of a day treatment program; and

(7)

be determined to need day treatment by a mental health professional who must deem the day treatment services medically necessary.

D.

The following services are not covered by medical assistance if they are provided by a day treatment program:

(1)

a service that is primarily recreation-oriented or that is provided in a setting that is not medically supervised. This includes: sports activities, exercise groups, craft hours, leisure time, social hours, meal or snack time, trips to community activities, and tours;

(2)

a social or educational service that does not have or cannot reasonably be expected to have a therapeutic outcome related to the client's mental illness;

(3)

consultation with other providers or service agency staff about the care or progress of a client;

(4)

prevention or education programs provided to the community;

(5)

day treatment for recipients with primary diagnoses of alcohol or other drug abuse;

(6)

day treatment provided in the client's home;

(7)

psychotherapy for more than two hours daily; and

(8)

participation in meal preparation and eating that is not part of a clinical treatment plan to address the client's eating disorder.

Subp. 9.

Partial hospitalization.

Partial hospitalization is a covered service when it is an appropriate alternative to inpatient hospitalization for a client who is experiencing an acute episode of mental illness that meets the criteria for an inpatient hospital admission as specified in part 9505.0520, subpart 1, and who has the family and community resources necessary and appropriate to support the client's residence in the community. Partial hospitalization consists of multiple intensive short-term therapeutic services provided by a multidisciplinary staff to treat the client's mental illness.

Subp. 10.

Dialectical behavior therapy (DBT).

Dialectical behavior therapy (DBT) treatment services must meet the following criteria:

A.

DBT must be provided according to this subpart and Minnesota Statutes, section 256B.0625, subdivision 5l.

B.

DBT is an outpatient service that is determined to be medically necessary by either: (1) a mental health professional qualified according to part 9505.0371, subpart 5, or (2) a mental health practitioner working as a clinical trainee according to part 9505.0371, subpart 5, item C, who is under the clinical supervision of a mental health professional according to part 9505.0371, subpart 5, item D, with specialized skill in dialectical behavior therapy. The treatment recommendation must be based upon a comprehensive evaluation that includes a diagnostic assessment and functional assessment of the client, and review of the client's prior treatment history. Treatment services must be provided pursuant to the client's individual treatment plan and provided to a client who satisfies the criteria in item C.

C.

To be eligible for DBT, a client must:

(1)

be 18 years of age or older;

(2)

have mental health needs that cannot be met with other available community-based services or that must be provided concurrently with other community-based services;

(3)

meet one of the following criteria:

(a)

have a diagnosis of borderline personality disorder; or

(b)

have multiple mental health diagnoses and exhibit behaviors characterized by impulsivity, intentional self-harm behavior, and be at significant risk of death, morbidity, disability, or severe dysfunction across multiple life areas;

(4)

understand and be cognitively capable of participating in DBT as an intensive therapy program and be able and willing to follow program policies and rules assuring safety of self and others; and

(5)

be at significant risk of one or more of the following if DBT is not provided:

(a)

mental health crisis;

(b)

requiring a more restrictive setting such as hospitalization;

(c)

decompensation; or

(d)

engaging in intentional self-harm behavior.

D.

The treatment components of DBT are individual therapy and group skills as follows:

(1)

Individual DBT combines individualized rehabilitative and psychotherapeutic interventions to treat suicidal and other dysfunctional behaviors and reinforce the use of adaptive skillful behaviors. The therapist must:

(a)

identify, prioritize, and sequence behavioral targets;

(b)

treat behavioral targets;

(c)

generalize DBT skills to the client's natural environment through telephone coaching outside of the treatment session;

(d)

measure the client's progress toward DBT targets;

(e)

help the client manage crisis and life-threatening behaviors; and

(f)

help the client learn and apply effective behaviors when working with other treatment providers.

(2)

Individual DBT therapy is provided by a mental health professional or a mental health practitioner working as a clinical trainee, according to part 9505.0371, subpart 5, item C, under the supervision of a licensed mental health professional according to part 9505.0371, subpart 5, item D.

(3)

Group DBT skills training combines individualized psychotherapeutic and psychiatric rehabilitative interventions conducted in a group format to reduce the client's suicidal and other dysfunctional coping behaviors and restore function by teaching the client adaptive skills in the following areas:

(a)

mindfulness;

(b)

interpersonal effectiveness;

(c)

emotional regulation; and

(d)

distress tolerance.

(4)

Group DBT skills training is provided by two mental health professionals, or by a mental health professional cofacilitating with a mental health practitioner.

(5)

The need for individual DBT skills training must be determined by a mental health professional or a mental health practitioner working as a clinical trainee, according to part 9505.0371, subpart 5, item C, under the supervision of a licensed mental health professional according to part 9505.0371, subpart 5, item D.

E.

A program must be certified by the commissioner as a DBT provider. To qualify for certification, a provider must:

(1)

hold current accreditation as a DBT program from a nationally recognized certification body approved by the commissioner or submit to the commissioner's inspection and provide evidence that the DBT program's policies, procedures, and practices will continuously meet the requirements of this subpart;

(2)

be enrolled as a MHCP provider;

(3)

collect and report client outcomes as specified by the commissioner; and

(4)

have a manual that outlines the DBT program's policies, procedures, and practices which meet the requirements of this subpart.

F.

The DBT treatment team must consist of persons who are trained in DBT treatment. The DBT treatment team may include persons from more than one agency. Professional and clinical affiliations with the DBT team must be delineated:

(1)

A DBT team leader must:

(a)

be a mental health professional employed by, affiliated with, or contracted by a DBT program certified by the commissioner;

(b)

have appropriate competencies and working knowledge of the DBT principles and practices; and

(c)

have knowledge of and ability to apply the principles and DBT practices that are consistent with evidence-based practices.

(2)

DBT team members who provide individual DBT or group skills training must:

(a)

be a mental health professional or be a mental health practitioner, who is employed by, affiliated with, or contracted with a DBT program certified by the commissioner;

(b)

have or obtain appropriate competencies and working knowledge of DBT principles and practices within the first six months of becoming a part of the DBT program;

(c)

have or obtain knowledge of and ability to apply the principles and practices of DBT consistently with evidence-based practices within the first six months of working at the DBT program;

(d)

participate in DBT consultation team meetings; and

(e)

require mental health practitioners to have ongoing clinical supervision by a mental health professional who has appropriate competencies and working knowledge of DBT principles and practices.

Subp. 11.

Noncovered services.

The mental health services in items A to J are not eligible for medical assistance payment under this part:

A.

a mental health service that is not medically necessary;

B.

a neuropsychological assessment carried out by a person other than a neuropsychologist who is qualified according to part 9505.0372, subpart 2, item D;

C.

a service ordered by a court that is solely for legal purposes and not related to the recipient's diagnosis or treatment for mental illness;

D.

services dealing with external, social, or environmental factors that do not directly address the recipient's physical or mental health;

E.

a service that is only for a vocational purpose or an educational purpose that is not mental health related;

F.

staff training that is not related to a client's individual treatment plan or plan of care;

G.

child and adult protection services;

H.

fund-raising activities;

I.

community planning; and

J.

client transportation.

Statutory Authority:

MS s 245.484; 256B.04

History:

35 SR 1967

Published Electronically:

July 11, 2016

700 State Office Building, 100 Rev. Dr. Martin Luther King Jr. Blvd., St. Paul, MN 55155 ♦ Phone: (651) 296-2868 ♦ TTY: 1-800-627-3529 ♦ Fax: (651) 296-0569