Chapter DHS 106

Chapter DHS 106

PROVIDER RIGHTS AND RESPONSIBILITIES

DHS 106.01   Introduction.

DHS 106.02   General requirements for provision of services.

DHS 106.03   Manner of preparing and submitting claims for reimbursement.

DHS 106.04   Payment of claims for reimbursement.

DHS 106.05   Voluntary termination of program participation.

DHS 106.06   Involuntary termination or suspension from program participation.

DHS 106.065   Involuntary termination and alternative sanctions for home care providers.

DHS 106.07   Effects of suspension or involuntary termination.

DHS 106.08   Intermediate sanctions.

DHS 106.09   Departmental discretion to pursue monetary recovery.

DHS 106.10   Withholding payment of claims.

DHS 106.11   Pre-payment review of claims.

DHS 106.12   Procedure, pleadings and practice.

DHS 106.13   Discretionary waivers and variances.

Ch. DHS 106 Note Note: Chapter HSS 106 was renumbered Chapter HFS 106 under s. 13.93 (2m) (b) 1., Stats., and corrections made under s. 13.93 (2m) (b) 6. and 7., Stats., Register, January, 1997, No. 493. Chapter HFS 106 was renumbered to chapter DHS 106 under s. 13.92 (4) (b) 1., Stats., and corrections made under s. 13.92 (4) (b) 7., Stats., Register December 2008 No. 636.

DHS 106.01 DHS 106.01 Introduction. In addition to provisions of chs. DHS 105 and 107 relating to individual provider types and the manner by which specified services are to be provided and paid for under medical assistance (MA), the participation of all providers certified under ch. DHS 105 to provide or claim reimbursement for services under the program shall be subject to the conditions set forth in this chapter.

DHS 106.01 History History: Cr. Register, December, 1979, No. 288, eff. 2-1-80; am. Register, February, 1986, No. 362, eff. 3-1-86; corrections made under s. 13.92 (4) (b) 7., Stats., Register December 2008 No. 636.

DHS 106.02 DHS 106.02 General requirements for provision of services. Providers shall comply with the following general conditions for participation as providers in the MA program:

DHS 106.02(1) (1) Certification. A provider shall be certified under ch. DHS 105.

DHS 106.02(2) (2) Covered services. A provider shall be reimbursed only for covered services specified in ch. DHS 107.

DHS 106.02(3) (3) Recipient eligible on date of service. A provider shall be reimbursed for a service only if the recipient of the service was eligible to receive MA benefits on the date the service was provided.

DHS 106.02(4) (4) Compliance with state and federal requirements. A provider shall be reimbursed only if the provider complies with applicable state and federal procedural requirements relating to the delivery of the service.

DHS 106.02(5) (5) Appropriate and medically necessary services. A provider shall be reimbursed only for services that are appropriate and medically necessary for the condition of the recipient.

DHS 106.02(6) (6) Provision of non-covered services. If a provider determines that, to assure quality health care to a recipient, it is necessary to provide a non-covered service, nothing in this chapter shall preclude the provider from furnishing the service, if before rendering the service the provider advises the recipient that the service is not covered under the program and that, if provided, the recipient is responsible for payment.

DHS 106.02(7) (7) Services to recipients with a primary provider. A provider other than the designated primary provider may not claim reimbursement for a service to an individual whose freedom to choose a provider has been restricted under s. DHS 104.03 or 104.05 as indicated on the recipient’s MA identification card unless the service was rendered pursuant to a written referral from the recipient’s designated primary provider or the service was rendered in an emergency. If rendered in an emergency, the provider seeking reimbursement shall submit to the fiscal agent a written description of the nature of the emergency along with the service claim.

DHS 106.02(8) (8) Refusal to provide MA services. A provider is not required to provide services to a recipient if the recipient refuses or fails to present a currently valid MA identification card. If a recipient fails, refuses or is unable to produce a currently valid identification card, the provider may contact the fiscal agent to confirm the current eligibility of the recipient. The department shall require its fiscal agent to install and maintain adequate toll-free telephone service to enable providers to verify the eligibility of recipients to receive benefits under the program.

DHS 106.02(9) (9) Medical and financial recordkeeping and documentation.

DHS 106.02(9)(a) (a) Preparation and maintenance. A provider shall prepare and maintain truthful, accurate, complete, legible and concise documentation and medical and financial records specified under this subsection, s. DHS 105.02 (6), the relevant provisions of s. DHS 105.02 (7), other relevant sections in chs. DHS 105 and 106 and the relevant sections of ch. DHS 107 that relate to documentation and medical and financial recordkeeping for specific services rendered to a recipient by a certified provider. In addition to the documentation and recordkeeping requirements specified in pars. (b) to (d), the provider’s documentation, unless otherwise specifically contained in the recipient’s medical record, shall include:

DHS 106.02(9)(a)1. 1. The full name of the recipient;

DHS 106.02(9)(a)2. 2. The identity of the person who provided the service to the recipient;

DHS 106.02(9)(a)3. 3. An accurate, complete and legible description of each service provided;

DHS 106.02(9)(a)4. 4. The purpose of and need for the services;

DHS 106.02(9)(a)5. 5. The quantity, level and supply of service provided;

DHS 106.02(9)(a)6. 6. The date of service;

DHS 106.02(9)(a)7. 7. The place where the service was provided; and

DHS 106.02(9)(a)8. 8. The pertinent financial records.

DHS 106.02(9)(b) (b) Medical record content. A provider shall include in a recipient’s medical record all of the following written documentation, as applicable:

DHS 106.02(9)(b)1. 1. Date, department or office of the provider, as applicable, and provider name and profession.

DHS 106.02(9)(b)2. 2. Chief medical complaint or purpose of the service or services.

DHS 106.02(9)(b)3. 3. Clinical findings.

DHS 106.02(9)(b)4. 4. Diagnosis or medical impression.

DHS 106.02(9)(b)5. 5. Studies ordered, such as laboratory or x-ray studies.

DHS 106.02(9)(b)6. 6. Therapies or other treatments administered.

DHS 106.02(9)(b)7. 7. Disposition, recommendations and instructions given to the recipient, including any prescriptions and plans of care or treatment provided.

DHS 106.02(9)(b)8. 8. Prescriptions, plans of care and any other treatment plans for the recipient received from any other provider.

DHS 106.02(9)(b)9. 9. Delivery mode of the services provided, when provided via telehealth as established under s. DHS 107.02 (5), including all of the following:

DHS 106.02(9)(b)9.a. a. Whether provided via audio-visual telehealth, via audio-only telehealth, or via telehealth externally acquired images.

DHS 106.02(9)(b)9.b. b. Whether provided synchronously or asynchronously.

DHS 106.02(9)(c) (c) Financial records. A provider shall maintain the following financial records in written or electronic form:

DHS 106.02(9)(c)1. 1. Payroll ledgers, canceled checks, bank deposit slips and any other accounting records prepared by the provider;

DHS 106.02(9)(c)2. 2. Billings to MA, medicare, a third party insurer or the recipient for all services provided to the recipient;

DHS 106.02(9)(c)3. 3. Evidence of the provider’s usual and customary charges to recipients and to persons or payers who are not recipients;

DHS 106.02(9)(c)4. 4. The provider’s appointment books for patient appointments and the provider’s schedules for patient supervision, if applicable;

DHS 106.02(9)(c)5. 5. Billing claims forms for either manual or electronic billing for all health services provided to the recipient;

DHS 106.02(9)(c)6. 6. Records showing all persons, corporations, partnerships and entities with an ownership or controlling interest in the provider, as defined in 42 CFR 455.101; and

DHS 106.02(9)(c)7. 7. Employee records for those persons currently employed by the provider or who have been employed by the provider at any time within the previous 5 years. Employee records shall include employee name, salary, job qualifications, position description, job title, dates of employment and the employee’s current home address or the last known address of any former employee.

DHS 106.02(9)(d) (d) Other documentation.

DHS 106.02(9)(d)1. 1. The provider shall maintain documentation of all information received or known by the provider of the recipient’s eligibility for services under MA, medicare or any other health care plan, including but not limited to an indemnity health insurance plan, a health maintenance organization, a preferred provider organization, a health insuring organization or other third party payer of health care.

DHS 106.02(9)(d)2. 2. The provider shall retain all evidence of claims for reimbursement, claim denials and adjustments, remittance advice, and settlement or demand billings resulting from claims submitted to MA, medicare or other health care plans.

DHS 106.02(9)(d)3. 3. The provider shall retain all evidence of prior authorization requests, cost reports and supplemental cost or medical information submitted to MA, medicare and other third party payers of health care, including the data, information and other documentation necessary to support the truthfulness, accuracy and completeness of the requests, reports and supplemental information.

DHS 106.02(9)(e) (e) Provider responsibility.

DHS 106.02(9)(e)1. 1. Each provider is solely responsible for the truthfulness, accuracy, timeliness and completeness of claims, cost reports, prior authorization requests and any supplementary information relating to the provider’s MA certification or reimbursement for services submitted to MA or to medicare or any other third party payer for claims or requests for MA recipients, whether or not these claims, reports and requests are submitted on paper or in electronic form. This includes but is not limited to the truthfulness, accuracy, timeliness and completeness of the documentation necessary to support each claim, cost report and prior authorization request. The use or consent to use of a service, system or process for the preparation and submission of claims, cost reports or prior authorization requests, whether in electronic form or on paper, does not in any way relieve a provider from sole responsibility for the truthfulness, accuracy, timeliness and completeness of claims, cost reports, prior authorization requests and any supplementary information relating to the provider’s MA certification and claims for reimbursement for services submitted to MA or to medicare or any other third party payer in the case of claims, reports or requests for MA recipients. The provider is responsible whether or not the provider is charged for the services, systems or processes and whether or not the department or its fiscal agent consents to the electronic preparation and submission of claims, cost reports, prior authorization requests and any supplementary information relating to the provider’s MA certification and claims for reimbursement for services.

DHS 106.02(9)(e)2. 2. All records under pars. (a) to (d) shall be retained by a provider for a period of not less than 5 years, except that a rural health clinic provider shall retain the records for not less than 6 years. This period shall begin on the date on which the provider received payment from the program for the service to which the records relate. Termination of a provider’s participation does not terminate the provider’s responsibility to retain the records unless an alternative arrangement for record retention and maintenance has been established by the provider.

DHS 106.02(9)(e)3. 3. Providers are solely responsible for all costs associated with meeting the responsibilities under the provider agreement required under s. DHS 105.01 (3) (e) and the preparation and submission of claims, whether in electronic form or on paper, to MA or to medicare or other third party payers in the case of claims for MA recipients, regardless of the means or source of the preparation and submission. This includes but is not limited to claims preparation, acquisition or submission services and services which prepare, acquire or submit claims to payers, including but not limited to MA, on behalf of the provider, whether or not the provider or the provider’s membership organization is charged for the preparation or submission of claims, and any other activity required under the provider agreement in accordance with s. DHS 105.01 (3) (e).

DHS 106.02(9)(e)4. 4. At the request of a person authorized by the department and on presentation of that person’s credentials, a provider shall permit access to any requested records, whether in written, electronic, or micrographic form. Access for purposes of this subsection shall include the opportunity to inspect, review, audit and reproduce the records.

DHS 106.02(9)(e)5. 5. Except as otherwise provided under a contract between the department and providers or pre-paid health plans, and except for records requested by the peer review organization under contract with the department, all costs of reproduction by a provider of records under this subsection shall be paid by the department at the per-page rate for record reproduction established by the department under s. DHS 108.02 (4). Reproduction costs for records requested by the peer review organization shall be paid at the prevailing per-page rate for MA records established by that organization.

DHS 106.02(9)(f) (f) Condition for reimbursement. Services covered under ch. DHS 107 are non-reimbursable under the MA program unless the documentation and medical recordkeeping requirements under this section are met.

DHS 106.02(9)(g) (g) Supporting documentation. The department may refuse to pay claims and may recover previous payments made on claims where the provider fails or refuses to prepare and maintain records or permit authorized department personnel to have access to records required under s. DHS 105.02 (6) or (7) and the relevant sections of chs. DHS 106 and 107 for purposes of disclosing, substantiating or otherwise auditing the provision, nature, scope, quality, appropriateness and necessity of services which are the subject of claims or for purposes of determining provider compliance with MA requirements.

DHS 106.02(10) (10) Nondiscrimination. Providers shall comply with the Civil Rights Act of 1964, 42 USC 2000d et. seq., and s. 504 of the Rehabilitation Act of 1973, as amended. Accordingly, providers may not exclude, deny or refuse to provide health care services to recipients on the grounds of race, color, gender, age, national origin or disability, nor may they discriminate in their employment practices.

DHS 106.02(11) (11) Provision of non-reimbursable covered services. A provider may not bill a recipient for covered services which are non-reimbursable under s. DHS 107.02 (2).

DHS 106.02(12) (12) Requirements for dental hygienist services.

DHS 106.02(12)(a) (a)

DHS 106.02(12)(a)1. 1. At least 20 days before a MA certified dental hygienist performs a service for a dental sealant program conducted by an entity specified under s. 447.06 (2) (a) 2., 3., and 5., Stats., the dental hygienist shall notify the contract agency for the Wisconsin Seal-A-Smile Dental Sealant program. Upon notification of the dental sealant program dates, the contract agency shall post the program dates on an Internet site. If the dental sealant program is rescheduled, notice may be provided closer to the date of the rescheduled program. If the dental hygienist provides a list of dates of the programs for which the dental hygienist will perform services during the year, the 20 day notice requirement for each event is waived.

DHS 106.02 Note Note: Dental hygienists are encouraged to work with dentists, when available, to assist in these programs.

DHS 106.02(12)(a)2. 2. An MA certified dental hygienist and any entity who employs or contracts with a MA certified dental hygienist under s. 447.06 (2) (a) 2., 3., and 5., Stats., or that uses the volunteer services of an MA certified dental hygienist shall maintain written documentation of all of the following:

DHS 106.02(12)(a)2.a. a. The relationship between the dental hygienist and the entity.

DHS 106.02(12)(a)2.b. b. Any referral of a patient who has a condition that cannot be treated within the dental hygienist scope of practice as defined under s. 447.03, Stats., to a private dental practice; a federally qualified health center that provide dental services; a rural dental health clinic; a college or university that provides dental diagnostic and clinical services; or any other dental entity that employs, contracts with, or is under the supervision of a licensed dentist.

DHS 106.02(12)(a)2.c. c. Consultation with a licensed dentist in a private dental practice; a federally qualified health center that provide dental services; a rural dental health clinic; a college or university that provides dental diagnostic and clinical services; or any other entity that employs, contracts with, or is under the supervision of a licensed dentist.

DHS 106.02(12)(a)2.d. d. The notification required under subd. 1.

DHS 106.02(12)(b) (b) Compliance with this subsection is subject to audit by the department and the legislature.

DHS 106.02 History History: Cr. Register, December, 1979, No. 288, eff. 2-1-80; am. Register, February, 1986, No. 362, eff. 3-1-86; emerg. r. and recr. (9), eff. 7-1-92; r. and recr. (9), cr. (11), Register, February, 1993, No. 446, eff. 3-1-93; correction made in (10) under s. 13.93 (2m) (b) 7., Stats., Register, June, 1994, No. 462; CR 05-033: cr. (12) Register August 2006 No. 608, eff. 9-1-06; corrections in (1), (2), (7), (9) (e) 3., 5., (f), (g) and (11) made under s. 13.92 (4) (b) 7., Stats., Register December 2008 No. 636; CR 20-068: am. (10) Register December 2021 No. 792, eff. 1-1-22; CR 22-043: am. (9) (b) (intro.), 1. to 7., cr. (9) (b) 9. Register May 2023 No. 809, eff. 6-1-23.

DHS 106.03 DHS 106.03 Manner of preparing and submitting claims for reimbursement.

DHS 106.03(1) (1) Format.

DHS 106.03(1)(a) (a) In this subsection, “billing service” means a provider or an entity under contract to a provider which provides electronic media billing or electronic billing transmission for one or more providers.

DHS 106.03(1)(b) (b) A provider shall use claim forms prescribed or furnished by the department, except that a provider may submit claims by electronic media or electronic transmission if the provider or billing service is approved by the department for electronic claims submission. A billing service shall be approved in writing by the department based on the billing service’s ability to consistently meet format and content specifications required for the applicable provider type. The department shall, upon request, provide a written format and the content specifications required for electronic media or electronic transmission billings and shall advise the provider or billing service of procedures required to obtain department approval of electronic billing.