BH ABA For Autism Spectrum Disorders Form

Clinical Review Criteria Related to ABA for ASD Medical Guideline Disclaimer

Property of Health New England. All rights reserved. The treating physician or primary care provider must submit to Health New England the clinical evidence that the patient meets the criteria for the treatment or surgical procedure. Without this documentation and information, Health New England will not be able to properly review the request for prior authorization. The clinical review criteria expressed below reflects how Health New England determines whether certain services or supplies are medically necessary. Health New England established the clinical review criteria based upon a review of currently available clinical information (including clinical outcome studies in the peer-reviewed published medical literature, regulatory status of the technology, evidence-based guidelines of public health and health research agencies, evidence-based guidelines and positions of leading national health professional organizations, views of physicians practicing in relevant clinical areas, and other relevant factors). Health New England expressly reserves the right to revise these conclusions as clinical information changes, and welcomes further relevant information. Each benefit program defines which services are covered. The conclusion that a particular service or supply is medically necessary does not constitute a representation or warranty that this service or supply is covered and/or paid for by Health New England, as some programs exclude coverage for services or supplies that Health New England considers medically necessary. If there is a discrepancy between this guideline and a member's benefits program, the benefits program will govern. In addition, coverage may be mandated by applicable legal requirements of a state, the Federal Government or the Centers for Medicare & Medicaid Services (CMS) for Medicare and Medicaid members. All coding and web site links are accurate at time of publication. Health New England has adopted the herein policy in providing management, administrative and other services to its Health Plan

I. Diagnosis Codes for ASD

A. For the purposes of this Policy, HNE will require the use of the following codes for ABA services to be considered.

ICD 10 Code
Description
F84.0 – F84.9 Autism and related pervasive developmental disorders

Coverage is provided consistent with Chapter 207 of the Acts of 2010 - An Act Relative to Insurance Coverage for Autism in the Commonwealth of Massachusetts.

ABA includes the design, implementation and evaluation of environmental modifications using behavioral stimuli and consequences to produce socially significant improvement in human behavior. It also includes the use of direct observation, measurement and functional analysis of the relationship between environment and behavior.

A Board Certified Behavior Analyst (BCBA) professional conducts behavioral assessments, designs and supervises behavior and analytical interventions and also develops and implements assessments and interventions for members with diagnoses of autism spectrum disorders.

A BCBA may supervise the work of other BCBAs and other ABA Paraprofessionals who implement behavioral analytic interventions.

Policy Title: Applied Behavioral Analysis for Autism Spectrum Disorders
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Policy Number: UM391POL Effective Date: 9/1/2017

Rev 1/5/2023 Habilitative care is provided by professionals and is “necessary to develop, maintain and restore, to the maximum extent practicable, the functioning of an individual” diagnosed with an Autism Spectrum Disorder.

B. To bill for ABA services, the Provider must be contracted and credentialed by HNE, be actively certified as a BCBA by the Behavior Analyst Certification Board (BACB), and have an active Behavior Analyst License.

C. To bill for ABA services delivered by a paraprofessional, the Provider must meet all of the criteria to bill for ABA services and perform ALL of the following for each paraprofessional that he or she supervises:

1. Provide clinical oversight to each paraprofessional

2. Assume ultimate responsibility for ABA services delivered by the paraprofessional

3. Agree not to bill for ABA services delivered by a member of the patient’s family

4. Perform a Criminal Offender Record Information (CORI) check on each paraprofessional

5. Verify that each paraprofessional is a credentialed Registered Behavior Technician (RBT)

6. Inform the member who receives services from a paraprofessional and the member’s caregiver of the paraprofessional status

7. Create and maintain a medical record and ensure that each hour of service is appropriately documented.

   II. Prior Approval (PA) Process

   A. The Functional Behavior Assessment for ASD Prior Authorization Request Form (PARF) is submitted, to which the full report of the diagnostic evaluation that determined that the member has ASD must be attached. The member must have been referred to the requester by a treating provider.

8. Following completion of the above, the ABA for ASD PARF is submitted, to which the report of the Functional Behavior Assessment must be attached.

   III. Criteria for approval

   A. HNE may authorize ABA therapy visits and/or habilitative care visits after a comprehensive diagnostic evaluation by a Neurologist, Pediatric Neurologist, Developmental Pediatrician, Member of Certified Early Intervention Team, Psychologist , Psychiatrist or a Pediatrician certified to use an accepted diagnostic tool, such as the Autism Diagnostic Observation Scale (ADOS), experienced in the diagnosis of ASD and with a referral (as needed) when all of the below are met:

9. The Member has a definitive diagnosis of an ASD from a Neurologist, Pediatric Neurologist, Developmental Pediatrician, Member of Certified Early Intervention Team, Psychologist or Psychiatrist experienced in the diagnosis and treatment of ASD and;

Policy Title: Applied Behavioral Analysis for Autism Spectrum Disorders
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Policy Number: UM391POL Effective Date: 9/1/2017

Rev 1/5/2023

2. From the initial request for ABA through the entire course of treatment, all of the following must be met:
   a. Documentation must support the position that therapy will achieve functional gains beyond those expected as a result of growth and maturation and there is clear evidence that the symptoms of the illness are active, resulting in substantial impairment in daily functioning and;

   b. There is a clear treatment plan, measurable goals and approaches that address the signs and symptoms of the illness. Treatment plans should include: and;

   c. There is no less intensive or more appropriate level of services which can be safely and effectively provided and

   d. ABA services including habilitative services must be provided or supervised by a BCBA or by a licensed provider and;

   e. There are clearly defined, measurable goals for the parent/guardian/caregiver, that are documented in the treatment plan, and tracked in the ongoing clinical progress notes. Parent/guardian/caregiver involvement in treatment is expected to be substantial, as it is critical to the fidelity of the ABA model, as well as for the generalization of treatment goals across settings, and for eventual completion of treatment and;

   f. The Member’s condition can be classified and billed with the codes listed above.

3. For ongoing services concurrent review is required. When requesting services the Provider should submit the Member’s most recent Individualized Educational Plan (IEP) as developed by the local school department or the Individualized Service Plan (ISP) when applicable and the appropriate ABA and Autism Habilitative Services request form. In submitting the IEP, the Provider must seek the parents’ authorization to release that information from the school and not contact the school directly for that release.

4. The amount of hours or units of services authorized shall correspond to the severity and complexity of the member’s condition.

   IV. Required Documentation

   A. All authorization for treatment is based on documentation of medical necessity for specific treatment goals to address specific behavioral targets. The following is a guide to what is expected in individual treatment plans for members with ASD.

   B. Treatment plans must include:

   • Goals that relate to the core deficits of ASD and should be derived from the functional assessment and/or skills-based assessments that occur prior to initiating treatment.

5. Linkage and coordination with other behavioral health and medical providers who are concurrently providing services with the member/parent/guardian’s documented consent and available peer, community, and school based (Individualized Family Service Plan/IEP) providers.

Policy Title: Applied Behavioral Analysis for Autism Spectrum Disorders
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Policy Number: UM391POL Effective Date: 9/1/2017

Rev 1/5/2023

3. Target dates for introduction of and mastery of the treatment goals.

4. Data from baseline levels for each identified goal.

5. Objective definitions of the behaviors targeted for increase or decrease.

6. Measurable data on progress toward the treatment goals.

7. Measurable definitions of the mastery criteria.

8. Parent/care-giver training goals. Any barriers to parent/care-giver participation must be documented.

9. A Transition Plan. If appropriate, the goals of a transition plan may include the level of supports a child needs in order to be successful when moving from one level of care to another, the skills the child is currently being taught to facilitate the transition, and the level of communication between the BCBA or Licensed Mental Health Clinician and any other related allied professionals such as the child’s teacher, speech therapist, occupational therapist, social worker, and or counselor. Transition plans may include several components depending on the child’s situation. A transition plan should be created when:

   a. The child begins treatment.

   b. The child is preparing to transition from a home-based intensive ABA-based program to a lesser level of care.

   c. The child is preparing to transition from a most to least restrictive environment placement.

   d. The child is preparing to transition from a home-based ABA intervention program to a school-based program.

   e. A transition plan should also address how the child will transition into adulthood.

10. Discharge Criteria must include requirements for discharge, discharge date, next level of care, and linkages with other services.

11. Behavioral Intervention Plan should be included if clinically necessary. Behavior plans should include a definition of the behavior, antecedents, consequences, prevention, baseline, and any de-escalation procedures.

12. Individualized steps for the prevention and/or resolution of crisis, (i.e. identification of crisis antecedents and consequences):

    a. Active steps or self-help methods to prevent, de-escalate, or defuse crisis situations.

Policy Title: Applied Behavioral Analysis for Autism Spectrum Disorders
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Policy Number: UM391POL Effective Date: 9/1/2017

Rev 1/5/2023 b. Names and phone numbers of contacts that can assist member in resolving crisis, such as other treatment providers that may assist in the prevention or de-escalation of behaviors, even for those members who do not currently display aberrant behaviors.

13. Supervision must be delivered to paraprofessional or BCABA level staff at the following level:

    a. A minimum of 90 minutes supervision per month is expected for each BCABA or paraprofessional. The maximum hours approved are based on the member’s direct hours, i.e., up to two (2) hours supervision for every 10 hours of direct service. Supervision may be a combination of group, individual, or in vivo modalities.

14. Parent/Guardian management skills that can be generalized to the home. It is required that parent goals and/or parent training is a part of each treatment plan.

    a. Document any assistance provided to caregivers or others to carry out the approved behavior support/maintenance plans.
    b. Provider observation of the caregivers or other plan implementers and the member’s behaviors to assess proper implementation of the behavior support/maintenance plan and interventions made based on those observations.

15. Incremental functional gains should be achieved not only during training sessions but between training sessions as well, demonstrating that the service is affecting clinical gains independent of direct contact with ABA clinicians, that the parents/primary care- takers are learning how to implement the treatment interventions.

16. Further it is expected that providers are continually monitoring a member’s progress in all areas of functioning. The treatment is expected to be modified as the parents/guardians management skills improve, and the member’s deficits are modified.

17. In the Concurrent Review include any updates to the crisis resolution plan outlined in the Initial Treatment Plan. Note any on-site assistance provided in difficult or possibly crisis situations.

18. Treatment Plan updates will be reviewed at a frequency as required by state-specific or account-specific requirements. The Treatment Plan update should reflect any major life changes and the member’s progress in the goals, objectives, and targets identified on the Initial Treatment Plan. In addition, new goals, objectives, and/or target behaviors should be added as indicated. Include how progress related towards transition or discharge plan. Graphs should be included to provide visual documentation of the member’s progress. Treatment planning is an expected part of member care. A minimum of one (1) hour treatment planning per month is required, up to one (1) hour for every 10 hours of direct service.

    a. Submission of the treatment plan is expected at least 10 days prior to the next review date. Treatment plan updates that are not sent by the end of the authorization may result in claims being denied due to lack of an active authorization on file.

19. Documentation of the following information is always important, and is essential when a member has made slow or no progress in the acquisition, maintenance and generalization of target skills.

Policy Title: Applied Behavioral Analysis for Autism Spectrum Disorders
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Policy Number: UM391POL Effective Date: 9/1/2017

Rev 1/5/2023

a. Assessments completed as frequently as necessary to determine the relationship between environmental events and behaviors.

b. Behavior support/maintenance plan noting changes based on ongoing assessments.

c. Observe the member’s behaviors to determine effectiveness of the behavior support/maintenance plan and, if not effective, note changes to the plan.

V. What is Not Covered

A. The following do not meet the medical necessity guidelines, and therefore coverage will not be authorized:

1. Therapy when measurable functional improvement is not expected or progress has plateaued.

2. Services that are primarily educational in nature.

3. Services encountered in school settings (e.g. psychosocial speech delay, behavioral problems, attention disorders, conceptual handicap, mental retardation, developmental delays). “Services related to autism spectrum disorder provided by school personnel pursuant to an individual education program are not subject to reimbursement”

4. Services that are not medically necessary.

5. Treatment whose purpose is vocationally or recreationally based.

6. Treatment that is investigational or unproven, including, but not limited to facilitated communication, Auditory Integration Therapy (AIT), Holding Therapy, Higashi (Daily Life Therapy).

7. Services that are provided for developmental purposes. For the purposes of this guideline the term developmental is defined as “a delay in the expected achievement of age- appropriate fine motor, gross motor, social, or language milestones that is not caused by an underlying medical illness or condition.”

8. Cognitive Therapy or retraining.

9. Personal training, life coaching

10. Custodial Care. For the purposes of this guideline custodial care is “care, administered by trained personnel, to whom the member shows no beneficial response despite extended and/or repeated treatment trials.”

    Policy Cross-Reference Section:

Policy Title: Applied Behavioral Analysis for Autism Spectrum Disorders
Page: 7 of 7

Policy Number: UM391POL Effective Date: 9/1/2017

Rev 1/5/2023 UM180POL Prior Approval

Source/Citation Section:

NCQA Standard, UM 2, Clinical Criteria for Utilization Management Decisions, Element A

Chapter 207 of the Acts of 2010 - An Act Relative to Insurance Coverage for Autism

Journal of Developmental and Behavioral Pediatrics, 2010 May: 31(4):267-75. Levy SE, Giarelli E, Lee LC, Schieve LA, Kirby RS, Cunniff C, Nicholas J, Reaven J, Rice CE., Autism spectrum disorder and co-occurring developmental, psychiatric, and medical conditions among children in multiple populations of the United States.

Centers for Disease Control and Prevention, Autism Spectrum Disorders (ASDs), Screening & Diagnosis/Treatment/Research, http://www.cdc.gov/ncbddd/autism/index.html, last reviewed 4/6/2021.

PEDIATRICS Vol. 120 No. 5 November 2007, pp. 1162-1182 (doi:10.1542/peds.2007-2362) Scott M. Myers, MD, Chris Plauché Johnson, MD, Med. Management of Children With Autism Spectrum Disorders, http://pediatrics.aappublications.org/content/120/5/1162 accessed 4/23/2021.

Council of Autism Service Providers, Applied Behavioral Analysis Treatment of Autism Disorder, Copyright 2014, 2020 CASP Ver. 2.0 https://casproviders.org/wp-content/uploads/2020/03/ABA-ASD- Practice-Guidelines.pdf

Attachment Section:

Behavioral Health Level of Care Prior Approval Request Form Behavioral Health LOC Addendum Request Form