Arizona Department of Health Services

Transcription

1 Arizona Department of Health Services Application Tracking System (ATS) Version 4.0.0

2 SYSTEM OVERVIEW... 3 ATS SCREEN OVERVIEW... 4 STANDARD TOOLBAR ICON DEFINITIONS AND HOT KEYS...5 FIELD DEFINITIONS...6 HOW TO USE THE ATS SYSTEM HOW TO LOCATE A RECORD IN THE APPLICATION TRACKING SYSTEM...11 HOW TO ENTER A RECORD IN THE APPLICATION TRACKING SYSTEM...12 HOW TO CLOSE A RECORD IN THE APPLICATION TRACKING SYSTEM...14 HOW TO PROCESS AND INSUFFICIENT APPLICATION IN THE APPLICATION TRACKING SYSTEM...15 HOW TO UPDATE AN ACTIVE (INSUFFICIENT) RECORD IN THE APPLICATION TRACKING SYSTEM...17 HOW TO RE-ISSUE A CERTIFICATE...19 COMMUNICATION LOG APPLICATION HISTORY SCREEN PRINTED REPORTS APPLICATION AUDIT REPORT...25 Application Audit Report Screenshot OPEN APPLICATION REPORT...27 Open Application Report Screenshot VAULT PRINTING REPORT (OVR EBC ONLY)...29 Vault Printing Report Screenshot UNRESOLVED CALLS REPORT...31 CUSTOMER CALL LOG REPORT...34 Customer Call Log Report Screenshot SURCHARGE REPORT...36 Surcharge Report Screenshot COMPLETED CERTIFICATE SALES REPORT...38 Completed Certificate Sales Report Screenshot CERTIFICATE ENTRY REPORT...40 Certificate Entry Report Screenshot Application Tracking System 2 December 06, 2006

3 SYSTEM OVERVIEW ARIZONA DEPARTMENT OF HEALTH SERVICES The Application Tracking System (ATS) is used by the State and County offices to record applications received for certified and non-certified copies of vital events. The system tracks the application from the time it is received in an office until it is issued and completed. The ATS makes it possible to respond to customer inquiries about the status of their application in a more accurate and efficient manner. Customer communications are to be recorded in the ATS record and are forwarded to a Customer Service Representative (CSR) for follow-up with the customer if required. The ATS links to the Electronic Birth Certificate (EBC) and the Electronic Death Certificate (EDC) registry systems. This linkage allows registrant information to automatically populate specific fields in the ATS and reduce keystrokes and potential entry errors. Please note: a separate application screen is used for each module in the ATS system. The ATS also provides a variety of administrative and operational reports and is used to calculate the monthly surcharge payments from the County office locations. These reports, along with all other processes, are detailed in the following pages of this manual. Application Tracking System 3 December 06, 2006

4 ATS SCREEN OVERVIEW Actions can be completed using the menu bar (text of menu names) or by the standard toolbar (icons/buttons) Application Tracking System 4 December 06, 2006

5 Standard Toolbar Icon Definitions and Hot Keys Birth Certificate Application (Ctrl + B) Used to enter, search, and close out applications and insufficients dealing with birth applications Death Certificate Application (Ctrl + D) Used to enter, search, and close out applications and insufficients dealing with death applications New (Clear) Application (Ctrl + N) Clears existing application from the screen so a new application/search may be completed Save Current Application (Ctrl + A) Saves any changes made to the application Print Application/ATS Screen (Alt + A) Prints a copy of the ATS screen for further research or processing Print Certificate on Local Printer (Alt + C) Prints a copy of the certificate(s) on the printer assigned to the workstation Send (print) Application and Certificate to Vault (Alt + V) Prints a copy of the application and certificate at the printers in the vault (EBC Only) Open Application (Ctrl + O) Searches for any existing (new or old) application Find Certificate (Ctrl + F) Searches either the EBC or EDC systems for certificates matching information on the ATS screen VitalChek Checks expedited orders (VitalChek use ONLY) No Record Prints a Certificate of No Birth/Death Record once a thorough search has been completed Audit This module is not active The ALT & CTRL keys are located on the keyboard Application Tracking System 5 December 06, 2006

6 Field Definitions ARIZONA DEPARTMENT OF HEALTH SERVICES Birth Certificate Section (Birth) / Application Information Section (Death) o Includes all vital information needed for a manual/electronic search. These fields will auto-populate if linked with the EBC or EDC systems Application Information Section o TRX # - unique tracking numbers for applications once the money has been collected County Offices can determine individualized transaction number schema OVR numbering schema is: the state file number (excluding the year) or 6- digit combo (one step station number transaction number) Note: The 6-digit combo is created for the transaction number when a registrant s record is not in EBC or EDC (i.e. pre-1950 birth, pre-1970 death, delayed births, foreign born, etc.) o Source the office area that entered the application / how the certificate was issued Mail will allow entry of the applicant name and address information Counter will allow entry of the applicant name (same day service only) VitalChek will allow entry of the applicant name and address information (VitalChek employees only) o Application Type (select from the drop down or begin to type) Birth Adoption Birth EBC Birth Long Copy of ACK. of PAT. Corrections Delayed Birth Father s Registry Filing Paternity Foreign Born Foundling Open Birth Death Application Tracking System 6 December 06, 2006

7 Corrections Death Certificate Fetal Death Open Death Still Birth o Fee see Operations Manual: Fees Section The exact dollar amount being collected must be entered o Method of payment form of payment processed Cash Charge Check Credit/Debit Money Check (Cashier s Check) Money Order Unclaimed Monies OVR use only o Number of Copies - number of copies requested This must include the Government Use Only Death Certificates included with the application that are not included in the fee (i.e. SSA, VA) o TRX Date date transaction took place Date insufficient was entered or the date the application was accepted and the money was collected o Address mail orders only If order is being mailed out of the country remember to change to Foreign Address o Relationship (select from drop down or begin to type) Attorney Government Agency Guardian Other Parent Relative Application Tracking System 7 December 06, 2006

8 Research Self Social Service Agency Spouse o Telephone if available The telephone number assists greatly with customer service and should always be entered if listed on the application (i.e. if item is returned from USPS we are able to contact the customer) o U.S. Claim & Type (Death Only) If Government Use Only certificates are issued, the government agency must be specified (i.e. SSA, VA) Office Use Only Section o SFN state file number This field will auto-populate when linked with the EBC or EDC systems. The State File Number will need to be manually entered when application is not linked to a registry system (i.e. pre-1950 birth, pre-1970 death, delayed births, foreign born, etc.) o Status Active application is open Found application is closed and a certificate was found (there is a SFN) Not Found application is closed and a certificate was not found (there is not a SFN) o Serial No Serial numbers of certified paper issued to that specific application o Date Issued Date certificates were printed o Re-Issue No Serial numbers of certified paper re-issued to that specific application o Date Re-Issued Date certificates were re-printed Application Status Section Application Tracking System 8 December 06, 2006

9 o Application Status (select from drop down or begin typing) CASHIERING the application s method of payment is being processed. This Application Status will keep the application open and the Status will be active COMPLETED the application meets all requirements and is ready to be printed (EBC applications only) or has been printed (long form certificates). This Application Status will close the application and the Status will be found or not found CORRECTIONS the application is being processed by the Birth Registry Corrections Section (OVR), or staff assigned to process birth corrections (County Offices). This Application Status will keep the application open and the Status will be active DEATH UNIT the application needs review and/or processing by the Death Registry Section (OVR) or staff assigned to death registration (County Offices). This Application Status will keep the application open and the Status will be active INSUFFICIENT the application is missing necessary documentation (i.e. supporting documentation, applicant identification, or fees). This Application Status will keep the application open and the Status will be active PRINTED the application has been printed in the vault or at the local printer (EBC applications only). This Application Status will close the application and the Status will be found or not found RETURNED MAIL the birth or death certificate was received from the post office as undeliverable and is now filed in return mail. This Application Status will keep the application closed and the Status will remain found or not found RETURNED MAIL INS the insufficient letter was received from the post office as undeliverable and is now filed in return mail. This Application Status will keep the application open and the Status will be active VAULT (OVR Only) the application is sent to the vault staff for further processing or further research (i.e. certificates of birth prior to 1950, death certificate requests, and records that can not be located in the EBC or EDC Application Tracking System 9 December 06, 2006

10 systems). This Application Status will keep the application open and the Status will be active o Update Insufficient Used to detail an insufficient request. The button will remain inactive until the o View History Application Status Insufficient is selected and saved. See How to Process an Insufficient Application Used to show entire history of application from start to finish as well as any customer contact that took place. See Communication Log for further description Application Tracking System 10 December 06, 2006

11 HOW TO USE THE ATS SYSTEM Prior to processing a request in the ATS system, you must first search and determine if there is an existing open application by the applicant. This would occur if the applicant has previously sent in a request that was determined to be insufficient and has not submitted a corrected application. If there is an open application, you will use the existing open application in the ATS rather than creating a new one. Note: You must search by (1) Name and Date of Event and (2) State File Number before entering a new application How to Locate a Record in the Application Tracking System A record may be located in the ATS in three methods: Registrant Name and Date of event o Enter the first two or three letters of the first and last name and the date of birth/death on the ATS screen. o Open Application State File Number Note: Always search with and without the date of birth/death to verify the current application record is open o EBC System (births 1950 to present) Transfer the record from EBC to ATS by clicking on the Send to ATS button or by using the hot key ALT + A Open Application o EDC System (deaths 1970 to present) TRX# and TRX Date Transfer the record from EDC to ATS by clicking on the Return to ATS button or by using the hot key ALT + D Open Application o Enter the TRX# and corresponding date o Open Application Application Tracking System 11 December 06, 2006

12 How to Enter a Record in the Application Tracking System EBC or EDC System o Look up registrant s information in EBC/EDC (enter appropriate fields to search the registry system) EBC search for births available in EBC for years 1950 to present EDC search for deaths available in EDC for years 1970 to present o Transfer the record information to ATS o If a record is not found in the EBC/EDC system, the certificate information (top portion) must be manually entered In the ATS o Enter the following fields: TRX # (only if method of payment has been processed) Source Application Type Fee Method of Payment Number of Copies TRX Date Applicant s Name Address (mail orders only) Relationship Telephone Application Status U.S. Claim & Type (Death Only) o Save the Application o Print select the correct print type County Offices EBC and As Is Requests print the certificate(s) on the local printer Death Requests print the application for manual copying State OVR Counter EBC and As Is Requests print the certificate(s) on the local printer Application Tracking System 12 December 06, 2006

13 Birth Long and Death Requests print the application and route to the vault for further processing State OVR Mail, Birth Registry, Death Registry EBC Requests print the application and certificate to the vault Birth Long, Death, Corrections Requests print the application and route to the vault or correct unit for further processing Note: the ATS screen will clear after the certificate(s) are printed (EBC Only). To clear the screen after entering a non-ebc, simply click or hot key new An application that is complete will automatically set the Status in the Office Use Only Section on the ATS screen to FOUND Application Tracking System 13 December 06, 2006

14 How to Close a Record in the Application Tracking System After the application has been processed and printed, the record must be closed in the ATS; however, the serial number(s) of the bank note paper used to issue the certificate(s) must be entered into the ATS prior to closing the application record. Locate and open the application o See How to Locate a Record in the Application Tracking System Office Use Only Section o State File Number if it is not already shown, the SFN must be entered. If there is not SFN (i.e. No Record was issued) select the Not Found status o Serial Numbers enter the serial number of the bank note paper A dash (-) is entered in place of the word through and a comma (,) is entered in place of a break in sequence or the word and If the serial numbers are in sequence they should be entered like this: G If the serial numbers are out of sequence but in the same ream they should be entered like this: G , 69, 75 If the serial numbers are partially in sequence and partially out of sequence they should be entered like this: G , If a new ream is started and not in sequential order they should be entered like this: G , G o Date Issued enter the date the certificates were printed/issued Application Status o Change the status to Complete Save (CTRL + S) Application Tracking System 14 December 06, 2006

15 How to Process and Insufficient Application in the Application Tracking System Additional data entry is required for applications saved with the Application Status of Insufficient. The ATS allows the user to select insufficient reasons from a list of possible insufficient reasons or enter specific directions in a free form box. The insufficient letter to the applicant must be generated from the ATS. The fee information is calculated in the ATS based on the application type entered. After the application has been Saved o Click on the Update Insufficient button located in the Application Status section The Update Insufficient screen will open Application Tracking System 15 December 06, 2006

16 In the Update Insufficient Status screen o Select from the Insufficient Status List on the right side of the screen. The items selected will be moved to the Current Insufficient Status on the left side of the screen and will appear on the insufficient letter Items that apply highlight the selection and double click to move the item to the left side of the screen or click on the Add Status button (ALT + A) at the bottom of the screen Items moved in error can be removed by clicking on the box in the Current Insufficient Status on the left side of the screen and then click on the Delete button (ALT + D) at the bottom of the screen Note: Any items on the left side that are checked will be removed once the status is saved. Once an item is deleted, it is permanently removed from the history Other if the item is not found on the list, go to the link Other and type the comment or insufficiency and click on Add Status (ALT + A) to move the comment to the left side of the screen o Save click on the Save button (ALT + S) A pop up box will appear and report the Data Saved Click on OK or hit enter o Print Letter click on the Print Letter button (ALT + P) at the bottom of the screen Attach the application, supporting documents, and fee submitted to the Insufficient Letter and mail to applicant o Close click on the Close button (ALT + C) An application that is insufficient will automatically set the Status in the Office Use Only Section on the ATS screen ACTIVE Application Tracking System 16 December 06, 2006

17 How to Update an Active (Insufficient) Record in the Application Tracking System Applications received to correct a previously submitted insufficient application are entered into the original record in the ATS. Locate and open the application o See How to Locate a Record in the Application Tracking System o Click on the Update Insufficient button located in the Application Status section The Update Insufficient screen will open Application Tracking System 17 December 06, 2006

18 o Click on each item in the Current Insufficient Status that has been submitted to correc the insufficiency Note: When updating an insufficient never delete the current status. Once an item is deleted, it is permanently removed from the history o Save click on the Save button (ALT + S) A pop up box will appear and report the Data Saved Click on OK or hit enter If the application does not complete the insufficient, the record will remain in the Insufficient Status Module of the ATS. Further entry in the Update Insufficient Status is required and a new insufficient letter will be sent to the application. See How to Process and Insufficient Application in the Application Tracking System Go to the next step if the application meets all requirements o Close click on the Close button (ALT + C) The insufficient window will close and the ATS screen will be visible again o Update/Verify the following information on the ATS Screen: Applicant Information Section TRX # and current date enter the date application is processed and Fee fee is collected Payment Method Number of Copies Applicant Address Telephone Number Application Status (select from drop down) Office Use Only Section State File Number enter the state file number of the registrant if it is not already listed o Save the changes to the application o Print to the appropriate printer see How to Enter a Record in the Application Tracking System for a detailed description Application Tracking System 18 December 06, 2006

19 How to Re-Issue a Certificate Circumstances sometimes require a certificate to be re-issued at no charge to the customer. Always include comments in the ATS Communication Log of the application record detailing why the certificates were re-issued and that the old copies were voided. Locate and open the application o See How to Locate a Record in the Application Tracking System o Change the Application Status from Printed to Complete o Save the application o Print to the appropriate printer see How to Enter a Record in the Application Tracking System for a detailed description Close the application record in the ATS o See How to Close a Record in the Application Tracking System Enter the new serial numbers of the bank not paper and re-issue date into the Re-Issue fields of the Office Use Only section. Note: Do not remove the original serial numbers or the original date issued Document in the Communication Log an explanation for the re-issue Application Tracking System 19 December 06, 2006

20 COMMUNICATION LOG The ATS communication log makes it possible to respond to customer inquiries about the status of their application in a more accurate and efficient manner. All customer communications are to be recorded in the ATS record. All communication with the customer will be visible to any user accessing the record and identify the office, CSR, and date of entry. The Communication Log will always open when an application record is viewed in the ATS system. If the Communication Log was closed or does not open; click on Communication Log in the menu bar and then Show Comm Log. Application Tracking System 20 December 06, 2006

21 Enter a communication ARIZONA DEPARTMENT OF HEALTH SERVICES o Click in the dialog box and type comments o Save click Save (ALT + S) o Close the Communication Log click Exit (ALT + E) View the Communication Log o Open the Communication Log and all comments will appear in the grey area from top to bottom newest to oldest o Comments may also be viewed in the Application History Screen. See Application History Screen for further detail Print the Communication Log o Click on Print Log button or hit enter on the keyboard Application Tracking System 21 December 06, 2006

22 APPLICATION HISTORY SCREEN The Application History Screen gives a general overview of every aspect of the application. This screen has three sections: Application Status, Comment Log, and Call Resolution. Application Status Section shows every Application Status saved with the application and the date the status was removed/changed o When the application status appears as Insufficient To view the status of the insufficient click on View Insufficient (ALT + V) Red the status is ACTIVE and the requirements have not been satisfied (insufficient) Application Tracking System 22 December 06, 2006

23 Black the status is FOUND and the requirements have been submitted (complete) o To access information about the application Comment Log Section Click on the Application Info button (ALT + A) o Comments in the communication log should only be viewed in this area. See Communication Log to enter comments Call Resolution Section (use only to save an Unresolved/Forwarded call) o Click on the Enter New Comments box (a comment must be entered in order to select a resolution) o Document communication with customer o Change the status in the Resolution field (choose from drop down) Call Resolved customer was satisfied after speaking with a CSR. This resolution will remove a call from the Unresolved Call Log Forward call is forwarded to the person who handled the original application or designated person for further research. This resolution will keep the call in the Unresolved Call Log Unresolved call is assigned to designated person to research and follow up o Save (ALT + S) with customer. This resolution will add the call to the Unresolved Call Log Application Tracking System 23 December 06, 2006

24 PRINTED REPORTS The ATS provides both administrative and operations reports. These reports can be viewed or printed from the ATS. The following reports are generated in the ATS: Application Audit Open Applications Vault Printing Log Unresolved Calls Customer Call Log Surcharge Report Completed Certificate Sales Report Certificate Entry Report County Invoice (County ATS Application Only) Funeral Home Invoice (County ATS Application Only) Funeral Home Invoice Report (County ATS Application Only) Application Tracking System 24 December 06, 2006

25 Application Audit Report The Application Audit Report displays all applications with transactions (changes made to a record). This report is generated for a selected user within a specified date range. A transaction is created anytime a field is changed on an application. This report can be sorted by transaction number, user name and modification date. The Application Audit Report is accessed from the menu bar birth and death modules o Click on Reports o Click on Application Audit Report The Application Audit Report Set Up screen will open Select Date range User Sort Generate o Fields displayed on the report Transaction Number Transaction Date Office Location Number User Name Modification Date Field Name Previous Value New value Application Tracking System 25 December 06, 2006

26 Application Audit Report Screenshot Application Tracking System 26 December 06, 2006

27 Open Application Report The Open Application Report displays application information for all open, active applications entered within a specified date range for a selected office or for all offices. The report is sorted by the transaction date and then by the transaction number. The Open Application Report is accessed from the menu bar birth and death modules o Click on Reports o Click on Open Application Report The Open Application Report screen will open Select Date range User Sort Run o Fields displayed on the report Transaction Date Transaction Number Entered by User Name Registrant Name Application Name Total Number of Open Applications Application Tracking System 27 December 06, 2006

28 Open Application Report Screenshot Application Tracking System 28 December 06, 2006

29 Vault Printing Report (OVR EBC Only) The Vault Printing Log Report displays application printing information for all EBC registrations printed within a specified date range for a specified user. The report is sorted by the state file number. The Vault Printing Log Report is accessed from the menu bar birth and death modules o Click on Reports o Click on Vault Printing Log Report The Vault Printing Log Report screen will open Select Date range Run o Fields displayed on the report State File Number Register Number Requested by User Name Printed on Date Number of Copies Printed by User Name Total Applications Total Copies of Certificates Printed Application Tracking System 29 December 06, 2006

30 Vault Printing Report Screenshot Application Tracking System 30 December 06, 2006

31 Unresolved Calls Report The Unresolved Calls Report lists applications that contain a comment in the Application History Screen, Comment Log Section, and are not in a Resolved status in the Resolution Field. This report provides a listing of all calls requiring follow-up from a CSR. Unit Managers/Supervisors are required to review this report daily to ensure all calls have been responded to. The Unresolved Calls Report is accessed from the menu bar birth and death modules o Click on Reports o Click on Unresolved Calls The Unresolved Calls screen will open Click on the item you want to resolve Application Tracking System 31 December 06, 2006

32 o The Comment Log will contain notes of any communication with the application, who the applicant spoke with and the date and time of entry o To view the applicant information Click on the Application Info button located in the center of the screen o To enter a new communication for the application Click in the Enter New Comments box located in the Call Resolution section o To forward a call (a comment must be entered in order to select a resolution) Select where the call will be forwarded from the Forward drop down menu located in the Call Resolution section Select a resolution from the Resolution drop down menu located in the Call Resolution section Forward call is forwarded to the person who handled the original application or designated person for further research. This resolution will keep the call in the Unresolved Call Log Unresolved call is assigned to designated person to research and Save (ALT + S) follow up with customer. This resolution will add/keep the call in the Unresolved Call Log The call will appear in the Forward to User column and identify new recipient of call o To open a call that has been forwarded Click and highlight the unresolved call Click on the Application Info button located in the center of the screen Enter New Comments Click in the Enter New Comments box located in the Call Resolution section Select a resolution from the Resolution drop down menu located in the Call Resolution section Call Resolved customer was satisfied after speaking with a CSR. This resolution will remove a call from the Unresolved Call Log Application Tracking System 32 December 06, 2006

33 Forward call is forwarded to the person who handled the original application or designated person for further research. This resolution will keep the call in the Unresolved Call Log Unresolved call is assigned to designated person to research and Save (ALT + S) follow up with customer. This resolution will add/keep the call in the Unresolved Call Log Application Tracking System 33 December 06, 2006

34 Customer Call Log Report The Customer Call Log Report displays information about the customer calls entered in the ATS as an Unresolved Call for the location the user is assigned to. The report is sorted by the date the entry was made in descending order. The Customer Call Log Report is accessed from the menu bar birth and death modules o Click on Reports o Click on Customer Call Log Report The Customer Call Log Report screen will open Select Date range Run o Fields displayed on report Call Status (Open/Closed) Response Code Transaction Number Entered Date User Entering Call Forward Date Forwarded To Resolved Date Resolved By Total Calls on the Report Application Tracking System 34 December 06, 2006

35 Customer Call Log Report Screenshot Application Tracking System 35 December 06, 2006

36 Surcharge Report The Surcharge Report displays the number of birth and death certificates issued (application status of COMPLETE and the certificate feels collected). The office location contains only records closed by that specific office and the date is linked to the Closed Date table in the database. For example, and application opened at a County office and closed by State OVR will only appear in the State OVR totals. Surcharges are calculated in two ways. Birth surcharges are calculated by the quantity entered and exclude all $0.00 applications. The calculation to report the number of death certificates is: the dollar amount collected divided by 10. This calculation eliminates the copies issued to government agencies where no surcharge fee was collected. The Surcharge Report is accessed from the menu bar birth and death modules o Click on Reports o Click on Surcharge Report The Surcharge Report screen will open Select Date range Office location Run o Fields displayed Type (Birth/Death) Remittance Form Source Number of Certificates Amount Total Number of Certificates (Birth/Death) Total Amount (Birth/Death) Grand Totals Application Tracking System 36 December 06, 2006