ASPEN CENTRAL OFFICE TRAINING GUIDE FOR NH CERTIFICATION ENTRY

Transcription

1 ASPEN CENTRAL OFFICE TRAINING GUIDE FOR NH CERTIFICATION ENTRY QTSO Help Desk (888) Updated 02/11/2002

2 This manual is designed to take you through, step by step, the certification process. Using ASPEN Central Office (ACO), certification kits can be created and uploaded into the OSCAR/ODIE system. This will relieve the dual data entry of surveys. Your Regional Office contact can clarify your responsibility as a state in the certification process. This manual is separated into various chapters we will walk you through in numeric order beginning with Entering Facility Information. There will often be several ways to access menu items (e.g. right click on a name, or select from the tool bar menu). To make this guide more user friendly, we documented only one way to perform each of these tasks. This program involves several steps. If you start at the beginning of this document and follow the instructions step by step, you will have a good understanding of the program when you are finished. In addition, we have included many screen prints to help in understanding this program. This training guide includes some cross-references to the ASPEN Central Office Reference Guide, which provides alternative methods of access and detailed information about ACO functions. Cross-references to the ACO Reference Guide appear as follows: ACO, Chapter 3: Facilities, Miscellaneous Facility Information This cross-reference directs you to the ACO Reference Guide, chapter 3 entitled Facilities specifically to the section entitled Miscellaneous Facility Information. QTSO Help Desk (888) Updated 02/11/2002

3 Table of Contents Entering Facility Information Entering a Certification Kit Recovering ODIE NH Data Merging ODIE History Surveys Tracking Certification Kits Tracking ODIE Upload Transactions Deleting Certification Kits Quick References QTSO Help Desk (888) Updated 02/11/2002

4 Entering Facility Information In this chapter you will learn how to create a Nursing Home provider using ASPEN. All MDS and OASIS facilities must be created using ASPEN Central Office (ACO) or ASPEN Regional Office (ARO). These products create the login ID s and passwords for the MDS/OASIS facilities to use to submit assessments. 1) To create the new facility, select the Facility icon on the main ACO toolbar (see below). QTSO Help Desk (888) Updated 02/11/2002

5 2) The Define New Facility window appears (see below). Enter the information as appropriate. The yellow fields are required fields. Enter as much information as you can. Notice with this release, the Working Name and Legal Name have switched places. Note: You do not need to have the provider (MEDICARE) ID number at the time of creating a new facility. Once the facility information has been saved, you cannot change the State Fac ID. ACO, Chapter 3: Facilities, Facility Definition QTSO Help Desk (888) Updated 02/11/2002

6 3) Select the Buildings/Wings tab. The following screen appears. ACO, Chapter 3: Facilities, Buildings/Wings QTSO Help Desk (888) Updated 02/11/2002

7 4) Select the New button. The following Define New Building window appears. 5) Enter the appropriate information. The yellow fields are required. The Licensed Only building box is for State Licensed only buildings/wings. QTSO Help Desk (888) Updated 02/11/2002

8 6) Select OK when you have finished entering the information. You are returned to the Buildings/Wings tab. Notice the new building is displayed in blue. ASPEN displays buildings/wings in different colors on the Buildings/Wings tab. White means the building/wing is open with no effective date. Blue means the building/wing is open and has an effective date. Grey means the building/wing is closed. Green means the building/wing is state licensure only. Below is an example of how these are displayed on the Buildings/Wings tab. QTSO Help Desk (888) Updated 02/11/2002

9 7) Select OK. The Create Facility Login window below is displayed. Change the Login ID if you would like. After you select OK, you will not be able to modify the Login ID. 8) Select OK. The Create Facility Login window closes. Your facility is displayed in the tree view (see below). QTSO Help Desk (888) Updated 02/11/2002

10 Entering a Certification Kit In this chapter, you will learn how to create and upload a Nursing Home certification kit using ASPEN. This will relieve the dual data entry of the surveys that is currently taking place with the ASPEN and OSCAR/ODIE systems. 1) Right click on the facility name. The following popup menu appears: 2) Select Create Certification from the popup menu. The Certification window appears with the Certification & Surveys page displayed (see example on the following page). The TrackID and Category fields are automatically assigned to the certification kit. In the Status field, 01 Open is selected by default. The State office can manually check the Release for HCFA Review check box or it will automatically be checked with any ODIE upload transaction. When the Release for HCFA Review box is checked, the certification kit will be included in the Tracking-Certifications window. The red check mark on the tabs of the Transmittal (HCFA-1539), Application (HCFA-671) and Census (HCFA-672) pages of a new certification kit indicate that these forms are not ready for transmittal to ODIE. HCFA 1539, HCFA 671 and HCFA 672 edits are being applied as you complete the forms. Once you supply all required information and exit the form, the check marks will change to green. ASPEN will advise you of missing information whenever you exit an incomplete form. You can temporarily override these messages while working in the kit. The certification kit cannot be transmitted to ODIE until all required information has been provided and the forms completed. QTSO Help Desk (888) Updated 02/11/2002

11 ACO, Chapter 4: Certification, Creating Certification Kits and Specifying Certification Properties 3) To create and manage certification surveys, scroll to the Survey List section in the middle of the Certification & Surveys window. See the example on the following page where the survey list pointed out by arrows. QTSO Help Desk (888) Updated 02/11/2002

12 ACO, Chapter 4: Certification, Creating and Managing Surveys in Certification Kits Here is a description of the buttons located in the Survey List section: The New button allows you to create new surveys. The Update button allows you to update a survey that already has been defined. The Remove button will send the survey you selected to the Recycle Bin. The Citations Mgr button takes you to the Citation Manager window for a specified survey. The Survey Forms button allows you to print or view the forms for the specified survey. The Update 670 button allows you to enter the 670 hours for the survey. The Create Revisit button allows you to create a revisit survey for a specified survey. Note: The options listed above are also available by right clicking on a survey event within the Survey List section. You may also double click within the first column (which is not labeled) in the Survey list section to receive the popup menu. QTSO Help Desk (888) Updated 02/11/2002

13 4) Select the New button. The Initial Survey Type window appears (see below). 5) Select the radio button beside Health Survey. The radio button beside Health Survey will become filled in. Select OK. 6) The Create Health Survey window below appears. Fill out the appropriate information. ACO, Chapter 5: Surveys and Citations, Creating Surveys QTSO Help Desk (888) Updated 02/11/2002

14 7) Select OK. The Survey window appears asking if you want to proceed to the Citation Manager. Select No. 8) Select the New button. The Initial Survey Type window appears with LSC Survey selected since we already defined a Health survey (see below). 9) Select OK on the Initial Survey Type window. QTSO Help Desk (888) Updated 02/11/2002

15 10) The Create LSC Survey window below appears. Fill out the appropriate information. ACO, Chapter 5: Surveys and Citations, Creating Surveys 11) Select OK. The Survey window appears asking if you want to proceed to the Citation Manager. Select No. QTSO Help Desk (888) Updated 02/11/2002

16 12) Select Done on the Certification window. The Certification window closes saving the certification information and returning to the main ACO window. 13) We want to export the surveys to ASE. Place a diskette in your A: drive, and then locate the surveys you want to export to ASE. Left click on the surveys and drag and drop them one at a time to the Export icon. See screen shot below. QTSO Help Desk (888) Updated 02/11/2002

17 14) The following screen appears. ACO, Chapter 6: Survey Teams and Survey Transfer, Exporting Surveys and Facilities 15) Select OK. The surveys are transferred onto the diskette. The following message will appear when the transfer has been successful. 16) To enter information in ASE, consult the ASPEN Survey Explorer Training Guide for NH Certification Entry. Start at Chapter 3 Importing a Survey. QTSO Help Desk (888) Updated 02/11/2002

18 17) Since we have cited tag(s) on our surveys using ASE, we will import the surveys into ACO. From the main ACO toolbar, select the Import button (see below). QTSO Help Desk (888) Updated 02/11/2002

19 18) The following Import window appears. Notice the Import window defaults to Import Type of Surveys and Import from your A: drive. Select OK to import the survey from a diskette. ACO, Chapter 6: Survey Teams and Survey Transfer, Importing Surveys and Facilities 19) The Select Surveys to Import window appears (see below). QTSO Help Desk (888) Updated 02/11/2002

20 20) Highlight the survey(s) you want to import if it is not already highlighted and select OK. The system will flash messages as it is going through the import process. The following window appears. Since we entered the 1539 information in ASE and there is already a survey shell in ACO, it is asking if we want to use the HCFA 1539 (C&T) information we entered into ASE. 21) Select Yes. The following message box will appear when the transfer is complete. QTSO Help Desk (888) Updated 02/11/2002

21 22) Select OK. You can now expand the tree view out to show the surveys you just imported (see below). 23) Right-click on the Initial Certification. The popup menu below is displayed. QTSO Help Desk (888) Updated 02/11/2002

22 24) Select Certification Kit. The Certification window below appears. Notice the certification information from the survey you imported is now displayed. (See the information pointed out by arrows below) Note: Don t forget to add the Administrator Signoff (X6) date in the Survey List section and the Office Hours on the HCFA 670 form. 25) If an IDR was requested on a tag, select the 02-Requested option from the IDR Status field in the Citation List. If 02-Requested is listed for a tag, that tag will not be uploaded to the ODIE system. QTSO Help Desk (888) Updated 02/11/2002

23 26) If the Health Standard Survey was a staggered survey, select the Staggered Survey Status field. The following drop down listing appears. 27) Select Yes. The Day and Time columns are now activated. Select the Day and Time from the drop down menus. QTSO Help Desk (888) Updated 02/11/2002

24 28) If an Informal Dispute Resolution was requested or completed, enter the dates in the IDR Req Date or IDR Comp Date fields. QTSO Help Desk (888) Updated 02/11/2002

25 29) Select the LSC 2786 (K9) tab in the Survey List section. Enter the Comp Status field from the drop down listing. If you select A-In Compliance, you will need to select what the compliance was based on A1-A4. See example of the tab below. Note: By right clicking in the LSC 2786 (K9) tab, you will have the options to Insert Existing Building and/or to Remove Building. QTSO Help Desk (888) Updated 02/11/2002

26 28) Select the Transmittal (HCFA-1539) tab. For category 10 NF providers (ASPEN Facility Type 024), some fields are enabled (Ex. Original Date of Participation L24) or disabled (Ex. Intermediary/Carrier No. L31) in ACO since the state would actually be doing the entry and approval of those fields. Enter Part I data. Part I is pointed to by arrows below. You can tab through this screen or use the scroll bar located on the right side of the window to navigate through the form. ACO, Chapter 4: Certification, Entering 1539 Data Part I QTSO Help Desk (888) Updated 02/11/2002

27 29) Scroll down to the bottom part of the Transmittal (HCFA-1539) window and enter Part II data. The Part II section is pointed out by the arrows below. ACO, Chapter 4: Certification, Entering 1539 Data Part II Note: Make sure and select the appropriate Intermediary/Carrier Number (L31). The Original Date of Participation (L24) field and the Determination Approval Date (L33) field can only be entered by Regional Office Staff. Please contact your Regional Office Coordinator to have these fields populated. QTSO Help Desk (888) Updated 02/11/2002

28 30) Select the Application (HCFA-671) tab; messages will inform you of required fields for which no data has been entered. You can choose to temporally override these edits or fill in the required information. The red checkmark on the tab will turn to green when the form is ready for transmittal. Below is an example where a required field was not entered. QTSO Help Desk (888) Updated 02/11/2002

29 31) Select the Application (HCFA-671) tab. Notice the checkmark on the top of the Transmittal (HCFA-1539) tab has changed from red to green. The following window is displayed. You can tab through this screen or use the scroll bar located on the right side of the window to navigate through the form. 32) In the top part of the Application (HCFA-671) window, enter all applicable information. See marked section above. QTSO Help Desk (888) Updated 02/11/2002

30 33) In the middle part of the Application (HCFA-671) window, provide the information regarding Dedicated Special Care Units. See marked section below. QTSO Help Desk (888) Updated 02/11/2002

31 34) In the Facility Staffing section of the Application (HCFA-671) window, enter the appropriate information. See marked section below. QTSO Help Desk (888) Updated 02/11/2002

32 35) Below is a screen print of the entire Facility Staffing Services section. QTSO Help Desk (888) Updated 02/11/2002

33 36) Select the Census (HCFA-672) tab. The following tab is displayed. 37) Enter the information in the Resident Census and Conditions of Residents section marked in the screen print above. QTSO Help Desk (888) Updated 02/11/2002

34 38) Enter the information in the A. Bowel/Bladder Status and B. Mobility sections. QTSO Help Desk (888) Updated 02/11/2002

35 39) Enter the information in the C. Mental Status and D. Skin Integrity sections. QTSO Help Desk (888) Updated 02/11/2002

36 40) Enter the information in the E. Special Care section. QTSO Help Desk (888) Updated 02/11/2002

37 41) Enter the information in the F. Medications and G. Other sections. Also, enter any of the other fields at the bottom of the section if appropriate. F148 Medication Error Rate is a required field. QTSO Help Desk (888) Updated 02/11/2002

38 42) When all information has been provided and forms completed for the certification kit, you may then submit the certification kit to the OSCAR/ODIE production system. There are three types of actions that ODIE can take to process the upload transaction: Add, Update, and Delete. The type of ODIE processing action is assigned by the system and can be viewed in the Prior Certification Kit Upload window as well as the Tracking-Transactions window. Select the Upload Kit to ODIE tab. The following window appears. ACO, Chapter 4: Certification, Uploading Certification Kits QTSO Help Desk (888) Updated 02/11/2002

39 43) To transmit the current certification kit, select the Prevalidate and Upload button. A confirmation message appears (see below). 44) Select Yes. The kit is processed through several edits. Below is an example of the screen that appears. QTSO Help Desk (888) Updated 02/11/2002

40 45) Select OK on the Sending Certificate to ODIE screen. If all required information is submitted, a message indicates the success of the transaction to a Pending status. If errors occur, the Upload Transaction Errors section appears and lists the errors that identify missing information. Previous upload transactions for the certification kit are listed in the Prior Certification Kit Uploads section. When you select a transaction that had errors, the Upload Transaction Errors section appears and lists the errors. See example below. QTSO Help Desk (888) Updated 02/11/2002

41 46) Correct the errors and upload the kit again. The following Pending Status with a yellow stoplight will appear. This means the kit will be uploaded to the OSCAR/ODIE system overnight. Note: Use the Delete Pending button if you know the kit has incorrect information that will need to be re-uploaded. This will save you time instead of having to wait overnight to send up another transaction the next day. Only the person that sent the Pending Transaction can delete the Pending Transaction. 47) Select Done to save the information and close the Certification window. 48) Check to make sure you kit was uploaded successfully the next day. QTSO Help Desk (888) Updated 02/11/2002

42 Recovering ODIE NH Data With the release of ASPEN 5.0, the database patch built the kits from ODIE and displayed them in ASPEN. Stub certification kits were created to act as placeholders for historical prior NH certification kits from ODIE. Associated surveys created in ASPEN were retained in the Surveys node for the facility. You can recover NH certification data from ODIE and merge the associated surveys created in ASPEN if desired. It is recommended you only rebuild kits you need to review or update. The most current certification history kit was automatically rebuilt with the database patch at the time of this release for both Nursing Homes and Home Health Agencies. A red icon designates a stub kit. A green icon designates a rebuilt kit. Stub certification kits have Prior status, except the stub certification kit with the most recent date. It has Open status only if there is no existing non-stub kit for the facility; otherwise the most recent stub kit also has Prior status. You can fully modify a rebuilt certification kit with an Open status. HCFA 670 and Statement of Deficiency (2567) data are the only things that can be modified on prior kits. To rebuild a NH certification kit: 1) Locate and expand the facility with the stub NH certification kit you want to rebuild. ACO, Chapter 4: Certification, Recovering OSCAR Data QTSO Help Desk (888) Updated 02/11/2002

43 2) Right-click the stub certification and select Build Historical Cert from the popup menu. Chapter 4: Certification: HHA Only, Recovering OSCAR HHA Data 3) A Building Certificate Stub from ODIE message will appear displaying the steps ASPEN is taking in rebuilding the certification kit. QTSO Help Desk (888) Updated 02/11/2002

44 4) When the kit has been successfully rebuilt, select OK on the Building Certificate Stub from ODIE screen. The kits icon in the tree view changes from red to green (see example below). QTSO Help Desk (888) Updated 02/11/2002

45 Merging ODIE History You may choose to merge a survey previously created in ASPEN with the associated OSCAR/ODIE historical kit. 1) Right-click the certification in the tree view. The following popup menu appears. QTSO Help Desk (888) Updated 02/11/2002

46 2) Select Merge Survey. The following Surveys window appears. ACO, Chapter 4: Certification, Merging Surveys into Certification Kits 3) Highlight the appropriate survey and select OK. The following Confirmation message appears. 4) Select Yes. The system will flash messages as it is going through the merging process. A message will appear stating the system needs to be refreshed. Select OK. If ASPEN has questions regarding information that is different on the survey events, it will prompt you to choose whether to use the Source or Destination. The Source is the survey created outside of the certification shell. The Destination is the survey within the certification shell. The Source survey will be merged into the Destination survey. QTSO Help Desk (888) Updated 02/11/2002

47 Tracking Certification Kits You can view a list of certification kits with some details about each. You can tailor the list by status and date. To view a list of certification kits: 1) From the main ACO toolbar, select the Tracking menu (see below). QTSO Help Desk (888) Updated 02/11/2002

48 2) Select Certifications. The Certification Kits window appears (see below). Initial certifications appear in red and recertifications appear in blue. In the ODIE column, if the column is blank the certification kit has not had an attempted upload. If the column has an envelope icon, the kit was uploaded however the kit has not been accepted by the OSCAR/ODIE system. If the column has a green checkmark, the kit has been accepted by the OSCAR/ODIE system. ACO, Chapter 4: Certification, Tracking Certification Kits 3) You can use the Status and Dates fields to filter the list of certification kits. To do this: 1. In the Filters section, select the desired Status from the drop-down list. 2. Enter or select the start and end Dates of the time range for which you desire. 3. Select Set. The list of certification kits is refreshed to reflect the specified criteria. QTSO Help Desk (888) Updated 02/11/2002

49 4) To print a Certification Kit report, which includes all listed certification kits, select the Print Tracking Report button. The following Sort Order window appears. You can sort by Facility Name, Provider ID or Exit (Survey) Date. Also, select Ascending or Descending order. The default is Facility Name in Ascending order. 5) Select OK. The report preview window appears. You can maximize the preview window. The following report is displayed. You may print the report if you desire. ACO, Chapter 9: HCFA Forms and Reports, The Report Preview Window QTSO Help Desk (888) Updated 02/11/2002

50 6) Click the x icon in the upper right corner to close the preview window. You are returned to the Certification Kits window. 7) To open a certification kit from the Certification Kits window, highlight the kit and select the View Highlighted Certification button. The Certification window appears with the Certification & Surveys tab selected (see below). Note: You may also double click on the certification kit to view the certification kit. 8) Select Done to exit the Certification window. You are returned to the Certification Kits window. 9) Select Close to close the Certification Kits window. QTSO Help Desk (888) Updated 02/11/2002

51 Tracking ODIE Upload Transactions You can view a master list of upload transactions (attempted and accepted) for a specified time period. This list shows the certification kits that were attempted or successfully uploaded to ODIE and provides some details about each transaction. 1) To view ODIE upload transactions select the Tracking menu. QTSO Help Desk (888) Updated 02/11/2002

52 2) From the Tracking menu, select Transactions. The following window appears. This Date Qualification Dialog window allows you to specify the dates of the transactions you want to view. In the Date Qualification Dialog, enter or select the Start Date and End Date, and select OK. 3) The Transactions window below appears with a list of upload transactions for the specified time range. All attempted and successful upload transactions are shown. Initial certifications are displayed red; recertifications are displayed blue. The Action column shows the action assigned by ASPEN for processing each upload transaction. The Status column indicated whether the transaction was successful or non-successful. ACO, Chapter 4: Certification, Tracking Upload Transactions QTSO Help Desk (888) Updated 02/11/2002

53 4) To view text of error messages (if any) associated with a transaction, highlight the transaction. The Upload Transaction Errors section appears at the bottom of the window. Only the transactions with a Status of -1-Failed will display error messages in the Upload Transaction Errors section. See screen below. QTSO Help Desk (888) Updated 02/11/2002

54 5) To view the certification kit related to a transaction, from the Transactions window highlight the transaction and select View Related Certification Kit. The certification screen below appears. Note: You may also double click on the transaction to view the certification kit. 6) Select Done to close the Certification window. You are returned to the Transactions window. 7) Select OK. The Transactions window closes. QTSO Help Desk (888) Updated 02/11/2002

55 Deleting Certification Kits If all prior upload actions for a certification kit were not successful, the Remove Certification option can be used to immediately delete the kit and all associated surveys. If the certification kit has been successfully uploaded to ODIE, only Regional Office staff can delete the certification kit if needed. Please contact your Regional Office Coordinator if you feel a certification kit needs deleted from ASPEN and the OSCAR/ODIE system. To delete a certification kit: 1) Locate and expand the facility with the certification kit you want to delete. 2) Right-click the certification. The following popup menu appears. ACO, Chapter 4: Certification, Deleting Certification Kits QTSO Help Desk (888) Updated 02/11/2002

56 3) Select Remove Certification. The following confirmation message will appear. 4) Select Yes. The following notification message will appear if the certification kit was never successfully uploaded. 5) Select OK. The notification window closes and the kit is immediately and permanently deleted from ASPEN and the state server. QTSO Help Desk (888) Updated 02/11/2002

57 Quick References Quick References are designed to help you navigate the system more quickly, so you do not need to spend the time looking for assistance in the book. Quick References will assist getting you to the right place faster. Entering Facility Information Page 1-1 Select the Facility icon on the main ACO toolbar. Enter the facility information. Entering a Certification Kit Page 2-1 Right click on the name of the facility for which you want to enter certification information. Select Create Certification from the popup menu. The Certification window appears. Enter the appropriate information. Upload the kit when finished. Recovering ODIE NH Data Page 3-1 Right click on a stub NH certification kit. Select Build Historical Kit. Merging ODIE History Surveys Page 4-1 Right click on the certification for which you want to merge the survey. Select Merge Survey from the popup menu. Highlight the survey you want to merge and select OK. Tracking Certification Kits Page 5-1 Select the Tracking Menu on the toolbar. Select Certification from that Tracking menu. The Certification window appears with all of the certification kits created in ACO displayed. Tracking ODIE Upload Transactions Page 6-1 Select the Tracking Menu on the toolbar. Select Transactions from that Tracking menu. The Transactions window appears with all of the upload transactions from ACO displayed in a specified date range. QTSO Help Desk (888) Updated 02/11/2002

58 Deleting Certification Kits Page 7-1 Right click on the certification you want to remove. Select Remove Certification. The certification will be permanently deleted. Reminder: ACO can only delete certification kits that have not been successfully uploaded to the OSCAR/ODIE system. Contact your Regional Office Coordinator to have a kit deleted from ASPEN and the OSCAR/ODIE system that has been successfully uploaded. QTSO Help Desk (888) Updated 02/11/2002