ASPEN CENTRAL OFFICE
TRAINING GUIDE
FOR HHA CERTIFICATION ENTRY
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 by which 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 will document only one way to perform each of these tasks.
This program involves several steps. We believe 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 finish. In addition, we have included many screen prints to help in understanding this program.
Alternative methods of access and detailed information about ACO functions are included in the ASPEN Central Office Reference Guide. This training guide includes some cross-references to the ACO Reference Guide, which appear as follows:
Chapter 3: Facilities, “Miscellaneous Facility Information”
This cross-reference directs you to the section “Miscellaneous Facility Information” in chapter 3, which is entitled Facilities, in the ACO Reference Guide.
Table of Contents
Entering Facility Information 1-1
Entering a Certification Kit 2-1
Recovering ODIE HHA Data 3-1
Merging ODIE History Surveys 4-1
Tracking Certification Kits 5-1
Tracking ODIE Upload Transactions 6-1
Deleting Certification Kits 7-1
Quick Keys 8-1
ASPEN Help Desk (800) 659-4626 Updated 05/03/01
Entering Facility Information
1) To create the new facility, select the Facility icon on the main ACO toolbar (see below).
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.
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 can not change the State Fac ID.
Chapter 3: Facilities, “Facility Definition”
3) After entering information on the Facility Definition tab, select the Other tab. Use the drop down list to select a response for the Surety Bond Indicator.
Chapter 3: Facilities, “Miscellaneous Facility Information”
For information about the other pages in the Define New Facility window, see “Addresses”, “Buildings/Wings”, “Associations”, “Administrators—Administration page”, and “Ownership—Ownership page” in Chapter 3.
4) 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.
5) Select OK. The Create Facility Login window closes. Your facility is displayed in the tree view (see below).
ASPEN Help Desk (800) 659-4626 1-4 Updated 05/03/01
Entering a Certification Kit
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). Tracking ID and Category are automatically assigned to the certification. In the Status field, 01 Open is selected by default.
In the Ready for RO Review section, there is a Release to HCFA check box. The State office can manually check this option or it will automatically be checked with any ODIE upload transaction. Any condition level deficiencies cited will also automatically send the kit to the RO to review. When the Release to HCFA box is checked, the certification kit will be included in the Tracking-Transactions window.
The red check mark on the tabs of the Application (HCFA-1572A) and Transmittal (HCFA-1539) pages of a new certification kit indicate that these forms are not ready for transmittal to OSCAR. HCFA 1572A and HCFA 1539 edits are now being applied as you complete the forms. Once you supply all required information and exit the form, the check marks will change to green.
ACO 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 forms completed.
Chapter 4: Certification: HHA Only, “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 is circled in red.
Chapter 4: Certification: HHA Only, “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 exists.
· The Remove button will send the survey 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.
4) Select the New button. The Initial Survey Type window appears (see below).
5) The radio dial beside Health Survey is filled in. Since Health Survey is the appropriate choice for HHAs, select OK.
6) The Create Health Survey window below appears. Fill out the appropriate information.
Chapter 5: Surveys and Citations, “Creating Surveys“
7) Select OK. The Survey window appears asking if you want to proceed to the Citation Manager. Select No.
8) Select OK on the Certification window. The Certification window closes saving the certification information and returning to the main ACO window.
9) We want to export the survey to ASE. Place a diskette in you’re a: drive, then locate the survey you want to export to ASE. Left click on the survey and drag and drop it on the Export icon. See screen shot below.
10) The following screen appears.
Chapter 6: Survey Exchange, “Exporting Surveys“
11) Select OK. The survey is transferred onto the diskette. The following message will appear when the transfer has been successful.
12) To enter information in ASE, consult the ASPEN Survey Explorer Training Guide for HHA Certification Entry.
13) Since we have created our survey using ASE, we will import the survey into ACO. From the main ACO toolbar, select the Import button (see below).
14) 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.
Chapter 6: Survey Exchange, “Importing Surveys“
15) The Select Surveys to Import window appears (see below).
16) Highlight the survey 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 created the survey in ASE and there is already a survey shell in ACO, it is asking if we want to use the 1539 information we entered into ASE.
17) Select Yes. The following message box will appear when the upload is complete.
18) Select OK. You can now expand the tree view out to show the survey you just imported (see below).
19) Right-click on the Initial Certification. The popup menu below is displayed.
20) Select Certification Kit. The Certification window below appears. Notice the certification information from the survey you imported is now displayed. (See the information circled in red below)
Note: Don’t forget to add the Administrator Signoff (X6) date and the Office Hours on the HCFA 670 form.
21) Select the Application (HCFA-1572A) tab. 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.
22) In the top part of the Application (HCFA-1572A) window, enter all applicable facility information. See circled section above.
Chapter 4: Certification: HHA Only, “Entering 1572A Data—Facility Information“
23) In the middle part of the Application (HCFA-1572A) window, provide information about the facility’s services and staffing. (See circled section below.)
Chapter 4: Certification: HHA Only, “Entering 1572A Data—Services and Staffing“
24) In the lower part of the Application (HCFA-1572A) window, enter census and surveyor summary information. (See circled section below.)
Chapter 4: Certification: HHA Only, “Entering 1572A Data—Visits/Census/Other“
25) Select the Transmittal (HCFA – 1539) tab; messages will inform you of required fields for which no data has been entered. You can choose to override these requirements or fill in the required information. The red check mark on the tab will turn green when the form is ready for transmittal. Below is an example where a required field was not entered.
26) After you correct the Administrator (G8) and data enter all required fields, select the Transmittal (HCFA-1539) tab (see screen print below). Notice the Application (HCFA-1572A) now has a green check mark on the top of the tab.
Notice the checkmark on the top of the Application (HCFA-1572A) tab has changed from red to green.
27) Enter Part I data. I have circled the Part I section in red (see below).
Chapter 4: Certification: HHA Only, “Entering 1539 Data—Part I“
ASPEN Help Desk (800) 659-4626 2-24 Updated 05/03/01
28) Scroll down to the bottom part of the Transmittal (HCFA-1539) window and enter Part II data. I have circled the Part II section in red (see below).
Chapter 4: Certification: HHA Only, “Entering 1539 Data—Part II“
Note: Make sure and select the appropriate Intermediary/Carrier Number (L31).
ASPEN Help Desk (800) 659-4626 2-24 Updated 05/03/01
29) Select the Upload Kit to ODIE tab, messages will inform you of required fields for which no data has been entered. You can choose to override these requirements or correct them at that time. See example below of Surveyor Sign Date (L19) not being filled in.
30) Enter the Surveyor Sign Date (L19) field.
ASPEN Help Desk (800) 659-4626 2-24 Updated 05/03/01
31) Select the Upload Kit to ODIE tab. The red check mark on the Transmittal (HCFA-1539) tab will turn green when the form is ready for transmittal. See below with the Transmittal (HCFA-1539) tab circled.
32) 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.
33) When all information has been provided and forms completed for a 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 Transactions window. Select the Upload Kit to ODIE tab. The following window appears.
Chapter 4: Certification: HHA Only, “Uploading Certification Kits“
34) To transmit the current certification kit, select Prevalidate and Upload. A confirmation message appears (see below).
35) Select Yes. If all required information is submitted, a message indicates the success of the transaction. If errors occur, the Upload Transaction Errors section appears and lists the errors, that identify missing information items. 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 on the next page.
ASPEN Help Desk (800) 659-4626 2-24 Updated 05/03/01
36) The first upload action for a certification kit (successful or not) causes the Release to HCFA check box on the Certification & Surveys window to be selected (if it has not been manually selected by the State office) and disabled. An icon next to the check box indicates whether the certification kit is flagged or not for extended review by the Regional Office Staff (see below).
37) Correct the errors and upload the kit again.
38) Select OK to save the information and close the Certification window.
ASPEN Help Desk (800) 659-4626 2-24 Updated 05/03/01
Recovering ODIE HHA Data
If your State created certification kits during the ASPEN pilot program for uploading HHA certification kits to ODIE, those kits were deleted from your database as part of the transition to full production status with the implementation of ACO 4.0. Stub certification kits were created to act as placeholders for these deleted kits as well as historical HHA certification kits from ODIE. Associated surveys were retained in the Surveys node for the facility. You can recover HHA certification data from ODIE and merge the associated surveys to rebuild the deleted kits as desired. It is recommended you only rebuild kits you need to look at or update. 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 edit a rebuilt certification kit with Open status. HCFA 670 and Statement of Deficiency data can be modified on prior kits.
To reconstruct an HHA certification kit:
1) Locate and expand the facility with the stub HHA certification kit you want to rebuild.
2) Right-click the stub certification and select Build Historical Cert from the popup menu.