Remedies tab
ASPEN Enforcement Manager
(AEM)
Supporting Materials for Training
Field Descriptions
AEM Letter Macros
March 2003
Information in this training guide is subject to change without notice.
All brand or product names are trade names, service marks, trademarks, or registered trademarks of their respective companies or organizations.
Systems Environment
Application Development: MS Visual C++ version 6.0
Desktop Database: MS Access 97 version 7.0
Server Database: Oracle Enterprise Server version 8.1.6
Oracle Call Interface and Objects for OLE version 8.1.6
MS Internet Explorer version 5.5 (Service Pack 2) or later to support the integrated Internet browser
Optional System Environments
MAPI Compliant E-mail client to support e-mail transfer of survey information
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Remedies tab
AEM Screens and Fields
An AEM enforcement case has seven tabs, plus the title bar and case header/footer. For each of these, we show a picture of the screen, with each field numbered. The definitions of the fields are immediately following.
Title bar, Case Header and Footer 5
Case Basics tab 7
Surveys & IDR tab 13
Remedies tab 27
CMP Tab 31
NATCEP tab 43
Notices tab 45
Hearing/Appeal tab 51
AEM Letter Macros
AEM Letter Macros 55
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Remedies tab
Title bar, Case Header and Footer
The title bar and fields in the header remain visible as long as the case file is open, even when you move to different tabs within the case.
Figure 1
Buttons at the bottom (the footer) are also available as long as the file is open.
Figure 2
/ Field/Button / Description /1 / Case ID / A unique identifier generated by AEM when the case is created.
2 / Cycle Start / Cycle Start is displayed in the title bar of the enforcement case. It is either the exit date of the survey that began the enforcement cycle, or, if there is an existing IJ situation, the first day of the IJ , whichever is earlier.
Note: With AEM v7.0 (scheduled for release in July 2003), the IJ qualifier will be removed, and Cycle Start will always begin with the exit date of the starting survey.
3 / Latest Alleged Compliance Date / This date is calculated by AEM after every deficiency (D and above) in every visit associated with this case has a POC completion date (X5). The latest of those dates is inserted here. If a later visit adds new cites with no completion dates, this date will be deleted and then recalculated after completion dates for the new visit are entered.
The field cannot be edited, but it is updated whenever changes are made to the POC completion dates. The calculation ignores waived tags and tags removed per IDR.
Note: Latest Alleged Compliance Date does not calculate correctly in all cases. This will be changed in v6.6 (May 2003).
4 / Day 23 / Cycle start date + 23 calendar days. This field is calculated when an IJ situation exists. If there is no IJ situation, “No IJ” appears in this field.
5 / 3 Calendar Months / Adds 3 to the month of the Cycle Start date. If the resulting date is invalid, uses the next valid date.
6 / 6 Calendar Months / Adds 6 to the month of the Cycle Start date. If the resulting date is invalid, uses the next valid date.
7 / / Opens a read-only view of the facility record. If you need to make changes to facility information, go to the tree view on either the Alpha or Enforcement tab and right-click the facility name, then select Facility Properties.
F1 / / Opens the Select Reports to Print window. Reports available are Facility Enforcement History, Enforcement Case Profile, and CMPTS Report.
F2 / / Opens the Notices History window, where you can view or generate letters and other notices.
F3 / / Opens the AEM word processor, where you can enter and edit Case Notes in a word processor with more features than the notepad on the Case Basics tab.
F4 / / Saves and closes the enforcement record, returning you to the tree.
F5 / / Closes the record without saving your changes. You will be asked to confirm. The Cancel function does not necessarily roll back the record to where it was when you opened it. If you made entries in a secondary window, for instance, and clicked OK, those entries have been saved and cannot be canceled. Additionally, some entries on forms are saved when you move to another tab, and saved entries cannot be canceled.
F6 / / Opens a message box advising you that no Help is to be found.
March 2003 29
Remedies tab
Case Basics tab
Summary
Figure 3
/ Field/Button / Description /8 / / The checked box indicates the type of survey(s) associated with the enforcement case.
9 / / IJ Indicator: shows IJ status entered on the IJ situation tab. None = no IJ situation entered. Current = Survey Date of IJ Discovery has been entered. Removed = Survey Date of IJ Removal has been entered for all IJ situations in the case.
SQC indicator: Indicates whether or not there is an SQC tag cited in a visit connected to this enforcement case. This indicator is recalculated every time a change is made to a citation.
An SQC tag is any deficiency with a scope and severity level of F,.H, I, J, K or L, that also falls under one of the following regulatory groupings: Resident Behavior and Facility Practices, Quality of Life, Quality of Care. This includes tags 221-225, 240-258, and 333.
10 / Federal / Federal Status is enabled for States and Regional Offices according to provider participation and case type:
If T19 only: both State and Region can change the status.
If T18 and an Opportunity to Correct case: both State and Region can change the status until a Federal case worker is assigned to the case, after which only the Region can change the status.
If T18 and the case is No Opportunity to Correct or Past Noncompliance: only CMS staff can change the status.
Options for Federal Case Status are:
Open - Active: The case is still being actively processed.
Open - Hearing: Active processing is complete and the case is awaiting a hearing beginning or completion.
Open - CMP: The case remains open only because a CMP is not fully paid
Closed: Everything regarding this case is complete.
You cannot close a case if a remedy is pending, or if there is a CMP in effect that is not paid in full.
11 / Closed / Date the Federal Status was changed to Closed. This field is enabled when Closed is selected in the Status field.
12 / State Status / State Case Status is enabled for cases having to do with State Licensure, and can only be changed by states. The options are Open and Closed.
13 / Federal Type / Required for all cases in which federal tags have been cited at the scope and severity level of D or above. Either Federal Type or State Licensure must be selected. Options are: Opportunity to Correct, No Opportunity to Correct, Past Noncompliance. Select the type that applied at the time the case was initiated.
14 / State Licensure / Select the box if this case involves state licensure. State Licensure and Federal Type operate independently, but one or the other must be selected.
15 / Chain / If a chain has been associated with this facility in Facility Properties, ASPEN will insert the chain's name here. You can also select a chain from the dropdown box.
If you change the name of the chain in Facility Properties after the Enforcement case is opened, that change will not be reflected here. Case workers will need to decide if the prior or current chain is applicable to this enforcement case.
The list of chains is maintained by CMS in Lookup Values.
16 / Compliance Due Date / Entered by the State Agency. The date by which the SA will recommend remedies be imposed if substantial compliance is not achieved.
17 / Substantial Compliance / Date the provider came into substantial compliance. AEM will insert this date based on the latest correction date for D and above tags that is entered on the 2567B. It is not calculated until correction dates are entered for all D and above tags.
AEM checks both health and LSC surveys associated with the case. Waived tags are ignored. The date is recalculated whenever changes are made to the 2567B.
This field is also displayed on the Surveys grid (Survey & IDR tab).
18 / Cycle Start to Today/Compliance / Calculated by AEM. When there is no Substantial Compliance date, this is the number of days between Cycle Start (in the title bar) and today. Once a Substantial Compliance date is present, the label changes, and this field reflects the number of days from Cycle Start to the Substantial Compliance date.
19 / Case to RO / Entered by the SA. This is the date the State Agency transfers responsibility for processing of the case to the Regional Office.
States can use existing office procedures or AEM’s Action Items/Next Steps feature to notify the RO of the transfer.
20 / Request for Termination Notice #1 & #2 / AEM provides two date fields for Request for Public Notice of Termination. If there are additional requests, the most recent two should be entered here.
21 / Date Notice Appeared #1 & 2 / Dates the Public Notices of Termination appeared in the local newspapers.
22 / Case Workers / This grid lists the staff members assigned to this case, with phone numbers, date the worker was assigned to the case and an indicator for the State and Federal primary workers. One State and one Federal worker must be designated as Primary.
Primary workers are listed on some enforcement reports. Federal case workers are shown in black; State workers in blue.
23 / / Click Add to add a worker to the list. The Select Case Worker window opens, where you select the worker from a list of all active workers in the personnel table.
24 / / Highlight a worker and click Remove to remove the worker from the list. You will be asked to confirm. You cannot delete a Primary worker.
Action Items/Next Steps
The Action Items/Next Steps section can be used both as a scheduling tool and to maintain a history of the case. Primary case workers will automatically receive an action item (22 Survey/Revisit Added) when related surveys are scheduled in ACO or in ACTS. Case workers can manually enter action items as needed.
Since fields on the grid and in the Define Action Item/Next Step window are the same, we show both views in Figure 4.
Figure 4
/ Field/Button / Description /25 / Assigned / Date the Action Item was assigned.
26 / Due / Date by which the Action Item should be completed.
27 / Completed / Date the Action Item was completed.
28 / Type / Description of the Action Item.
29 / Responsible Staff Member / Staff member designated to complete, or monitor and confirm the completion of, this action item. This field defaults to the logged-in user.
30 / / Opens the Define Action Item/Next Step window for entry of a new item.
31 / / Opens the Define Action item/Next Step window for the selected action item, so you can make changes.
32 / / Deletes the selected Action Item from the grid. You will be asked to confirm.
Case Notes
Case Notes provides an area for recording notes relevant to the case. States and Regions can use Case Notes to exchange information.
Figure 5
/ Field/Button / Description /33 / Case Notes / Use this area to record relevant comments about the case. States and Regions can use this section for communication.
Click at the bottom of the form to view and edit the same text in a more full-featured word processor.
34 / / Standard formatting buttons enable you to apply bold, italic and underline attributes to selected text. The button opens the Import window. You can import RTF and TXT files into this notepad.
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Remedies tab
Surveys & IDR tab
Cycle Surveys and Citations Management
The Surveys & IDR tab has three subtabs: Surveys, IJ Situation, and Citations: All Surveys.
Surveys tab
When the Surveys tab is active, you will see line summaries of survey information, with buttons that open windows showing more survey detail. Most survey data is read-only in AEM. You can add an existing survey (certification or complaint) to an AEM enforcement case/cycle from within a case/cycle record. You will also use this grid to maintain POC tracking information.
The first four columns in the grid are frozen, and will not move when you scroll to the right.