Reporting OASIS Information
For Licensed and Certified Home Health Agencies (HHAs)

Texas HHS

 

Reporting OASIS Information

For Licensed and Certified Home Health Agencies (HHAs)

 

 

Presented by HHSC (Health & Human Services Commission) OASIS

 

Reporting OASIS Information

Welcome,

 

You have launched a computer-based training (CBT) that covers the requirements for reporting OASIS information to CMS via the National OASIS Assessment and Processing (ASAP) System.

 

 

Reporting OASIS Information

Target Audience

This presentation is designed for Home Health Agency staff (including administrators) responsible for:

  • Compliance with the Reporting Regulations;
  • The submission of OASIS Assessments to the National ASAP System;
  • Interpreting the OASIS Final Validation Reports (FVRs); and
  • Corrections.

This CBT does not contain each State and Federal regulation, nor are the regulations contained in their entirety.

The agency administration and staff maintain responsibility for complying with all regulations.

 

 

 

Reporting OASIS Information

This CBT is divided into 5 sections that concern the OASIS data submission process.

Section 1: Reporting Regulations 42 CFR 484.45

Section 2: Obtaining User IDs and Passwords

Section 3: OASIS System Functions

Section 4: Receiving and Interpreting Final Validation Reports

Section 5: CMS Home Health Agency (HHA) OASIS Correction Policy

 

Click next page to continue on to Section 1.

 

Reporting OASIS Information

Section 1

Reporting OASIS Information 42 CFR 484.45

 

42 CFR 484.45 Condition of participation (CoP): Reporting OASIS Information

 

HHAs must electronically report all OASIS data collected in accordance with §484.55 "Comprehensive Assessment of Patients".

 

 

 

Reporting OASIS Information

Section 1

Section 1 will identify:

  • Timeframes for encoding and submitting OASIS data;
  • Mechanisms to ensure that OASIS data is accurately submitted to CMS via the National ASAP System;
  • Electronic communications software that provides a direct connection to the CMS National ASAP System;
  • Software available from CMS or software that conforms to CMS standard electronic record layout, edit specifications, and data dictionary, and that includes the required OASIS data set; and
  • Minimum hardware and software configurations required to transmit OASIS records to the National ASAP System.

 

 

Reporting OASIS Information

Section 1

42 CFR 484.45(a) Standard: Encoding and Transmitting OASIS Data

An HHA must encode and electronically transmit each completed OASIS assessment to the CMS system, regarding each beneficiary with respect to which information is required to be transmitted (as determined by the Secretary), within 30 days of completing the assessment of the beneficiary.

 

Once a qualified clinical clinician has completed a comprehensive assessment and collected the OASIS data at the specific time points specified in 42 CFR 484.55, the agency has up to 30 calendar days after the assessment's completion date (M0090) to:

  • Encode - enter the OASIS data into a computer system using the CMS jHAVEN software, or a vendor software meeting CMS data submission specifications; AND
  • Transmit - electronically transmit the accurate, complete, and encoded OASIS data to CMS via the National ASAP System.

 

 

Reporting OASIS Information

Section 1

42 CFR 484.45(b) Standard: Accuracy of Encoded OASIS Data

 

The encoded OASIS data must accurately reflect the patient's status at the time of the assessment.

 

Refer to the current OASIS Guidance Manual (Appendix B) - OASIS Data Accuracy.

 

Reporting OASIS Information

Section 1

Mechanisms to Ensure OASIS Accuracy

The encoded OASIS data must accurately reflect the patient's status at the time of the assessment.

 

There are several ways an agency can monitor the accuracy of the OASIS data:

  • Clinical record audit.
  • Data entry audit.
  • Clinical audit visit.

Review the OASIS Guidance Manual (Appendix B) for more information on data quality audits.

 

Reporting OASIS Information

Section 1

42 CFR 484.45(c) Standard: Transmittal of OASIS Data

An HHA must:

  • 42 CFA 484.45(c)(1): For all completed assessments, transmit OASIS data in a format that meets the requirements of paragraph (d) of this section.
  • 42 CFR 484.45(c)(2): Successfully transmit test data to the National ASAP System or CMS OASIS contractor. Refer to Section 2 on test transmissions.
  • 42 CFR 484.45(c)(3): Transmit data using electronics communications software that complies with the Federal Information Processing Standard (FIPS 140-2, issued May 25, 2001) from the HHA to the CMS collection site.
  • 42 CFR 484.45(c)(4): Transmit data that includes the CMS-assigned branch identification number, as applicable.
  • 42 CFR 484.45{d) Standard: Data Format The HHA must encode and transmit data using the software available from CMS or software that conforms to CMS standard electronic record layout, edit specification, and data dictionary, and that includes the required OASIS data set.

 

 

Reporting OASIS Information

Section 1

42 CFR 484.45(c)(1): Transmittal of OASIS Data

For all completed assessments transmit OASIS data in a format that meets the requirement of paragraph D of this section.

  • Rejected data requires correcting and re-transmitting and must be received by the National ASAP System within the same required time frame to meet the regulatory requirement.
  • Rejected records also must be transmitted even if the required timeframe has passed.
  • The agency must have a backup plan to ensure it is able to submit OASIS to the National ASAP System.

 

42 CFR 484.45(c)(2): Will be discussed in Section 2.

 

 

 

Reporting OASIS Information

Section 1

42 CFR 484.45(c)(3): Transmittal of OASIS Data

Transmit data using electronics communications software that complies with the Federal Information Processing Standard (FIPS 140-2, issued May 25, 2001) from the HHA to the CMS collection site.

  • All agencies must use CMSNet - Juniper Client (communications software) to connect to the National ASAP system for submission of OASIS data.
  • Refer to Section 3 of this CBT for more communication software information.

 

 

Reporting OASIS Information

Section 1

42 CFR 484.45(c)(4): Transmittal of OASIS Data

 

Transmit data that includes the CMS-assigned branch identification number, as applicable.

 

M0016 is an OASIS data item used to specify the branch identification code, as assigned by CMS, to determine whether care was delivered by the parent agency or the parent's branch, or by an agency without branches.

 

M0016 will be coded as follows:

  • If the agency has no branches an "N" will be entered.

     

  • If services were delivered from the parent office which has certified branches the agency will enter "P".

     

  • If services were delivered from the certified branch the CMS-assigned branch identification number will be entered.

 

 

Reporting OASIS Information

Section 1

42 CFR 484.45(d) Standard: Data Format

 

The HHA must encode and transmit data using the software available from CMS or software that conforms to CMS standard electronic record layout, edit specification, and data dictionary, and that includes the required OASIS data set.

 

Software:   HHA must use software capable of encoding OASIS records and export data files in accordance with CMS standard record layout, edit specifications, and data dictionary, and that includes the required OASIS data set.

 

Agencies may use the free Home Assessment Validation Entry (jHAVEN) software available from CMS or purchase software from a vendor. Visit CMS.gov for information on the current version of jHAVEN software available.

 

 

Reporting OASIS Information

Section 1

Verify that the HHA computer has the minimum hardware and software configurations required to transmit OASIS records to the National OASIS system.

 

Note: The system requirements can change every CMS fiscal year.

 

Confirm the current system requirements at:

 

https://qtso.cms.gov/reference-and-manuals/minimum-system-requirements-home-health-agencies-hospice-providers-long-term

 

 

 

Reporting OASIS Information

Section 1

Should you have questions regarding the minimum hardware and software configuration, contact your computer support personnel, the specific hardware and software vendors, or the vendor that provided your HHA with OASIS data encoding software.

 

 

Reporting OASIS Information

Section 2

Obtaining User IDs and Passwords from CMSNet/Verizon and National Systems Database

In Section 2 of this CBT we will identify:

 

• What is required prior to conducting the test submission

• What the agency needs to submit for the test submission

• Steps to obtain the IDs and passwords to access the CMS systems for the test submission

• Steps to have a password reset

 

 

Reporting OASIS Information

Section 2

Test Submission

To comply with 42 CFR 484.45(c)(2), HHAs seeking Medicare certification must demonstrate successful transmission of test data to the National Systems Database prior to being scheduled for initial certification survey.

 

 

Reporting OASIS Information

Section 2

Test Submission

Before you can conduct your test submission:

  • The HHA must obtain an initial State Home Health License; and
  • The CMS Medicare Enrollment application (855A form) must be approved by the CMS Medical Administrator Contractors (MAC) – Palmetto GBA and by the HHSC State Licensure Department.
  • The HHSC State Licensure Department receives the 855A approval letter and information packet from Palmetto GBA. After the application information is entered into the OASIS Assessment and Processing (ASAP) System, the HHSC Licensure Department will contact the HHA and instruct them to contact the OASIS Help Desk at (833)769-1945 for test submission information. The test submission information will only be distributed to the agency after the Licensure Department has contacted the HHA.
  • The HHA must contact the TX OASIS Help Desk (833)769-1945 to request the OASIS test information in order to perform a test transmission.
  • Installed CMSNet-Juniper Client; plus installed and configured the OASIS Encoding software; and obtained IDs and passwords to access the CMS systems.

 

 

Reporting OASIS Information

Section 2

Test Submission

When requesting the OASIS login information, the request must be on agency letterhead. The agency information must match the DBA (doing business as) information on the State license. It must be signed by the administrator or owner with the name printed under the signature. Please include the following agency's information:

  • DBA name
  • License number
  • E-mail address
  • Physical address
  • Business telephone number

 

 

Reporting OASIS Information

Section 2

Test Submission

Send the agency's OASIS login ID request to the TX OASIS Help Desk by:

  • Emailing the request to: oasis.help@hhsc.state.tx.us

OR

  • Mailing to:

Health and Human Services Commission

1106 Clayton Lane, Suite 480W

Austin, TX. 78723

Mail Code 0480

Attn: OASIS Help Desk

 

 

NOTE:

 

The TX OASIS Help Desk will send an email as a confidential memo with the OASIS agency ID also known as the facility ID.

 

The OASIS agency/facility ID will be required by the HHA in order to obtain the 2 separate IDs necessary to access CMSNet and the CMS OASIS system.

 

CMSNet is a private communications network to ensure the security of OASIS data transmissions. A CMSNet ID is needed to access secure CMS sites. The CMSNet login is the secured access gateway to OASIS.

 

 

Reporting OASIS Information

Section 2

Test Submission

To submit a test transmission, 2 separate login IDs and passwords are required for each user account. One login ID for CMSNet and one for OASIS login ID.

 

New agencies that do not have CMS certification will need to contact the CMSNet/Verizon help desk at (888)238-2122 to obtain the login ID and password (PW). Please provide them with the following information:

  • Agency ID
  • Agency name and address
  • User's first and last name
  • User's work email address and telephone number
  • Include that you are a new agency and needing access.

 

You will receive an email from the CMSNet help desk containing your login information. Follow the instructions in the email to receive the OASIS login ID and password.

 

After logging in to CMSNet, it will connect to the OASIS login screen.

 

Existing agencies that have access can request additional IDs. CMS allows a total of two (2) individual User accounts per agency license. An alternate submitter is highly recommended to ensure compliance with OASIS reporting requirements. It is a CMS security violation to share the users' assigned ID/PW.

 

 

Reporting OASIS Information

Section 2

Test Submission

The agency must:

  • Install CMS-Net-Juniper Client,
  • Install and configure the software the agency will use to enter OASIS data, and
  • Obtain the IDs and passwords in order to do a test submission.

 

(Refer to Section 3 of this CBT for information on CMSNet-Juniper Client and how to submit OASIS data.)

 

Reporting OASIS Information

Section 2

Test Submission

The test submission should be completed on 1 Start of Care (SOC) or 1 Resumption of Care (ROC) assessment only.

 

The test assessment may contain actual patient information or can be fictitious.

 

OASIS data submitted before the agency is identified as being "certified" by the National ASAP system is processed as test records.

 

Once the agency has completed the test submission, a printed copy of the Final Validation Report (FVR) must be retained. The FVR report is available in the CASPER reporting system. (Refer to Section 4 of this CBT for how to retrieve FVRs.)

 

Contact the TX OASIS Help Desk (833)769-1945 to confirm the test submission was successful; or if having any problems with transmission.

 

Reporting OASIS Information

Section 2

Test Submission

Important Note

 

Do Not encode (enter) and submit any other OASIS assessments until after the agency has received notification of their CMS certification approval from the HHSC Licensure Department.

 

However, until notification is received the HHA must continue to complete all OASIS assessments at the appropriate time points.

 

After a successful test submission, the agency may now request the initial Medicare certification survey if skilled services have been provided to the correct number of patients according to the CMS Conditions of Participation (CoPs).

 

Reporting OASIS Information

Section 2

Test Submission

After certification has been recommended (by either having no deficiencies on the survey, or the date the agency meets all enrollment requirements by submitting an acceptable plan of correction for standard level deficiencies) the agency must conduct a new Start of Care (SOC) assessment on all Medicare fee-for-service patients consistent with the first billable visit date after Medicare certification (participation) becomes effective.

 

Refer to the following sections in Chapter 2 of the State Operations Manual (SOM) for important information about the handling of OASIS assessments in HHAs seeking initial certification and recently completing the initial certification survey.

 

Sections:

2202.10D Compliance Dates & PPS;

2202.10E Instructions for Handling Medicare Patients in HHAs Seeking Initial Certification; and

2202.10F Instructions to New HHAs Concerning All Other Patients.

 

The State Operation Manual is available at:

https://www.cms.gov/Regulations-and-Guidance/Guidance/Manuals/Internet-Only-Manuals-IOMs-Items/CMS12011984.html

 

NOTE: Appendix B of the SOM is related to HHAs.

 

 

Reporting OASIS Information

Section 2

Test Submission

Note: OASIS data submitted before the agency is identified as being "certified" by the QIES ASAP system is processed as test records.

 

Fatal error message -924 will occur.

 

 

-924

 

Warn

 

Test Record Processed: The submitting agency is not identified as being certified at this time; this record was processed as a test record. If you believe this is incorrect, please contact your state OASIS Automation Coordinator.

 

Cause:

The agency submitting this record is not identified by the QIES ASAP system as being certified at this time. Therefore, this record was processed as a test record.

 

Action:

No action is necessary.

If you believe this error is invalid, contact your State OASIS Automation Coordinator.

 

Reporting OASIS Information

Section 2

OASIS ID and Password

Once the agency has received the CMS initial approval with the assigned CMS certification number (CCN) and effective date of Medicare participation, you must set up the agency database in jHAVEN, or jHAVEN-like software with the CMS certification number, the State assigned OASIS Agency ID (facility ID) and other agency information prior to entering data and submitting to the CMS National ASAP Systems' database.

 

Use the User ID and password received from CMSNet/Verizon to connect to the CMS National database.

 

Once the agency database is set up, begin encoding (entering) OASIS assessments that have been completed on or since the effective date of certification.

 

Submit all assessments collected on or after the effective date of certification (indicated on the agency's CMS approval letter) to the CMS National ASAP System database.

 

Reporting OASIS Information

Section 3

OASIS System Functions

 

Section 3 will review:

  • The 3 functions of the OASIS System HHAs can utilize;
  • The purpose and process for establishing the communication connection;
  • The links available on the CMS OASIS System Main Menu Page; and
  • How to access the OASIS System to submit OASIS Data files.

 

 

Reporting OASIS Information

Section 3

OASIS System Functions

The OASIS system serves 3 basic functions for HHA users:

  • Establishing the communication connection;
  • Submitting electronic OASIS flies to the CMS National Database System; and
  • Receiving validation reports in the CASPER reporting system. (Covered in the next CBT section). Provides access to the CASPER Reporting application to obtain FVRs, HHA provider reports and OASIS Quality Improvement Reports

 

Prior to submitting OASIS data, it is recommended agencies review the CMS OASIS Submission User's Guide.

 

The OASIS Submission User's Guide provides information and instructions pertaining to the QIES ASAP OASIS system to HHA users who are required to submit OASIS assessment data about their patients.

 

It is intended to be used as a reference and learning tool for the OASIS system. The OASIS submission User's Guide can be accessed at: https://qtso.cms.gov/

 

 

Reporting OASIS Information

Section 3

Establishing the Communication Connection

The communications part of the OASIS System supports the transfer of OASIS data from HHAs to the CMS National Submissions Database.

 

In order to connect to the CMS National Database Systems, the agency must first ensure the required software and hardware are correctly installed.

 

Installation and setup instructions for the CMSNet/Verizon software are available on the QIES Technical Support Office (QTSO) website at: https://qtso.cms.gov/

 

Reporting OASIS Information

Section 3

Submitting Electronic OASIS Files to the CMS National Database System

Once the CMSNet/Verizon software is installed and configured, connect to the CMSNet/Verizon website: https://qtso.cms.gov/providers/cmsnet-submission-access

 

A map of the United States will show on the first page after connecting to CMSNet/Verizon website. Select Texas (or your State) from the dropdown list or click it on the map. On the Welcome to the 'CMS Secure Access Service' webpage, enter your CMSNet/Verizon username and password. Select the 'Sign In' button.

US Map

 

Reporting OASIS Information

Section 3

Submitting Electronic OASIS files to the OASIS Assessment and Processing (ASAP) System

After clicking the OASIS link (on the Welcome to the CMS QIES Systems for Providers page) to access the OASIS submission page, you may see a security alert pop-up saying "There is a problem with this website's security certificate."

 

Different versions of Internet Explorer (IE) will show different options to access the website. You will have the option to click "Yes" to proceed or "continue to this website". Click the appropriate choice. Be sure to be using the correct version of IE applicable in order to access the system.

 

 

Reporting OASIS Information

Section 3

Submitting Electronic OASIS files to the OASIS Assessment and Processing (ASAP) System

The Welcome to the CMS QIES Systems for Providers page includes links to the following features and functions:

  • OASIS User Registration – the self-service Provider User Registration tool with which users register for a user account and User ID to access the OASIS submissions and CASPER Reporting systems.
  • OASIS Submissions – the login page for the OASIS system to submit assessments or corrections to assessments.
  • CASPER Reporting – the login page of the CASPER Reporting application so that you may request and view various provider reports.
  • QIES User Maintenance Application – the login page for the QIES User Maintenance Application (QUMA) for user self-service password resetting and user account maintenance.
  • QIES User Maintenance Application User's Guide – the user's guide for QUMA.
  • OASIS Forms – access to a link to the CMSNet Access Request Form on the QTSO web site.

 

CMS QIES

Select the "OASIS Submissions" link to access the QIES National ASAP System to submit OASIS data to CMS.

 

Reporting OASIS Information

Section 3

The Welcome to the CMS QIES Systems for Providers page also includes lists so that you may select and view the following user's guides/manuals:

  • OASIS Submission User's Guide (for the National ASAP system)
  • CASPER Reporting Users Guide for OASIS Providers

 

The QIES National System Login page presents User ID and Password fields, a Login button, and an Unable to login?

 

Go to the QIES User Maintenance application to reset your User ID/Password link with which you may access the QIES User Maintenance Application (QUMA) for password self-service functions.

 

Type your user ID and password in the appropriate fields and select the Login button.

 

Reporting OASIS Information

Section 3

The OASIS File Submission system File Upload page is presented.

 

OASIS File Submission System File Upload Page:

 

OASIS File Submission

Each page of the OASIS File Submission system includes the following constants:

  • The CMS logo and the title of the application, OASIS File Submission, span the top
  • A Skip Navigation Links (link – to the far-right), under the CMS logo and the application title.

The Skip Navigation Links link allows users utilizing assistive readers to bypass the menu bar items, moving focus to the main body of the current page.

 

NOTE: The keyboard shortcut to quickly bring focus to the Skip Navigation Links link is Alt + n. Once in focus, press Enter to activate the link.

 

  • The OASIS File Submission system menu bar – under the Skip Navigation Links link

 

The OASIS File Submission system menu bar provides access to the functionality of the OASIS File Submission system.

 

Reporting OASIS Information

Section 3

The OASIS File Submission system menu bar includes the following options.

  • File Upload
  • Submission Status
  • Help
  • Logout
  • Welcome Page

 

File Upload

The File Upload item on the OASIS File Submission menu bar allows you to access the OASIS File Submission File Upload page. Refer to the Submitting OASIS Data section below for a description of the File Upload page functionality.

 

Submission Status

The Submission Status item on the OASIS File Submission menu bar allows you to access the OASIS File Submission List of My Submissions page. Refer to the Submission Status section below for a description of the List of My Submissions page functionality.

 

Help

The Help item on the OASIS File Submission menu bar allows you to access the OASIS File Submission Help items, which include the Accessibility Policy, Contact Us, and Privacy Policy pages. The Accessibility Policy page is presented when you select the Help item on the OASIS File Submission menu bar.

 

Reporting OASIS Information

Section 3

To submit OASIS data, access the OASIS File Submission File Upload page. The OASIS File Submission File Upload page is presented by default when you successfully log into the system.

 

NOTE: You must use software capable of encoding OASIS assessment records and exporting data files in accordance with CMS's standard OASIS record layout specifications.

Oasis File Submission

The OASIS File Submission system File Upload page provides the following instructions:

  • Locate the OASIS file to submit by selecting the Browse button and choosing a file from your computer

 

Reporting OASIS Information

Section 3

Submitting Electronic OASIS Files to the National ASAP System

When you select the Browse button on the OASIS file selection page, a Choose File window appears enabling you to select from a list of files on your computer's hard drive.

 

NOTE: If you are networked, the file must be saved on your local hard drive.

 

To select a file for submission, you may highlight the file name and then select the Open button or double-click the name of the file you wish to send.

 

A "Proceed to Upload? Dialog box indicates "The file has been selected. Do you want to proceed to upload" and includes OK and Cancel buttons. Select OK to proceed.

 

You are returned to the OASIS File Submission page where the file name (and path) you selected appears in the Name of the OASIS File field as noted on the following page.

 

Depending upon the version of Windows running on your computer, a Choose File to Upload or similar dialog box is presented with which you can browse the folders and files on your computer or network.

 

Windows - Choose File to Upload Dialog Box:

Windows choose file

Select All Files from the drop-down list in the Files of type field so that you do not limit the types of files shown in the list.

 

NOTE: The OASIS File Submission system only processes compressed (zipped) files with a ".zip" extension. You may not upload a file with anything other than a ".zip" extension.

 

Select the drive on which your submission file is stored (C: is your computer's hard drive). The folders and/or file(s) available on the selected drive are listed in the main body of the dialog box.

 

Reporting OASIS Information

Section 3

Submitting Electronic OASIS Files to the National ASAP System

To select a file for submission, double click on the file name or highlight the file name and then select the Open button. The Choose File to Upload dialog box is closed and a Proceed to Upload dialog box shows.

Message from webpage

The 'Proceed to upload?' dialog box indicates "The file has been selected. Do you want to proceed to upload?" and includes OK and Cancel buttons.

 

Select the OK button if you wish to proceed with the upload of the selected file.

 

The name of the selected file is populated into the File Name field on the OASIS File Submission File Upload page and the upload proceeds immediately. The OASIS File Submission File Upload page displays an "Upload in progress …" message:

Upload in progress

NOTE: The time it takes for the OASIS File Submission system to receive the OASIS data file you submitted depends upon the size of your file and concurrent system activity. Until you receive confirmation that your file was successfully uploaded, do not exit the OASIS File Submission system or perform any other function. You risk interrupting the file upload process if you do not wait for the confirmation message.

 

When the submitted file is successfully received at the National Submissions Database, an Upload Completed dialog box is presented.

Upload complete

 

Select the OK button to continue.

The OASIS File Submission File Upload page now displays a message (see below) confirming that the file you submitted was successfully received at the National Submissions Database:

 

Submission Received Confirmation Message:

Submission successful

The submission received confirmation message provides the following information:

  • Submission ID – the numeric identifier assigned to your file by the OASIS File Submission system
  • Submission Date – the date and time that the National Submissions Database received your file in the Eastern Time zone
  • File Name – the name of the file that you submitted

 

The confirmation message also includes the following notation:

Your submission file will be processed for errors within 24 hours. The FVR, which contains detailed information about your submission, may be accessed in the CASPER Reporting application. It is recommended that you print and retain the FVR.

 

NOTE: The confirmation message only indicates successful receipt of the file at the National Submissions Database. Errors that exist in the submitted file are identified only after the OASIS system subsequently validates the file.

 

Print the confirmation message or otherwise note this information so that you may identify the corresponding OASIS FVR in the CASPER Reporting application. The Submission ID and the Submission Date/Time are needed if you must report a problem with the submission to the QTSO Help Desk. The confirmation message is cleared once you perform another OASIS File Submission function and is not available for printing later.

 

You may now submit another file or log out of the OASIS File Submission system.

 

After the submitted OASIS data file is successfully received at the National Submissions Database, the OASIS system validates the file structure and data content based upon the OASIS data specifications. Within 24 hours of a successful submission, you may access an OASIS Agency Final Validation Report in the CASPER Reporting application that provides a detailed account of any errors found during the validation of the records in the submitted OASIS file.

 

Records in the submitted OASIS data file are sorted and processed in the following order:

  • State Code
  • Agency ID
  • Effective Date
  • Type of Transaction/Record
  • Reason for Assessment
  • Correction Number

 

Reporting OASIS Information

Section 3

Submitting Electronic OASIS Files to the National Database (ASAP) System

The time required to generate the OASIS FVR varies and that you must wait for the OASIS File Submission confirmation notice prior to continuing with any other OASIS or browser functions.

 

Remain at the OASIS File Submission page and refrain from executing any additional OASIS or browser functions until you receive an OASIS Submission confirmation. The confirmation has the date and time the file(s) were submitted.

 

The OASIS File Submission confirmation notice says "Your submission file will be processed for errors within 24 hours. The Final Validation Report, which contains detailed information about your submission, may be accessed in the CASPER Reporting application. It is recommended that you print and retain the Final Validation Reports".

 

When the submitted file is successfully received, an 'Upload Completed' dialog box is presented. Select the 'OK' button to continue. The upload message merely indicates the system received the uploaded file. It does NOT indicate the file was processed or the records were accepted by the system. It is recommended to keep the file submission notice with a copy of the FVR for future reference.

 

NOTE: You risk losing your connection or interrupting the file submission process if you do not wait for the OASIS File Submission confirmation notice.

 

Reporting OASIS Information

Section 4

Receiving and Interpreting Final Validation Reports (FVRs)

Section 4 will:

  • Identify the 2 reports generated by the OASIS System after transmission of data;
  • Identify the information provided on the reports; and
  • Identify the types of messages that can appear on the reports.

 

 

Reporting OASIS Information

Section 4

Receiving and Interpreting Validation Reports

Once data is received at the state OASIS system, the OASIS system validates the file structure and data content. An OASIS File Submission notice is generated when the system has received the file. The notice contains basic information (time/date, submission ID and file name).

 

Two reports are created when records are submitted:

  • An OASIS File Submission confirmation notice which indicates if the submission passed the initial check of header and trailer information. This includes time/date, submission ID and file name.
  • The OASIS Final Validation Report (FVR), which provides a detailed account of the errors found during the validation of all records in the submitted OASIS file. Both reports are formatted in a column format so that they may be easily read, printed, or downloaded.

 

 

Reporting OASIS Information

Section 4

Receiving and Interpreting Validation Reports

Sign in to the QIES National System to access the HHAs Final Validation Reports (FVRs) found in CASPER.

QIES Login

Report files are listed in the CASPER Reporting system. Each report has a unique ID and can be accessed within each agency's designated folder. Reports are stored up to 1 year.

 

System-generated FVRs will be created in an Extensible Markup Language (XML) output format and in the text output format. These reports will be automatically stored into each facility's Validation Report (VR) folder in the CASPER Reporting application.

 

Reporting OASIS Information

Section 4

The OASIS File Submission Notice

The OASIS File Submission notice provides the following information:

  • Submission ID
  • Submission Date
  • Submission file name

 

It is recommended that the OASIS File Submission notice be saved with a copy of the OASIS FVR.

 

Reporting OASIS Information

Section 4

The Final Validation Report (FVR)

The OASIS FVR identifies the type and number of messages (errors) encountered in the OASIS file you submitted.

 

NOTE: You do not receive a FVR if your OASIS Submitter report indicates that your file was rejected. Rejected files are not saved in the system.

 

Reporting OASIS Information

Section 4

The Final Validation Report (FVR)

Three types of OASIS file submission errors can appear on the FVR:

  • FATAL FILE: Indicates rejection of the entire submission batch/file;
  • FATAL RECORD: Indicates rejection of individual OASIS assessments; and
  • WARNING: Messages indicate the assessment was accepted but encompasses consistency, valid value, and range errors.

 

 

Reporting OASIS Information

Section 4

The Final Validation Report (FVR)

The FVR contains:

  • Records Rejected - a count of the records in the file that were rejected.
  • Duplicate records - a count of the records rejected because of an exact match (duplicate) to previously submitted records.
  • Records with Messages - a count of records with error(s).
  • Total # Messages - a count of the errors that occurred in this file submission.

 

 

Reporting OASIS Information

Section 4

OASIS File Submission and Final Validation Reports (FVRs)

To ensure that the agency transmits accurate data in a timely manner, the OASIS File Submission and FVRs should be reviewed after transmission and kept for future reference.

 

Review of these saved reports will assist the agency in the prompt identification of emerging error message patterns and problems.

 

NOTE: Notation of review and any required corrective action can be documented on the reports for future reference.

 

 

Reporting OASIS Information

Section 4

Interpreting Final Validation Reports (FVRs)

The error messages are found in Section 5 of the OASIS Submission User's Guide - Error Messages. The user's guide provides information regarding interpretation of error messages on FVRs, causes or error messages, and any necessary action to take.

 

The OASIS Submission User's Guide can be accessed on the following link:

https://qtso.cms.gov/

 

 

Reporting OASIS Information

Section 4

Common Error Messages on the Final Validation Report (FVR)

-3330 "Record Submitted Late: The submission date is more than 30 days after M0090 on this new record".

 

EXAMPLES: The assessment was not submitted within the CMS timing guidelines.

 

- IF this is a new records (TRANS_TYPE_CD is 1), THEN the submission date minus M0090 (Date Assessment Completed) should be no more than 30 calendar days.

 

TIPS: Recommend submitting OASIS data more than 1 time a month. Avoid waiting to submit at the end of a month in case of hardware failure, record rejection, etc.

 

ACTIONS: No action is required for this submission. To avoid in the future, review the assessment timing schedule in the data specifications and verify that all assessments are submitted in a timely manner.

 

Reporting OASIS Information

Section 4

Common Error Messages on the Final Validation Report (FVR)

Example of -3330 error warning message from the OASIS Submission User's Guide

Error

Severity

Error Message

Error Description

-3330

 

Warning

 

Record Submitted

Late: The submission date is more than 30 days after M0090 on this new record.

 

Cause:

The assessment was not submitted within the CMS timing guidelines.

• IF this is a new record (TRANS_TYPE_CD is 1), THEN the submission date minus M0090 (Date Assessment Completed) should be no more than 30 calendar days.

Actions:

No action is required. To avoid this Warning in the future, review the assessment timing schedule in the OASIS Guidance Manual and verify that all assessments are submitted in a timely manner.

 

Reporting OASIS Information

Section 4

Common Error Messages on the Final Validation Report (FVR)

To learn more about the FVR error warning messages review Section 5 in the OASIS Submission User's Guide found at:

 

https://qtso.cms.gov/

 

Reporting OASIS Information

Section 5

CMS Correction Policy

Section 5 will:

  • Review CMS HHA OASIS Correction Policy;
  • Differentiate between key fields and non-key fields; and
  • Identify the types of corrections that can be made by the agency.

 

 

Reporting OASIS Information

Section 5

CMS Correction Policy

The Centers for Medicare and Medicaid Services (CMS) HHA Correction Policy can be accessed by referring to CMS S&C letter 15-18 OASIS Correction Policy for HHAs. It was released 1/2015; hereinafter referred to as the OASIS Correction Policy.

 

https://www.cms.gov/Medicare/Provider-Enrollment-and-Certification/SurveyCertificationGenInfo/Downloads/Survey-and-Cert-Letter-15-18.pdf

 

The State Operations Manual, Chapter 2, Section 2202.11-Correction Policy can be accessed at:

 

https://www.cms.gov/Regulations-and-Guidance/Guidance/Manuals/downloads/som107c02.pdf

 

 

Reporting OASIS Information

Section 5

CMS Correction Policy

Key Fields

 

It is critical to understand and follow the separate procedures for key field and non-key field corrections.

  • Key Fields are identified on the next slide.
  • Non-Key Fields are all other fields that are not listed on the slide.

 

 

Reporting OASIS Information

Section 5

CMS Correction Policy

Key Fields

Patient Identifiers:

 

M0040_PAT LNAME

Patient last name

M0040_PAT FNAME

Patient first name

M0064_SSN

Patient social security number

M0066_PAT BIRTH_DT

Patient date of birth

M0069_PAT GENDER

Patient gender

 

 

HHA Identifiers:

 

HHA_AGENCY_ID

Unique Agency ID code

 

 

Assessment Event Identifiers:

 

M0100_ASSMT_REASON

Reason for completing assessment

M0090_INFO_COMPLETED_DT

Date assessment information completed (This is a key field only on recertification or follow-up assessments where RFA=04 or 05)

M0030_START_CARE_DT

 

SOC date (This is a key field only on SOC assessments where RFA = 01 or 02)

M0032_ROC_DT

 

ROC date (This is a key field only on ROC assessments where RFA = 03)

M0906_DC_TRAN_DTH_DT

 

DC, TRAN, DTH date (This is a key field only on TRAN to inpatient facility assessments where RFA = 06 or 07, DTH at home assessments where RFA = 08 and DC assessments where RFA = 09

 

Reporting OASIS Information

Section 5

CMS Correction Policy

HHAs must electronically correct key field errors and non-key field errors.

 

HHAs must remove erroneous records using an automated methodology called Inactivation:

  • With the ability to inactivate erroneous OASIS assessments agencies must remove assessments from the National ASAP System's active data base that have been submitted in error.
  • These records are not actually deleted, but are moved from the active database to a history database that contains records that have been modified or inactivated.
  • This approach keeps an audit trail of modified and inactivated records, but "hides" them from the normal National ASAP System reporting procedures.

 

Reporting OASIS Information

Section 5

CMS Correction Policy

Before making corrections, it is important to determine where the error resides.

  • If the error is in an assessment that has not been transmitted, simply open the assessment and make the correction before transmission.
  • If the error is in a non-key field, then simply open the assessment as a non-key correction, make the correction and save it. Be sure the correction counter number is incremented up one number greater than the previous number (00 increments up to 01, 02, 03, etc.).
  • If the error is in a key field, then the agency follows the inactivation process. The correction counter number needs to stay 00 (not incremented up).

 

Reporting OASIS Information

Section 5

CMS Correction Policy

Types of Corrections an Agency Can Make

 

The types of corrections an agency can make to transmitted assessments are as follows:

  • Assessment was submitted and was rejected.
  • Assessment was submitted and was accepted. Correction to Non-Key fields is necessary.
  • Assessment was submitted and was accepted. Inactivation of the Assessment is necessary.

 

Reporting OASIS Information

Section 5

CMS Correction Policy

Types of Corrections an Agency Can Make

 

Assessment was submitted and was rejected.

  • The agency should unlock the assessment, make the necessary changes, re-lock the assessment, and re-submit the assessment.
  • Because of the built-in edit checks, agencies using the jHAVEN software should not expect records to be rejected by the National ASAP System for this reason.

Example: The patient's last name was missing from the assessment file. The OASIS National ASAP System must have the patient's last name. The data record in this example would be rejected and no data from this record would be loaded into the National database.

 

Reporting OASIS Information

Section 5

CMS Correction Policy

Types of Corrections an Agency Can Make

 

Assessment was submitted and was accepted. Correction to non-key fields is necessary.

 

If an agency determines a correction(s) must be made to non-key fields only. The agency should re-open the assessment, revise the targeted non-key fields, and re-lock and resubmit the corrected record.

 

NOTE: 'CORRECTION_NUM' is a counter field contained in the programming of the jHAVEN software used to track corrections made to an assessment record. The counter field is set to 00 when an assessment record is initially locked. In non-key field corrections this counter field is incremented. Both the original assessment and the corrected assessment will be stored in the state database.

 

Example: OASIS Diagnosis Item - If the wrong diagnosis ICD code was entered, or the wrong description, and submitted and accepted, the agency would use this correction option to correct the record. The correction number would be incremented up to 01.

 

Reporting OASIS Information

Section 5

CMS Correction Policy

Types of Corrections - Deleting Assessments

 

In certain infrequent situations, inactivation is not sufficient to correct assessment errors since inactivation alone does not remove the assessment record from the National Submissions Database system. Certain situations require deletion of an erroneous assessment, rather than inactivation:

If an assessment exists on the OASIS database that should never have been stored there, according to current policy it must be deleted.

 

Example: If an assessment was erroneously submitted with M0150 (current payer sources) marked as 2-Medicare (HMO/managed care/Advantage plan) and later it was discovered that the patient did not have Medicare, but instead should have been marked an 8-Private Insurance only, the assessment must be deleted from the OASIS Database.

 

Example: A patient failed to meet the face-to-face encounter requirement for Medicare home health eligibility requirements. A SOC assessment has already been submitted & accepted in the National ASAP system, the assessment must be deleted from the OASIS Database.

 

The HHA must contact the TX OASIS Automation Coordinator (OAC) at (833)769-1945 to request an OASIS Assessment Deletion Request form and follow the instructions provided by the OAC.

 

Reporting OASIS Information

Section 5

Backing up OASIS data

The HHA is responsible for ensuring that the OASIS data they collect is backed up. The data should be copied on a regular basis to a system or device (backup drive, external hard drive, etc.) other than the computer used for the data collection.

 

A number of unexpected problems can occur with electronic data; for example, a hard drive may fail or a computer may be stolen. Files can be mistakenly overwritten or deleted. A natural disaster such as fire, flood or tornado may damage software/hardware.

 

Backing up the OASIS data ensures that the OASIS assessments are safe and retrievable by the agency.

 

NOTE: QIES cannot reproduce OASIS assessments for an agency.

 

Reporting OASIS Information

Thank you for participating!

 

Contact the TX OASIS Help Desk at (833)769-1945 if you need assistance.