CASPER Reporting. User s Guide For MDS Providers. September Prepared for

Transcription

1 CASPER Reporting User s Guide For MDS Providers September 2016 Prepared for Department of Health & Human Services Centers for Medicare & Medicaid Services 7500 Security Boulevard Baltimore, MD 21244

2 Table of Contents SECTION 1 INTRODUCTION ABOUT THIS GUIDE HOW THIS GUIDE IS ORGANIZED CONVENTIONS USED IN THIS GUIDE SUPPORT SECTION 2 FUNCTIONALITY ACCESSING THE CASPER REPORTING APPLICATION LOGIN TOOLBAR NAVIGATING THE CASPER REPORTING APPLICATION REQUESTING REPORTS SAVING REPORT CRITERIA RUNNING AND MAINTAINING SAVED CRITERIA TEMPLATES VIEWING AND MODIFYING SAVED CRITERIA TEMPLATES RUNNING REPORTS FROM SAVED CRITERIA TEMPLATES MOVING SAVED CRITERIA TEMPLATES DELETING SAVED CRITERIA TEMPLATES PACKAGE REPORTS SHARED FOLDERS SYSTEM-GENERATED FINAL VALIDATION REPORTS VIEWING, PRINTING, AND SAVING INDIVIDUAL REPORTS ZIPPING, PRINTING, AND SAVING MULTIPLE REPORTS CUSTOMIZING THE CASPER REPORTING TOOL MAINTAINING FOLDERS MOVING REPORTS DELETING REPORTS OTHER CUSTOMIZATIONS CASPER TOPICS VIEWING REPORTS OFFLINE REPORT SEARCH FEATURE SECTION 3 UTILITY REPORTS GENERAL INFORMATION D DEFICIENCY TAG REPORT REPORT LOCATOR LISTING TEMPLATE LISING REPORT SECTION 6 MDS 3.0 NURSING HOME PROVIDER REPORTS GENERAL INFORMATION MDS 0003D/0004D PACKAGE REPORT PROVIDER HISTORY PROFILE PROVIDER FULL PROFILE MDS 3.0 ACTIVITY MDS 3.0 ADMISSION/REENTRY MDS 3.0 ASSESSMENTS WITH ERROR NUMBER XXXX MDS 3.0 DISCHARGES MDS 3.0 ERROR DETAIL BY FACILITY /2016 v1.02 Certification And Survey Provider Enhanced Reports i

3 MDS 3.0 ERROR NUMBER SUMMARY BY FACILITY BY VENDOR MDS 3.0 ERRORS BY FIELD BY FACILITY MDS 3.0 MISSING ASSESSMENT MDS 3.0 NH ASSESSMENT PRINT MDS 3.0 RFA STATISTICS MDS 3.0 ROSTER MDS 3.0 SUBMISSION STATISTICS BY FACILITY MDS 3.0 VENDOR LIST SECTION 7 MDS 3.0 NURSING HOME FINAL VALIDATION REPORT GENERAL INFORMATION MDS 3.0 NH FINAL VALIDATION REPORT SECTION 8 MDS 3.0 SWING BED PROVIDER REPORTS GENERAL INFORMATION MDS 3.0 SB ASSESSMENT PRINT SECTION 9 MDS 3.0 SWING BED FINAL VALIDATION REPORT GENERAL INFORMATION MDS 3.0 SB FINAL VALIDATION REPORT SECTION 10 MDS 3.0 SUBMITTER FINAL VALIDATION REPORT GENERAL INFORMATION MDS 3.0 SUBMITTER FINAL VALIDATION REPORT SECTION 11 MDS 3.0 QUALITY MEASURE REPORTS GENERAL INFORMATION INTRODUCTION SUPPORTING QM CONCEPTS ACCESSING THE MDS 3.0 QM REPORTS MDS 3.0 FACILITY CHARACTERISTICS REPORT MDS 3.0 FACILITY QUALITY MEASURE REPORT MDS 3.0 RESIDENT LEVEL QUALITY MEASURE REPORT MDS 3.0 MONTHLY COMPARISON REPORT CASPER MDS 3.0 QM REPORTS VS. NURSING HOME COMPARE SECTION 12 PAYROLL BASED JOURNAL (PBJ) REPORTS GENERAL INFORMATION D EMPLOYEE REPORT D CENSUS REPORT D INDIVIDUAL DAILY STAFFING REPORT S EMPLOYEE REPORT PBJ SUBMITTER FINAL FILE VALIDATION REPORT APPENDIX A QUICK REFERENCE GUIDE TO FINAL VALIDATION REPORTS FINAL VALIDATION REPORTS... A-2 PROVIDER (NH OR SB) FINAL VALIDATION REPORTS... A-2 SUBMITTER FINAL VALIDATION REPORTS... A-7 09/2016 v1.02 Certification And Survey Provider Enhanced Reports ii

4 1 INTRODUCTION ABOUT THIS GUIDE...2 HOW THIS GUIDE IS ORGANIZED...2 CONVENTIONS USED IN THIS GUIDE...3 SUPPORT /2015 v1.00 Certification And Survey Provider Enhanced Reports INTRODUCTION 1-1

5 ABOUT THIS GUIDE This user s guide provides information and instructions pertaining to the CASPER Reporting application. This system enables you to connect electronically to the National Reporting Database. This guide is intended for use as a reference and learning tool for accessing CASPER Reports. HOW THIS GUIDE IS ORGANIZED This user s guide is organized into the following sections: Section 1, Introduction, provides general information about this manual, its organization and document conventions. Section 2, Functionality, introduces the CASPER Reporting System and its functionality. Section 3, Utility Reports, addresses surveyor, deficiency tag, report locator, and template-listing reports. Section 6, MDS 3.0 Nursing Home Provider Reports, addresses MDS 3.0 submission, vendor, error and resident roster reports for nursing home providers. Section 7, MDS 3.0 Nursing Home Final Validation Report, addresses the Final Validation Report for nursing home providers. Section 8, MDS 3.0 Swing Bed Provider Reports, addresses the MDS 3.0 SB Assessment Print report for swing bed providers. Section 9, MDS 3.0 Swing Bed Final Validation Report, addresses the Final Validation Report for swing bed providers. Section 10, MDS 3.0 Submitter Validation Report, addresses the Final Validation Report for provider, corporate and third-party submitters. Section 11, MDS 3.0 Quality Measure (QM) Reports, addresses MDS 3.0 facility, resident and monthly comparison QM reports. Section 12, Payroll Based Journal (PBJ) Reports, address the staffing and census reports available to providers. Appendix A, Quick Reference Guide to Final Validation Reports, provides instructions for accessing and viewing MDS 3.0 Final Validation reports. 09/2015 v1.00 Certification And Survey Provider Enhanced Reports INTRODUCTION 1-2

6 CONVENTIONS USED IN THIS GUIDE This user s guide utilizes the following conventions: Feature Bold Underline Italics Point Click Select Description Identifies words, characters, buttons or commands that a user types or selects and names of web pages. Identifies a link to a web page. Identifies directory, path, file or field names, menu options or book titles. Move the mouse until the tip of the mouse pointer rests on what you want to choose on the page or window. Press and release the left mouse button without moving the mouse to select an item or execute a desired activity. Point and click to highlight an option or press a button. Double Click Click the left mouse button twice in rapid succession to select a file or execute an activity. Right Click Icons Press and release the right mouse button. Icons for specific software functions are used where applicable and available (e.g., the Microsoft Internet Explorer icon). SUPPORT You may contact the MDS Helpdesk by phone at r at Help@qtso.com if you have any questions about the application. 09/2015 v1.00 Certification And Survey Provider Enhanced Reports INTRODUCTION 1-3

7 2 FUNCTIONALITY ACCESSING THE CASPER REPORTING APPLICATION... 2 LOGIN... 3 TOOLBAR... 4 NAVIGATING THE CASPER REPORTING APPLICATION... 5 REQUESTING REPORTS... 6 SAVING REPORT CRITERIA... 9 RUNNING AND MAINTAINING SAVED CRITERIA TEMPLATES...11 VIEWING AND MODIFYING SAVED CRITERIA TEMPLATES...11 RUNNING REPORTS FROM SAVED CRITERIA TEMPLATES...12 MOVING SAVED CRITERIA TEMPLATES...13 DELETING SAVED CRITERIA TEMPLATES...13 PACKAGE REPORTS...15 SHARED FOLDERS...17 SYSTEM-GENERATED FINAL VALIDATION REPORTS...18 VIEWING, PRINTING, AND SAVING INDIVIDUAL REPORTS...22 ZIPPING, PRINTING, AND SAVING MULTIPLE REPORTS...25 CUSTOMIZING THE CASPER REPORTING TOOL...28 MAINTAINING FOLDERS...28 MOVING REPORTS...29 DELETING REPORTS...30 OTHER CUSTOMIZATIONS...31 CASPER TOPICS...33 VIEWING REPORTS OFFLINE...34 REPORT SEARCH FEATURE /2014 Certification And Survey Provider Enhanced Reports FUNCTIONALITY 2-1

8 ACCESSING THE CASPER REPORTING APPLICATION MDS nursing home (NH) and swing bed (SB) providers access the CASPER Reporting application via their Welcome to the CMS Systems for Providers page (Figure 2-1) by selecting the CASPER Reporting link. Figure 2-1. Welcome to the CMS Systems for Providers Page 08/2014 Certification And Survey Provider Enhanced Reports FUNCTIONALITY 2-2

9 Login Selecting the CASPER Reporting link from the preceding website connects you to the QIES National System Login page for CASPER Reporting (Figure 2-2). Figure 2-2. QIE National System Login Page for CASPER Reporting Enter your login information in the appropriate fields, select the Login button, and respond appropriately to any security advisories. The CASPER Topics (Home) page displays (Figure 2-3). Figure 2-3. CASPER Topics Page Home Page Pane The CASPER Topics page includes a list of related topic links in the Topics pane on the left. Refer to the CASPER Topics section of this guide for more information. 08/2014 Certification And Survey Provider Enhanced Reports FUNCTIONALITY 2-3

10 The main body of the CASPER Topics page is the Home Page pane. The Home Page pane includes a Welcome to CASPER greeting and links to the functionality available in the CASPER Reporting application. The links and descriptions of the functionality they provide are included in the Home Page pane: Logout End current session and exit the CASPER Application Folders View your output report folders and the documents in them Reports Select report categories and request reports Queue List the reports that have been requested but not yet completed Options Customize the report format, number of links displayed per page and report display size Maint Perform maintenance such as creating, renaming and/or deleting folders Home Return to this page The functionality provided by these links is also available on the CASPER Reporting application toolbar that is described below. NOTE: The graphics of the CASPER Reporting application pages in this guide depict the ViewStyle option Classic. Refer to the Other Customizations topic in this guide for information about changing your ViewStyle. Toolbar The title bar of each page of the CASPER Reporting application contains a toolbar (Figure 2-8) with which you may access the CASPER Reporting application functionality. Figure 2-4. CASPER Reporting Application Toolbar The CASPER Reporting toolbar includes the following buttons: Logout Folders MyLibrary Reports Queue Options Maint Home 08/2014 Certification And Survey Provider Enhanced Reports FUNCTIONALITY 2-4

11 You can select the buttons of the CASPER Reporting toolbar in two ways: With the mouse, you may click on a button to access the functionality associated with that button. Keyboard users may use the following shortcut keys bring focus to items on the toolbar: Alt + l Logout Alt + s Folders Alt + y MyLibrary Alt + r Reports Alt + q Queue Alt + o Options Alt + m Maint Alt + g Home With focus on a button, press the Enter key to activate or access the function associated with that button. NOTE: For users utilizing assistive reading tools, Skip navigation links and Skip to content links are available, as appropriate, at the top of each page that allow you to bypass the repetitive reading of the toolbar and, if present, other navigation items on the page. Navigating the CASPER Reporting Application To begin using the CASPER Reporting application, select one of the buttons on the CASPER toolbar in the title bar of the CASPER Topics page or a descriptive link in the Home Page pane (Figure 2-7, above). If you select the Reports button [Alt + r] from the toolbar or the Reports link from the Home Page pane, you proceed to the CASPER Reports page where you may request reports. If you select the Folders button [Alt + s] or the Folders link, you proceed to the CASPER Folders page where you may view previously requested report output. NOTE: Do not use the browser s Back and Forward buttons. To make changes to the data or navigate between pages, use the links/buttons provided in the CASPER Reporting application. 08/2014 Certification And Survey Provider Enhanced Reports FUNCTIONALITY 2-5

12 REQUESTING REPORTS 1. Select the Reports button [Alt + r] from the CASPER toolbar to access the CASPER Reports page (Figure 2-5). Figure 2-5. CASPER Reports Page The Report Categories pane on the left lists the various report categories that are available to you. Some reports are restricted to specific users/user groups. The report categories available to you may differ from those depicted in the figure above. The pane on the right lists the reports available in the selected report category. This list may span multiple pages. Use the page number links at the bottom of the pane to navigate from one page to another. 2. To request a specific report, click the abbreviated report name displayed as a black underlined link in the right pane of the page. The CASPER Reports Submit page (Figure 2-6) is presented for the selected report. 08/2014 Certification And Survey Provider Enhanced Reports FUNCTIONALITY 2-6

13 Figure 2-6. CASPER Reports Submit Page 3. Specify the desired report criteria. If another criteria selection page exists, select the Next button to proceed to it. The Back button returns you to the previous page. When you are finished specifying all of the criteria for the report, select the Submit button. NOTE: Do not use the browser s Back and Forward buttons. To make changes to the data or navigate between pages, use the links provided in the CASPER Reporting application. NOTE: The criteria choices presented on the CASPER Reports Submit pages vary depending upon the specific report requested and the level of access assigned to you. Refer to the individual report descriptions in subsequent sections of the for report-specific criteria. Following a report submission request, you receive verification that the report job was placed into the queue for processing (Figure 2-7). Figure 2-7. CASPER Reports Submit Queued Verification Page 4. If desired, select the Queue button [Alt + q] from the CASPER toolbar to view the status of a requested report. The CASPER Report Queue page (Figure 2-8) is presented. 08/2014 Certification And Survey Provider Enhanced Reports FUNCTIONALITY 2-7

14 Figure 2-8. CASPER Report Queue Page The CASPER Report Queue page provides detailed information including the report s position in the queue, the corresponding Queue ID, the name of the requested report, the processing status, and the duration (or length of time) the report has been processing. Processing # of # Reports tells you how many reports are currently being processed for all users in the nation. Position tells you where the report you submitted is in the queue. For example, if the Position is 2 of 3, this indicates that your report is next to be processed out of the 3 requests submitted nationwide. 5. Select the Refresh button to refresh the CASPER Report Queue page so that you can monitor the progress of your report. When your report is no longer listed on the CASPER Report Queue page it is done processing. NOTE: The length of time it takes to generate a report varies. You may consider logging off after requesting reports, and returning to the reporting system at a later time to retrieve them. However, some reports may process so quickly that they are delivered to your inbox before you can view them on the CASPER Report Queue page. 6. The completed report is delivered to the default folder, My Inbox. Select the Folders button [Alt + s] to access your My Inbox folder. Refer to the Viewing, Printing, Saving And Exporting Reports section of this document for more information. To request another report, select the Reports button [Alt + r] to return to the listing of available reports. The Back button [Alt + b] on the CASPER Report Queue page returns you to the previous page you were viewing. 08/2014 Certification And Survey Provider Enhanced Reports FUNCTIONALITY 2-8

15 SAVING REPORT CRITERIA The CASPER Reporting application includes functionality that allows you to save the criteria you selected for a report so that you may run it at a later time without selecting all of the criteria again. The last CASPER Reports Submit criteria page (Figure 2-9) for each report provides Template Folder and Template Name fields as well as Save and Save & Submit buttons for the purpose of saving the report criteria you selected. Figure 2-9. CASPER Reports Submit Page 1. To save report criteria, select the desired criteria options, advancing as necessary through all of the CASPER Reports Submit criteria pages. On the last CASPER Reports Submit criteria page, the generic name of the report you selected is defaulted into the Template Name field. You may save your report criteria template with this name, select another template name from the drop-down list or create a new template name by typing in the Template Name field. NOTE: If you select an existing template name from the drop-down list, the criteria previously saved in that template are replaced with the current criteria selections. In the Template Folder field, My Favorite Reports is the defaulted folder name. You may save your template into this folder or create a new folder by typing the new folder name in the Template Folder field. NOTE: The My Favorite Reports folder does not actually exist until you save a template to it. If you choose to save a template to the My Favorite Reports folder, it is created for you when you save the template. 08/2014 Certification And Survey Provider Enhanced Reports FUNCTIONALITY 2-9

16 2. Select or enter a name for your report criteria template in the Template Name field and a folder in which to save the template in the Template Folder field. 3. To run the report AND save the criteria for future use, select the Save & Submit button. The system responds with verification that the report was placed into the queue for processing (Figure 2-10). The report criteria template is saved into the folder you specified. Figure CASPER Reports Submit Queued Verification Page 4. If you wish only to save the report criteria for future use, select the Save button. The system responds with verification that the report criteria template was saved into the folder you specified (Figure 2-11). 0. Figure CASPER Reports Submit Save Verification Page 08/2014 Certification And Survey Provider Enhanced Reports FUNCTIONALITY 2-10

17 RUNNING AND MAINTAINING SAVED CRITERIA TEMPLATES To view, run or maintain a report criteria template you saved, select the MyLibrary button [Alt + y] on the CASPER toolbar. The CASPER My Library page (Figure 2-12) is presented. Figure CASPER My Library Page Your report criteria template folders are listed in the My Library(s) pane of the CASPER My Library page. The saved report criteria templates that are stored in the selected (highlighted) template folder are listed in the right pane of the page. Viewing and Modifying Saved Criteria Templates The saved report criteria template names listed in the right pane of the CASPER My Library page are links with which you may view the report criteria options saved in a template. Select the report criteria template name link to view the CASPER Reports Submit criteria page(s) with the criteria options you previously saved. Review or modify the criteria as needed, using the Next button to advance through multiple pages, if applicable. You may save the template and/or submit the report from the final CASPER Reports Submit criteria page. To view a synopsis of the saved criteria, with your mouse, point to and hover over the report icon in the Info column to the left of the template name. A Report Arguments pop-up box (Figure 2-13) containing the details of the saved criteria is presented. 08/2014 Certification And Survey Provider Enhanced Reports FUNCTIONALITY 2-11

18 Figure Template Info Report Arguments When you click the Info icon, the CASPER Document Info page (Figure 2-14) is presented for the associated template. This page displays the saved criteria selections in addition to the date the template was created and the date it was last run. If needed, use your browser s print function to print this page. Figure CASPER Document Info Page Running Reports From Saved Criteria Templates To run one or more reports without first viewing or modifying the saved criteria, check the Select box(es) to the far right of the desired template(s) and select the Rerun button on the CASPER My Library page (Figure 2-12, above). All selected reports are placed into the queue for processing. 08/2014 Certification And Survey Provider Enhanced Reports FUNCTIONALITY 2-12

19 NOTE: Use the SelectAll button to place checks in the Select boxes for all of the report criteria templates in the selected folder. The SelectAll button then changes to an UnSelectAll button with which you may remove all checks in the Select boxes. Moving Saved Criteria Templates To move one or more templates in the selected template folder to another template folder, check the Select box(es) to the far right of the desired template(s) and select the Move button on the CASPER My Library page (Figure 2-12, above). The CASPER Template Move page (Figure 2-15) presents a list of the report(s) you selected. Figure CASPER Template Move Page Open the To drop-down list and highlight the template folder to which you wish to move the selected report criteria template(s). Select the Save button. From the CASPER Template Move page, you may also change a template name. Select a template displayed under the Template Name heading and type a new name. When all changes are complete, select the Save button to retain the change. Deleting Saved Criteria Templates To delete one or more report criteria templates, check the Select box(es) to the far right of the desired template(s) and select the Delete button on the CASPER My Library page (Figure 2-12, above). A delete confirmation dialog box (Figure 2-16) is presented. Figure Delete Confirmation 08/2014 Certification And Survey Provider Enhanced Reports FUNCTIONALITY 2-13

20 Select the OK button to confirm the delete request. The CASPER DeleteCriteria page (Figure 2-17) is presented indicating the template(s) you successfully deleted. Figure CASPER DeleteCriteria Page NOTE: Upon deletion of all saved report criteria templates from a template folder, the system automatically deletes the template folder. 08/2014 Certification And Survey Provider Enhanced Reports FUNCTIONALITY 2-14

21 PACKAGE REPORTS Several report categories provide Package report listings that allow you to request multiple reports with a single submission. An example, the MDS 3.0 QM Reports category, is depicted in Figure Figure CASPER Reports Page Package Report NOTE: When submitting requests that contain multiple reports and/or facilities, expect the total processing time to increase. Please limit the number of reports you submit to a reasonable number. When a package is selected, the name of each report included in the package is presented (Figure 2-19) on the first criteria page. One or more reports are selected (checked) by default. Check and/or uncheck reports as necessary to select only those reports you need. 08/2014 Certification And Survey Provider Enhanced Reports FUNCTIONALITY 2-15

22 Figure CASPER Reports Package Specify the additional criteria on this and any subsequent criteria pages, and select the Submit button. Each report is then individually sent to the queue, processed, and delivered to your Inbox. 08/2014 Certification And Survey Provider Enhanced Reports FUNCTIONALITY 2-16

23 SHARED FOLDERS Shared folders are read-only folders into which automatically-generated reports are distributed for your facility. Two shared folders exist for and are visible to each provider. You may view the shared folders and the reports that they contain, but cannot alter, modify, delete, move, or rename these items. Select the Folders button [Alt + s] from the CASPER toolbar to access the CASPER Folders page (Figure 2-20) and view the shared folders that are available to you. Figure CASPER Folders page - Shared Validation Report Folder NOTE: Shared folders are identified with an asterisk (*) on the CASPER Folders page. A shared folder s name begins with a two-letter state abbreviation. Provider-level users see the shared folders for their facility, but cannot access shared folders for other providers. Corporate and third-party users see shared folders only for the facilities for which they submit assessments. State Agency and QIO users may see all shared folders associated with their state(s). CMS users may see all shared folders for every provider in the nation with the exception of Validation Reports (VR) folders. 08/2014 Certification And Survey Provider Enhanced Reports FUNCTIONALITY 2-17

24 System-Generated Final Validation Reports System-generated submission validation reports are placed in the shared folder named: [State Code] LTC [Facility ID] VR (for Nursing Homes) Or [State Code] SB [Provider Internal Number] VR (for Swing Bed Providers) Where: State Code = Your 2-character state code LTC = Long Term Care facility SB = Swing Bed hospital Facility ID = State assigned nursing home facility ID used for submitting MDS 2.0 and MDS 3.0 records Provider Internal Number = State-assigned swing bed hospital provider number used for submitting MDS 2.0 and MDS 3.0 records VR = Validation Report To view the reports that were placed in a shared folder, select (click on) the folder name in the list of available folders in the left-hand pane of the CASPER Folders page. The names of the reports in that folder are listed in the right-hand pane of the page. Each report name is a link to the report. System-generated Final Validation report names are formatted as follows: [Submission Date & Time].[Submission ID] For example, the name of the system-generated Final Validation report for a file that was submitted on 10/27/2010 at 2:54:32 p.m. and assigned a Submission ID of is: /2014 Certification And Survey Provider Enhanced Reports FUNCTIONALITY 2-18

25 CMS, QIO, and State Agency Shared Folders Access Because of the number of shared folders that are available to CMS, QIO, State Agency, corporate, and third-party users, a Search feature was implemented so that the specific provider folders of interest may be located and flagged for viewing. Shared folders are not visible on the CASPER Folders page by default to these users; those of interest must first be identified. 1. To search for a specific provider s shared folder, select the Maint button [Alt + m] on the CASPER toolbar. The CASPER Maintenance page (Figure 2-21) is presented. Figure CASPER Maintenance Page 2. From the Select Folder Type field drop-down list, select the Hidden Folders option and then select the Select button. 3. From the Search drop-down list, indicate the type of search criteria you are supplying: Folder Name Contains, Provider Name, or Provider Number. Enter you search criteria text in the text box provided and select the Search button [Alt + k]. A list of the folders matching your search criteria is presented on the CASPER Shared Folder Search page (Figure 2-22). 08/2014 Certification And Survey Provider Enhanced Reports FUNCTIONALITY 2-19

26 Figure CASPER Shared Folder Search Page For example, a CMS user may wish to perform a search using Folder Name Contains with an entry of IA. The results of this search returns all shared folders for the state of Iowa. NOTE: When entering search criteria, upper or lower case characters may be used. In order to narrow your results, be as specific as possible when searching for shared folders. 4. To specify the folders you wish to display on the CASPER Folders page, check the box under the Visible? heading corresponding to the provider folder(s), or select the Show All button to automatically check the box for every provider folders listed (Figure 2-27, above). Selecting the Hide All button removes all checkmarks. 5. After checking the desired boxes on the CASPER Shared Folder Search page, select Save to retain this setting. Shared folders that are set as visible are presented on the CASPER Maintenance page as shown in Figure /2014 Certification And Survey Provider Enhanced Reports FUNCTIONALITY 2-20

27 Figure CASPER Maintenance Visible Shared Folder NOTE: The Hide Folder feature is available only to certain users. To hide unwanted folders, place a checkmark in the box under the Hide Folder heading associated with the folder(s) you wish to hide or select the Hide All button [Alt + j] to hide all of the folders listed. Select the Save button to retain these settings. NOTE: Only System Administrators may delete shared folders. 08/2014 Certification And Survey Provider Enhanced Reports FUNCTIONALITY 2-21

28 VIEWING, PRINTING, AND SAVING INDIVIDUAL REPORTS 1. To view a completed report, select the Folders button [Alt + s] on the CASPER toolbar. The CASPER Folders page (Figure 2-24) is presented. By default, the My Inbox folder is selected. Reports that you request are placed in your My Inbox folder. Select another folder if necessary. Links to the reports stored in the selected folder are listed in the right-hand pane of the page. Figure CASPER Folders Page My Inbox When you hover the mouse pointer over a report icon in the Info column in the right-hand pane of the page, details of the criteria selected to generate the report appear briefly (Figure 2-25). Figure CASPER Folders Page Report Criteria Summary 08/2014 Certification And Survey Provider Enhanced Reports FUNCTIONALITY 2-22

29 NOTE: Use the report criteria information to identify the specific report you wish to view from a list of similar reports. When you select a report Info icon, the CASPER Document Info page (Figure 2-26) is presented for the associated report. This page displays the criteria selections used to generate the report in addition to other characteristics of the report document. Figure CASPER Document Info Page 2. To view a report, select the underlined report name link from the My Inbox folder (Figure 2-24, above). A report generated in the PDF format (Figure 2-27) displays in your browser with the Adobe Reader plug-in. NOTE: Other report formatting options include comma-separated values (CSV) and XLS for use with Microsoft Excel. 08/2014 Certification And Survey Provider Enhanced Reports FUNCTIONALITY 2-23

30 Figure PDF Report Display 3. To locate specific text of interest in the displayed report, perform a Find function. The Find function [Ctrl + f] is available on the Edit menu for all report formats. 4. To print a displayed PDF-formatted report, select the Print tool from the Adobe toolbar or select the Print option from the browser s File menu. 5. To save a displayed PDF-formatted report to your workstation or local network, select the Save tool from the Adobe toolbar or select the Save As option from the browser s File menu. Specify the name and destination location of your file. 08/2014 Certification And Survey Provider Enhanced Reports FUNCTIONALITY 2-24

31 ZIPPING, PRINTING, AND SAVING MULTIPLE REPORTS The CASPER Reporting application includes functionality that allows you to collect multiple reports into a single compressed (zipped) file that you may print and/or download to your workstation. Using this zip functionality, you may print multiple reports with a single print command as follows: 1. From the CASPER Folders page (Figure 2-28), select the reports you wish to include in a zipped file by checking the checkbox under the Select heading associated with each report. Figure CASPER Folders Page Reports Selected 2. Select the Zip button. A Windows File Download dialog box (Figure 2-29) opens. 08/2014 Certification And Survey Provider Enhanced Reports FUNCTIONALITY 2-25

32 Figure Windows File Download Dialog Box 3. If you wish to print the one or more reports in their entirety immediately, select the Open button. NOTE: If you prefer to save the zip file to your workstation so that you may readily view and/or print the reports it in the future, select the Save button. A WinZip window (Figure 2-30) displays the contents of the zipped file. Figure WinZip Window 4. Select (highlight) each report you wish to print. NOTE: To highlight two or more reports, press and hold the Ctrl key as you select the reports. 08/2014 Certification And Survey Provider Enhanced Reports FUNCTIONALITY 2-26

33 5. From the File menu select the Print option (Figure 2-31) or right-click and select the Print option. All pages of each report are sent to your default printer. Figure WinZip File Menu NOTE: To print select pages from the zipped reports you must open each report individually. 08/2014 Certification And Survey Provider Enhanced Reports FUNCTIONALITY 2-27

34 CUSTOMIZING THE CASPER REPORTING TOOL Maintaining Folders My Inbox is the default folder and cannot be deleted. You can, however, change the name of this folder and create additional folders. 1. Select the Maint button [Alt + m] from the CASPER toolbar. The CASPER Maintenance page (Figure 2-32) is presented. Figure CASPER Maintenance Page 2. To create a new folder, select the Insert button [Alt + i]. A NewFolder field is presented on the page. Specify the name of the new folder in the NewFolder field (Figure 2-33). Figure CASPER Maintenance Page Insert New Folder 3. Select the Save button [Alt + c] to save the new folder. 08/2014 Certification And Survey Provider Enhanced Reports FUNCTIONALITY 2-28

35 Select the Insert button again to create another folder, or the Return button [Alt + u] to return to the CASPER Folders page. 4. To delete a folder you created, check the Delete box associated with that folder and select the Save button. Moving Reports The CASPER Folders page provides you with functionality to move reports from one folder to another. 1. To move one or more reports, check the Select box to the far right of each report and select the Move button [Alt + n] (Figure 2-34). Figure CASPER Folders Page - Moving Reports 2. The CASPER Move page (Figure 2-35) lists the report(s) you selected. Figure CASPER Move Page 08/2014 Certification And Survey Provider Enhanced Reports FUNCTIONALITY 2-29

36 3. Open the drop-down list and highlight the folder to move the report(s) to. Select the Save button. 0. From the CASPER Move page, you may also change a report title. Select a report displayed under the Document Name heading and type a name for the report that is more meaningful to you. When all changes are complete, select the Save button to retain the change. Deleting Reports The CASPER Folders page also provides you with functionality to delete reports. 1. Place a check in the Select box to the far right of each report to delete on the CASPER Folders page (Figure 2-34, above) and select the Delete button [Alt + x]. A delete confirmation dialog box (Figure 2-36) is presented. Figure Delete Confirmation 2. Select the OK button to confirm the delete request. The CASPER Delete page (Figure 2-37) is presented indicating the report(s) you successfully deleted. Figure CASPER Delete Page 08/2014 Certification And Survey Provider Enhanced Reports FUNCTIONALITY 2-30

37 Other Customizations As reports accumulate in a folder, the list of reports on the CASPER Folders page may expand to multiple pages. You can access specific pages of the list via the page number links (Figure 2-38) at the bottom of the pane. Figure CASPER Folders Page To alter the number of reports per page that are displayed in a folder, and further customize the CASPER Reporting application, select the Options button [Alt + o] from the CASPER toolbar. The CASPER Options page (Figure 2-39) is presented. Figure CASPER Options Page The following items are currently available on the CASPER Options page: Rows: alters the number of reports available on each page and, therefore, the size of the report-viewing window. This setting must be between 5 and 50. Allow Share: displays when you have access to Shared Folders, but it cannot be modified. Only a CASPER Reporting Administrator can add or remove Shared Folder access. 08/2014 Certification And Survey Provider Enhanced Reports FUNCTIONALITY 2-31

38 OutputFormat: specifies the format of report output: PDF, CSV, EXCEL, or PDF Accessibility Option. The default is PDF. NOTE: When the PDF option is selected, reports are generated without accessibility tags for use with assistive reading equipment and software. When the PDF Accessibility Option is selected, report output includes accessibility tags, if available. With the PDF Accessibility Option selected, if you run a report that does not include accessibility tags, no report is generated. Select the Click here to see a listing of reports with Accessibility Option PDFs available to you link to identify the CASPER reports that include accessibility tags and the report category in which each is found. You may also run report 1205D in the Audit Reports category to view a list of the reports that include accessibility tags. ColorScheme: allows color customization of the application colors. Select from: CMS, QNE, Footprints, Original, Lavender, Forest, Wood, and Winter. ViewStyle: allows customization of the layout of your CASPER Reporting application workspace. Select from: Classic, DDLB (drop-down list box), and TreeView. The screen shots included in this manual depict the Classic ViewStyle. After selecting the desired options, select the Save button [Alt + c]. The Return button [Alt + u] on the CASPER Options page returns you to the previous page you were viewing. 08/2014 Certification And Survey Provider Enhanced Reports FUNCTIONALITY 2-32

39 CASPER TOPICS The Topics pane of the CASPER Topics page (Figure 2-40) provides instructions, notices and bulletins, helpful information, and downloadable files pertaining to the CASPER Reporting application. Figure CASPER Topics Page The CASPER Topics page is presented with each successful login to the CASPER Reporting application. To access the CASPER Topics page anytime thereafter, select the Home button [Alt + g] on the CASPER toolbar. 08/2014 Certification And Survey Provider Enhanced Reports FUNCTIONALITY 2-33

40 VIEWING REPORTS OFFLINE You can save PDF-formatted reports to a local drive and then view them with Adobe Reader at any time. Likewise, you can save and then view XLS- and CSV-formatted reports with Microsoft Excel. It is not necessary to be logged in to the CASPER Reporting application to view these types of reports offline. NOTE: In order to be viewed offline, a report must first be saved to a local drive, workstation or other storage medium. Refer to the Viewing, Printing, And Saving Reports section for instructions. 08/2014 Certification And Survey Provider Enhanced Reports FUNCTIONALITY 2-34

41 REPORT SEARCH FEATURE A search feature is available on the CASPER Reports page (Figure 2-41). It returns a list of reports (only those to which you have access) matching the search criterion you entered. The search feature is especially helpful to users with access to multiple report categories and many reports. Figure Report Search Feature To perform a search, enter the characters for which you wish to search in the Search text box and select the Search button [Alt + c]. Leave the textbox blank to receive a complete list of all reports to which you have access. Report Category, Report Name, and Report Description are searched for the criterion entered. For example, if you enter vendor as the search criterion, all reports containing vendor in the Report Category, Report Name, or Report Description are listed (Figure 2-42). Figure Report Search Results You may then select the underlined report name link to go to the criteria selection and submission page for a particular report. 08/2014 Certification And Survey Provider Enhanced Reports FUNCTIONALITY 2-35

42 3 UTILITY REPORTS GENERAL INFORMATION D DEFICIENCY TAG REPORT... 3 REPORT LOCATOR LISTING... 6 TEMPLATE LISTING REPORT /2012 Certification And Survey Provider Enhanced Reports UTILITY 3-1

43 GENERAL INFORMATION Utility reports are requested on the CASPER Reports page (Figure 3-1). Figure 3-1. CASPER Reports Page Utility Reports Category 1. Select the Utility Reports link from the Report Categories frame on the left. A list of the individual utility reports you may request displays in the righthand frame. NOTE: Only those report categories to which you have access are listed in the Report Categories frame. 2. Select the desired underlined report name link from the right-hand frame. One or more CASPER Reports Submit pages are presented providing criteria options with which you specify the information to include in your report. These options may differ for each report. 3. Choose the desired criteria and select the Submit or Next button. 4. Refer to Section 2, Functionality, of the CASPER Reporting User s Guide for assistance in viewing, printing, saving and exporting the reports you request.0. 11/2012 Certification And Survey Provider Enhanced Reports UTILITY 3-2

44 1201D DEFICIENCY TAG REPORT The Deficiency Tag Report lists the Deficiency Tags currently associated with select Deficiency Prefixes and Deficiency Types. The first CASPER Reports Submit criteria page (Figure 3-2) for report 1201D presents Deficiency Prefix options. Figure 3-2. Report 1201D CASPER Reports Submit Page 1 You must select at least one Deficiency Prefix. You may select multiple prefixes by holding down the Ctrl key as you make your selections. NOTE: The Deficiency Prefix options list contains only those Deficiency Prefixes with which active Deficiency Tags are associated. The second criteria selection page (Figure 3-3) presents Deficiency Type and Sort By options. NOTE: The second criteria selection page includes an indication of the Deficiency Prefix option(s) you selected on the first criteria selection page. 11/2012 Certification And Survey Provider Enhanced Reports UTILITY 3-3

45 Figure 3-3. Report 1201D CASPER Reports Submit Page 2 You must select at least one Deficiency Type. Options include --All Deficiencies-- (the default), 1 Conditions, 2 Standards, 3 Elements, and 4 - Requirements. You may select multiple Deficiency Types (if available) by holding down the Ctrl key as you make your selections. You may not, however, select All Deficiencies and any other Deficiency Type option. NOTE: All Deficiency Types may not exist for each Deficiency Prefix. The report is automatically sorted by Deficiency Prefix. Additional Sort By options include Tag # and Level of Requirement. The default is Tag # in Ascending order. Clear the Ascending checkbox to sort the report in descending order. The Deficiency Tag Report (Figure 3-4) details the following for the selected Deficiency Tags: Deficiency Tag Number (Tag #) Deficiency Tag Description Requirement Code o Conditions of Participation (CoP) o Standards (Std) o Elements (Ele) o Requirements (Req) Waiver Switch Level of Requirement (Deficiency Type) Categories 11/2012 Certification And Survey Provider Enhanced Reports UTILITY 3-4

46 Specialties Related Switch (only if Deficiency Prefix = D CLIA Laboratories) Specialties (only if Specialty Related = Y for CLIA laboratories) Figure 3-4. Report 1201D Deficiency Tag Report Deficiencies are totaled for each selected Deficiency Prefix. NOTE: Deficiencies that are no longer used (a Valid Through date exists) are not included in the report. 11/2012 Certification And Survey Provider Enhanced Reports UTILITY 3-5

47 REPORT LOCATOR LISTING The Report Locator Listing allows you to locate a report in the CASPER Reporting application by searching for select text in the Report Category, Report Name and Report Description fields associated with each report. The CASPER Reports Submit criteria page (Figure 3-5) for the Report Locator Listing presents Search and two Sort By options. Figure 3-5. Report Locator Listing CASPER Reports Submit Page Search is a text field in which you specify the characters to query. Complete words/names are not required, but if you use them they must be spelled correctly including any spaces, numbers or special characters. Use fragments if you are not sure. Searches are not case sensitive. Sort By options include Category Name, Report Name and Report Description. 11/2012 Certification And Survey Provider Enhanced Reports UTILITY 3-6

48 The Report Locator Listing (Figure 3-6) presents a list of the CASPER reports in which the specified search criteria was found in the Report Category, Report Name or Report Description. Figure 3-6. Report Locator Listing The Report Name, Report Category and Report Description are included for each report matching the criteria you specified. 11/2012 Certification And Survey Provider Enhanced Reports UTILITY 3-7

49 TEMPLATE LISTING REPORT The Template Listing report allows you to create a listing of the Saved Criteria report templates stored in your template library (MyLibrary). Refer to Section 2, Functionality, of the CASPER Reporting User s Guide for more information about saving and maintaining report criteria templates. The CASPER Reports Submit page (Figure 3-7) for the Report Locator Listing presents no options for you to select. No filtering is available; all of your saved templates are included in the report. Figure 3-7. Template Listing Report CASPER Reports Submit Page The Template Listing Report (Figure 3-8) presents a list of the Saved Criteria report templates stored in each of the folders in your Saved Criteria library. Figure 3-8. Template Listing Report The report lists the following for each template: Template Name Template Criteria Template Created Date Date Last Ran 11/2012 Certification And Survey Provider Enhanced Reports UTILITY 3-8

50 6 MDS 3.0 NURSING HOME PROVIDER REPORTS GENERAL INFORMATION...3 MDS 0003D/0004D PACKAGE REPORT...5 PROVIDER HISTORY PROFILE...5 PROVIDER FULL PROFILE...8 MDS 3.0 ACTIVITY...12 MDS 3.0 ADMISSION/REENTRY...15 MDS 3.0 ASSESSMENTS WITH ERROR NUMBER XXXX...17 MDS 3.0 DISCHARGES...19 MDS 3.0 ERROR DETAIL BY FACILITY...21 MDS 3.0 ERROR NUMBER SUMMARY BY FACILITY BY VENDOR...23 MDS 3.0 ERRORS BY FIELD BY FACILITY...25 MDS 3.0 MISSING ASSESSMENT...27 MDS 3.0 NH ASSESSMENT PRINT...29 MDS 3.0 RFA STATISTICS...31 MDS 3.0 ROSTER...33 MDS 3.0 SUBMISSION STATISTICS BY FACILITY...35 MDS 3.0 VENDOR LIST /2015 v1.03 Certification And Survey Provider Enhanced Reports MDS 3.0 NH 6-1 PROVIDER

51 NOTE: Unless otherwise noted, PDF is the recommended output format for the reports described herein. Excel and CSV output formats may result in a report that is not visually aesthetic. 12/2015 v1.03 Certification And Survey Provider Enhanced Reports MDS 3.0 NH 6-2 PROVIDER

52 GENERAL INFORMATION MDS 3.0 Nursing Home (NH) Provider reports are requested on the CASPER Reports page (Figure 6-1). Figure 6-1. CASPER Reports Page MDS 3.0 NH Provider Reports Category 1. Select the MDS 3.0 NH Provider link from the Report Categories frame on the left. A list of the individual MDS Nursing Home Provider reports you may request displays in the right-hand frame. NOTE: Only those report categories to which you have access are listed in the Report Categories frame. 2. Select the desired underlined report name link from the right-hand frame. One or more CASPER Reports Submit pages are presented providing criteria options with which you specify the information to include in your report. These options may differ for each report. 3. Choose the desired criteria and select the Submit or Next button. 12/2015 v1.03 Certification And Survey Provider Enhanced Reports MDS 3.0 NH 6-3 PROVIDER

53 NOTE: MDS 3.0 reports access detailed information and may require a significant amount of time to process. Once you submit your report request(s), you may consider exiting the CASPER Reporting application, and viewing the completed report(s) at a later time. 4. Refer to Section 2, Functionality, of the CASPER Reporting User s Guide for assistance in viewing, printing, saving and exporting the reports you request. NOTE: MDS 3.0 reports are automatically purged after 60 days. Some MDS 3.0 reports are queried by submission date while others are queried by target date. The submission date is the date on which the file was submitted to the MDS 3.0 Submission system. Target date is based on the value of A0310F, Entry/Discharge Reporting. The following is a list of target dates: Discharge Date (A2000) for A0310F = 10, 11 or 12 Entry Date (A1600) for A0310F = 01 Assessment Reference Date (A2300) for A0310F = 99 NOTE: As of March 18, 2012, item X0100 (Type of Record) was replaced with item A0050 (Type of Record). Item X0100 will appear as A0050 in all previously submitted records with target dates after September 30, Resident ID is an internal ID that the MDS 3.0 Submission system assigns to the resident. It is not an ID assigned to the resident by the Long Term Care facility. This ID number is not the same as the Resident ID field of the MDS data set. Assessment ID is an internal identifier the MDS Submission system assigns to a resident s assessment. NOTE: Only federally required (A0410 = 3) assessments and residents for whom federally required assessments were submitted are included in the MDS 3.0 Nursing Home (NH) Provider reports. 12/2015 v1.03 Certification And Survey Provider Enhanced Reports MDS 3.0 NH 6-4 PROVIDER

54 MDS 0003D/0004D PACKAGE REPORT The MDS 0003D/0004D Package Report provides facility, corporate, and third-party users access to the CASPER Standard reports 0003D Provider History Profile and 0004D Provider Full Profile. NOTE: State Agency and CMS Central and Regional Office users must submit reports 0003D and 0004D from the Standard report category rather than use the MDS 0003D/0004D Package Report. The criteria selection page (Figure 6-2) for the MDS 0003D/0004D Package Report presents a Reports option to facility users. Figure 6-2. CASPER Reports Submit Page MDS 0003D/0004D Package Report Facility Users Reports options include 0003D Provider History Profile and 0004D Provider Full Profile. You must select (check) at least one of these report options. NOTE: The CASPER Reports Submit criteria pages presented to corporate and third-party users offer State and Facility Lookup filter options with which they may select a maximum of 25 facilities. Corporate and third-party users may generate reports for only those facilities to which they are authorized. Provider History Profile The CASPER Report 0003D Provider History Profile (Figure 6-3) is a multipage report that presents Current survey information, including all deficiencies, for the current year in the following groupings: General Provider Information Program Requirements LSC Deficiencies Deficiency Summary Complaint Survey Information LTC Resident Census 12/2015 v1.03 Certification And Survey Provider Enhanced Reports MDS 3.0 NH 6-5 PROVIDER

55 Figure 6-3. CASPER Report 0003D Provider History Profile (Page 1) The information provided in each section of the report includes: General Provider Information o Provider Name and Address o State s Region Code o Compliance Status o CMS Certification Number (CCN) o Phone Number o Participation Date o Total Provider Beds o Certified Provider Beds o Provider Category o Type Action o Type Ownership Program Requirements o Current Survey/Revisit Dates o Prior 3 Survey Date 12/2015 v1.03 Certification And Survey Provider Enhanced Reports MDS 3.0 NH 6-6 PROVIDER

56 o o o o Prior 2 Survey Date Prior 1 Survey Date Current Survey Requirement - Scope and Severity Code - Plan/Date of Correction - Deficiency Prefix Code - Deficiency Tag Number and Description LSC Deficiencies o Edition of LSC Applied o o o o o Prior 3 Survey Date Prior 2 Survey Date Prior 1 Survey Date Current Survey LSC Deficiencies (by Building) - Scope and Severity Code) - Plan/Date of Correction - Deficiency Prefix Code - Deficiency Tag Number and Description Deficiency Summary o Totals by Type of Deficiency for each of the 4 most-recent surveys Complaint Survey Information o Survey Date o Status LTC Resident Census o Census Date o o Resident Counts - Total - Medicare - Medicaid - Other Certified Beds - Total - SNF - SNF/NF 12/2015 v1.03 Certification And Survey Provider Enhanced Reports MDS 3.0 NH 6-7 PROVIDER

57 - NF - ICF/IID A legend defines the following notations on the report:! = Past Non-compliance * = Regional Office Flag (Includes COPs) C = Date of Correction N = No Date Given P = Plan of Correction R = Refused to Correct W = Waived F = FSES X = Deficient ELE = Element STD = Standard COP = Condition REQ = Requirement Provider Full Profile The CASPER Report 0004D Provider Full Profile (Figure 6-4) is a multi-page report that presents provider profile and Current survey information, including all deficiencies, for the current year in the following groupings: General Provider Information LTC Resident Census Program Requirements Building Characteristics LSC Deficiencies Resident Characteristics Deficiency Summary 12/2015 v1.03 Certification And Survey Provider Enhanced Reports MDS 3.0 NH 6-8 PROVIDER

58 Figure 6-4. CASPER Report 0004D Provider Full Profile (Page 1) The information provided in each section of the report includes: General Provider Information Provider Name and Address State s Region Code Compliance Status CMS Certification Number (CCN) Phone Number Participation Date Total Provider Beds Certified Provider Beds Provider Category Type Action Type Ownership LTC Resident Census Resident Census Date Resident Counts Total Medicare Medicaid Other 12/2015 v1.03 Certification And Survey Provider Enhanced Reports MDS 3.0 NH 6-9 PROVIDER

59 Certified Beds Total SNF SNF/NF NF ICF/IID Program Requirements Survey Dates Extended Survey Dates Date Provider Signed POC Revisit Dates Details Scope and Severity Code Tag Number Requirement Plan/Date of Correction Status of Deficiency Number and Percentage of Providers Not Meeting the Requirement in the State, Region, and Nation Building Characteristics Building Number Type of Building Edition of LSC Applied LSC Compliance Status LSC Deficiencies Survey Dates Date Provider Signed POC Revisit Dates Details Scope and Severity Code Building Number Tag Number Requirement Plan/Date of Correction Status of Deficiencies Number and Percentage of Providers Not Meeting the Requirement in the State, Region and Nation 12/2015 v1.03 Certification And Survey Provider Enhanced Reports MDS 3.0 NH 6-10 PROVIDER

60 Resident Characteristics Census Tag Number Census Tag Description Provider, State, Region, and Nation Totals and Percentages Deficiency Summary Type of Deficiency Total for Provider Average Number of Deficiencies per Provider for the State, Region, and Nation 12/2015 v1.03 Certification And Survey Provider Enhanced Reports MDS 3.0 NH 6-11 PROVIDER

61 MDS 3.0 ACTIVITY The MDS 3.0 Activity report lists the accepted assessments, tracking records, and inactivation requests that were submitted by or on behalf of a facility during a specified timeframe. The criteria selection page (Figure 6-5) for the MDS 3.0 Activity report presents Date Criteria, from (mm/dd/yyyy), and thru (mm/dd/yyyy) options. Figure 6-5. CASPER Reports Submit Page - MDS 3.0 Activity Date Criteria defines the date range of the data to include in the report. The drop-down list includes the following options: Fiscal Year to Date Month to Date Prior Business Day Prior Business Week Prior Calendar Week Prior Fiscal Year Prior Month Prior Quarter Prior Year Quarter to Date Today Week to Date Year to Date Yesterday from (mm/dd/yyyy) and thru (mm/dd/yyyy) dates are pre-filled based upon the Date Criteria option you selected. You can select different dates by using the calendar icons or by entering the information manually in an mm/dd/yyyy format. An error message is presented if the date criteria are invalid. Examples include missing from and/or thru dates, the from date being after the thru date, and the use of future dates, alpha characters, or an incorrect date format. 12/2015 v1.03 Certification And Survey Provider Enhanced Reports MDS 3.0 NH 6-12 PROVIDER

62 The MDS 3.0 Activity report (Figure 6-6) details the following data from assessments, tracking records, and inactivation requests that were submitted within the specified timeframe. Resident Internal ID Social Security Number (SSN) Resident Name (last name and first name) Medicare Number Date of Birth (DOB) Gender A0310A (Federal OBRA Reason for Assessment) A0310B (PPS Assessments) A0310C (PPS Other Medicare Required Assessment OMRA) A0310D (Is this a Swing Bed clinical change assessment?) A0310F (Entry/discharge reporting) A0310G (Type of discharge) Item Subset Code (ISC) Target Date Submission Date Calculated Medicare (MCR) RUG (based on the recalculated Z0100A value) Calculated Medicaid (MCD) RUG (based on the recalculated Z0100A value) A0050 (Type of Record) X0800 (Correction Number) X1100E (Attestation Date) 12/2015 v1.03 Certification And Survey Provider Enhanced Reports MDS 3.0 NH 6-13 PROVIDER

63 Figure 6-6. MDS 3.0 Activity* * Fictitious, sample data is depicted. The report is sorted in ascending order by Last Name, First Name, Resident ID, ISC, Submission Date, A0050, and X /2015 v1.03 Certification And Survey Provider Enhanced Reports MDS 3.0 NH 6-14 PROVIDER

64 MDS 3.0 ADMISSION/REENTRY The MDS 3.0 Admission/Reentry report lists the residents who were admitted to or reentered a facility during a specified timeframe. Only those residents for whom accepted assessments were submitted with A0310F (Entry/discharge reporting) equal to 01, A1700 (Type of entry) equal to 1 or 2, and A1600 (Entry Date) within the specified timeframe are reported. The criteria selection page (Figure 6-7) for the MDS 3.0 Admission/Reentry report presents Date Criteria, from (mm/dd/yyyy), and thru (mm/dd/yyyy) options. Figure 6-7. CASPER Reports Submit Page - MDS 3.0 Admission/Reentry Date Criteria defines the date range of the data to include in the report. The drop-down list includes the following options: Fiscal Year to Date Month to Date Prior Business Day Prior Business Week Prior Calendar Week Prior Fiscal Year Prior Month Prior Quarter Prior Year Quarter to Date Today Week to Date Year to Date Yesterday from (mm/dd/yyyy) and thru (mm/dd/yyyy) dates are pre-filled based upon the Date Criteria option you selected. You can select different dates by using the calendar icons or by entering the information manually in an mm/dd/yyyy format. An error message is presented if the date criteria are invalid. 12/2015 v1.03 Certification And Survey Provider Enhanced Reports MDS 3.0 NH 6-15 PROVIDER

65 Examples include missing from and/or thru dates, the from date being after the thru date, and the use of future dates, alpha characters, or an incorrect date format. The MDS 3.0 Admission/Reentry report (Figure 6-8) details the following for the residents admitted (A0310F = 01 and A1700 = 1) and reentered (A0310F = 01 and A1700 = 2) with an Entry Date (A1600) within the specified timeframe. Resident Internal ID Social Security Number (SSN) Resident Name (last name and first name) Date of Birth (DOB) Gender Item Subset Code (ISC) A0310F (Entry/discharge reporting) Entry Type (Entry when A1700 = 1; Reentry when A1700 = 2) Entry Date (A1600) Submission Date Figure 6-8. MDS 3.0 Admission/Reentry Report* * Fictitious, sample data is depicted. The report is sorted in ascending order by Last Name, First Name, Resident Internal ID and Entry Date. A total number of admissions/reentries is provided for the facility. 12/2015 v1.03 Certification And Survey Provider Enhanced Reports MDS 3.0 NH 6-16 PROVIDER

66 MDS 3.0 ASSESSMENTS WITH ERROR NUMBER XXXX The MDS 3.0 Assessments with Error Number XXXX report lists the assessments submitted with a specified error for a facility during a specified timeframe. The criteria selection page (Figure 6-9) for the MDS 3.0 Assessments with Error Number XXXX report presents Date Criteria, from (mm/dd/yyyy), thru (mm/dd/yyyy), and Error Number options. Figure 6-9. CASPER Reports Submit Page - MDS 3.0 Assessments with Error Number XXXX Date Criteria defines the date range of the data to include in the report. The drop-down list includes the following options: Fiscal Year to Date Month to Date Prior Business Day Prior Business Week Prior Calendar Week Prior Fiscal Year Prior Month Prior Quarter Prior Year Quarter to Date Today Week to Date Year to Date Yesterday from (mm/dd/yyyy) and thru (mm/dd/yyyy) dates are pre-filled based upon the Date Criteria option you selected. You can select different dates by using the calendar icons or by entering the information manually in an mm/dd/yyyy format. An error message is presented if the date criteria are invalid. 12/2015 v1.03 Certification And Survey Provider Enhanced Reports MDS 3.0 NH 6-17 PROVIDER

67 Examples include missing from and/or thru dates, the from date being after the thru date, and the use of future dates, alpha characters, or an incorrect date format. You must select at least one Error Number. You may select up to five error numbers. The MDS 3.0 Assessments with Error Number XXXX report (Figure 6-10) details the following for the assessments submitted during the specified timeframe that encountered the specified error. Submission Date Resident Name (last name and first name) Assessment ID Field in Error Value in Error Figure MDS 3.0 Assessments with Error Number XXXX Report The report is sorted in ascending order by Error Number, Submission Date, last name, first name, and Assessment ID. 12/2015 v1.03 Certification And Survey Provider Enhanced Reports MDS 3.0 NH 6-18 PROVIDER

68 MDS 3.0 DISCHARGES The MDS 3.0 Discharges report lists the residents discharged (A0310F = 10, 11, or 12) from a facility during a specified timeframe. The criteria selection page (Figure 6-11) for the MDS 3.0 Discharges report presents Date Criteria, from (mm/dd/yyyy), and thru (mm/dd/yyyy) options. Figure CASPER Reports Submit Page MDS 3.0 Discharges Date Criteria defines the date range of the data to include in the report. The drop-down list includes the following options: Fiscal Year to Date Month to Date Prior Business Day Prior Business Week Prior Calendar Week Prior Fiscal Year Prior Month Prior Quarter Prior Year Quarter to Date Today Week to Date Year to Date Yesterday from (mm/dd/yyyy) and thru (mm/dd/yyyy) dates are pre-filled based upon the Date Criteria option you selected. You can select different dates by using the calendar icons or by entering the information manually in an mm/dd/yyyy format. An error message is presented if the date criteria are invalid. Examples include missing from and/or thru dates, the from date being after the thru date, and the use of future dates, alpha characters, or an incorrect date format. 12/2015 v1.03 Certification And Survey Provider Enhanced Reports MDS 3.0 NH 6-19 PROVIDER

69 The MDS 3.0 Discharges report (Figure 6-12) details the following for the residents discharged (A0310F = 10, 11, or 12) with a Discharge Date (A2000) within the specified timeframe. Resident Internal ID Social Security Number (SSN) Resident Name (last name and first name) Item Subset Code (ISC) A0310F (Entry/discharge reporting) A0310G (Type of discharge) A2100 (Discharge Status) Discharge Date (A2000) Submission Date Figure MDS 3.0 Discharges Report* * Fictitious, sample data is depicted. The report is sorted in ascending order by Last Name, First Name, Resident Internal ID, A0310F value and Discharge Date. A total number of discharges is provided for the facility. 12/2015 v1.03 Certification And Survey Provider Enhanced Reports MDS 3.0 NH 6-20 PROVIDER

70 MDS 3.0 ERROR DETAIL BY FACILITY The MDS 3.0 Error Detail by Facility report details the errors encountered in successful submissions made by or on behalf of a facility during a specified timeframe. The criteria selection page (Figure 6-13) for the MDS 3.0 Error Detail by Facility report presents Date Criteria, from (mm/dd/yyyy), and thru (mm/dd/yyyy) options. Figure CASPER Reports Submit Page MDS 3.0 Error Detail By Facility Date Criteria defines the date range of the data to include in the report. The drop-down list includes the following options: Fiscal Year to Date Month to Date Prior Business Day Prior Business Week Prior Calendar Week Prior Fiscal Year Prior Month Prior Quarter Prior Year Quarter to Date Today Week to Date Year to Date Yesterday from (mm/dd/yyyy) and thru (mm/dd/yyyy) dates are pre-filled based upon the Date Criteria option you selected. You can select different dates by using the calendar icons or by entering the information manually in an mm/dd/yyyy format. An error message is presented if the date criteria are invalid. Examples include missing from and/or thru dates, the from date being after 12/2015 v1.03 Certification And Survey Provider Enhanced Reports MDS 3.0 NH 6-21 PROVIDER

71 the thru date, and the use of future dates, alpha characters, or an incorrect date format. The MDS 3.0 Error Detail by Facility report (Figure 6-14) lists the following about the errors encountered by the facility during the specified timeframe: Assessment ID Item Subset Code (ISC) Submission Date Error Number Error Description Error Type Field In Error Value In Error Figure MDS 3.0 Error Detail by Facility Report The report is sorted in ascending order by Submission Date, Assessment ID, and Error Number. 12/2015 v1.03 Certification And Survey Provider Enhanced Reports MDS 3.0 NH 6-22 PROVIDER

72 MDS 3.0 ERROR NUMBER SUMMARY BY FACILITY BY VENDOR The MDS 3.0 Error Number Summary by Facility by Vendor report summarizes the errors encountered on assessments submitted by or on behalf of a facility during a specified timeframe. The criteria selection page (Figure 6-15) for the MDS 3.0 Error Number Summary by Facility by Vendor report presents Date Criteria, from (mm/dd/yyyy), and thru (mm/dd/yyyy) options. Figure CASPER Reports Submit Page - MDS 3.0 Error Number Summary by Facility by Vendor Date Criteria defines the date range of the data to include in the report. The drop-down list includes the following options: Fiscal Year to Date Month to Date Prior Business Day Prior Business Week Prior Calendar Week Prior Fiscal Year Prior Month Prior Quarter Prior Year Quarter to Date Today Week to Date Year to Date Yesterday from (mm/dd/yyyy) and thru (mm/dd/yyyy) dates are pre-filled based upon the Date Criteria option you selected. You can select different dates by using the calendar icons or by entering the information manually in an mm/dd/yyyy format. An error message is presented if the date criteria are invalid. Examples include missing from and/or thru dates, the from date being after 12/2015 v1.03 Certification And Survey Provider Enhanced Reports MDS 3.0 NH 6-23 PROVIDER

73 the thru date, and the use of future dates, alpha characters, or an incorrect date format. The MDS 3.0 Error Number Summary by Facility by Vendor report (Figure 6-16) summarizes the errors encountered by vendor during the specified timeframe as follows: Vendor Name (displays not submitted if a Vendor EIN was not submitted) Vendor Address Vendor Error Number Error Message Number of Errors Percentage of Assessments with the Error Figure MDS 3.0 Error Number Summary by Facility by Vendor The report is grouped by Vendor EIN. Errors are sorted in descending order by Error Number, Number of Errors. NOTE: Errors are listed once per vendor. A total number of errors is provided for the facility. 12/2015 v1.03 Certification And Survey Provider Enhanced Reports MDS 3.0 NH 6-24 PROVIDER

74 MDS 3.0 ERRORS BY FIELD BY FACILITY The MDS 3.0 Errors by Field by Facility report lists the errors encountered in the fields of successful submissions made by or on behalf of a facility during a specified timeframe. The criteria selection page (Figure 6-17) for the MDS 3.0 Errors by Field by Facility report presents Date Criteria, from (mm/dd/yyyy), and thru (mm/dd/yyyy) options. Figure CASPER Reports Submit Page MDS 3.0 Errors By Field By Facility Date Criteria defines the date range of the data to include in the report. The drop-down list includes the following options: Fiscal Year to Date Month to Date Prior Business Day Prior Business Week Prior Calendar Week Prior Fiscal Year Prior Month Prior Quarter Prior Year Quarter to Date Today Week to Date Year to Date Yesterday from (mm/dd/yyyy) and thru (mm/dd/yyyy) dates are pre-filled based upon the Date Criteria option you selected. You can select different dates by using the calendar icons or by entering the information manually in an mm/dd/yyyy format. An error message is presented if the date criteria are invalid. Examples include missing from and/or thru dates, the from date being after 12/2015 v1.03 Certification And Survey Provider Enhanced Reports MDS 3.0 NH 6-25 PROVIDER

75 the thru date, and the use of future dates, alpha characters, or an incorrect date format. The MDS 3.0 Errors by Field by Facility report (Figure 6-18) summarizes the following for the fields in error in submissions during the specified timeframe. Field In Error Number of Submitted Assessments with Field in Error Number of Submitted Assessments Processed Percentage of Submission Assessments with Field in Error Figure MDS 3.0 Errors by Field by Facility Report Errors are sorted in ascending order by Field in Error. NOTE: Errors are listed once. 12/2015 v1.03 Certification And Survey Provider Enhanced Reports MDS 3.0 NH 6-26 PROVIDER

76 MDS 3.0 MISSING ASSESSMENT The MDS 3.0 Missing OBRA Assessment report lists the residents in select facilities for whom the target date of the most recent OBRA assessment (other than a discharge or death record) is more than 138 days prior to the report run date. The report also includes residents for whom no OBRA record was submitted for a current episode that began more than 60 days prior to the report run date. NOTE: Residents for whom the target date of all OBRA and PPS assessments is more than 36 months prior to the report run date are excluded from the report. The criteria selection page (Figure 6-19) for the MDS 3.0 Missing OBRA Assessment report presents no options. Figure CASPER Reports Submit Page - MDS 3.0 Missing Assessment The MDS 3.0 Missing OBRA Assessment (Figure 6-20) details the following for each resident in the facility where, for the last assessment received, the value of A0310F is not 10, 11, or 12 (discharge or death assessment) and the target date is more than 138 days in the past. The report also includes residents for whom no OBRA record was submitted for a current episode that began more than 60 days in the past. NOTE: If no OBRA assessments exist for a resident but one or more PPS assessments do exist, the PPS assessment with the latest target date is displayed on the report. Resident Identifiers Resident Internal ID Resident Name (last name, first name) Social Security Number (SSN) Date of Birth 12/2015 v1.03 Certification And Survey Provider Enhanced Reports MDS 3.0 NH 6-27 PROVIDER

77 Gender Last Record Identifiers OBRA A0310A (Federal OBRA Reason for Assessment/Tracking) PPS A0310B (PPS Assessment) Target Date Figure MDS 3.0 Missing OBRA Assessment* * Fictitious, sample data is depicted. The report is sorted in ascending order by Resident Name (Last, First). NOTE: The information included in the report is only as current as the date of the last submission by the facility. 12/2015 v1.03 Certification And Survey Provider Enhanced Reports MDS 3.0 NH 6-28 PROVIDER

78 MDS 3.0 NH ASSESSMENT PRINT The MDS 3.0 NH Assessment Print report details the most recent assessment items submitted for a select Assessment ID. The criteria selection page (Figure 6-21) for the MDS 3.0 NH Assessment Print report presents an Assessment ID option. Figure CASPER Reports Submit Page - MDS 3.0 NH Assessment Print You must enter a valid Assessment ID. Only those assessments submitted by or on behalf of the facility to which your User ID is authorized are allowed. NOTE: Only those assessments with A0410 = 3 are available for reporting. The MDS 3.0 NH Assessment Print report (Figure 6-22) details the following for the specified Assessment ID: Facility Name Resident Name Assessment ID Item Subset Code (ISC) Section Label o Assessment Item ID o Assessment Item Description o Assessment Item Value NOTE: The MDS 3.0 NH Assessment Print report contains privacy information. 12/2015 v1.03 Certification And Survey Provider Enhanced Reports MDS 3.0 NH 6-29 PROVIDER

79 Figure MDS 3.0 NH Assessment Print* * Fictitious, sample data is depicted. Only those items that are active for the ISC are included in the report. The value of an active item for which a blank was submitted is shown as a caret (^). The value of a check box item that was checked is shown as Yes; the value of a check box item that was unchecked is shown as No. 12/2015 v1.03 Certification And Survey Provider Enhanced Reports MDS 3.0 NH 6-30 PROVIDER

80 MDS 3.0 RFA STATISTICS The MDS 3.0 RFA Statistics report summarizes for a facility the reasons for assessment for accepted assessments submitted during a specified timeframe. The criteria selection page (Figure 6-23) for the MDS 3.0 RFA Statistics report presents Date Criteria, from (mm/dd/yyyy), and thru (mm/dd/yyyy) options. Figure CASPER Reports Submit Page - MDS 3.0 RFA Statistics Date Criteria defines the date range of the data to include in the report. The drop-down list includes the following options: Fiscal Year to Date Month to Date Prior Business Day Prior Business Week Prior Calendar Week Prior Fiscal Year Prior Month Prior Quarter Prior Year Quarter to Date Today Week to Date Year to Date Yesterday from (mm/dd/yyyy) and thru (mm/dd/yyyy) dates are pre-filled based upon the Date Criteria option you selected. You can select different dates by using the calendar icons or by entering the information manually in an mm/dd/yyyy format. An error message is presented if the date criteria are invalid. Examples include missing from and/or thru dates, the from date being after 12/2015 v1.03 Certification And Survey Provider Enhanced Reports MDS 3.0 NH 6-31 PROVIDER

81 the thru date, and the use of future dates, alpha characters, or an incorrect date format. The MDS 3.0 RFA Statistics report (Figure 6-24) summarizes by reason for assessment (values of Item Subset Code [ISC], A0310A, A0310B, A0310C, A0310F, and A0310G) accepted assessment records that were submitted within the specified timeframe. Figure MDS 3.0 RFA Statistics The report is sorted in ascending order by ISC, A0310A, A0310B, A0310C and A0310F. Record totals are provided for each ISC and the facility. 12/2015 v1.03 Certification And Survey Provider Enhanced Reports MDS 3.0 NH 6-32 PROVIDER

82 MDS 3.0 ROSTER The MDS 3.0 Roster report lists residents of select facilities for whom the latest accepted, federally required assessment is not a discharge assessment (A0310F = 10, 11, or 12) and the target date is less than 36 months prior to the report run date. NOTE: When Target Dates are the same, a Discharge assessment is assumed to have happened after an Entry assessment and the resident is excluded from the report. The criteria selection page (Figure 6-25) for the MDS 3.0 Roster report presents no options. Figure CASPER Reports Submit Page - MDS 3.0 Roster The MDS 3.0 Roster report (Figure 6-26) details the following for each resident where the value of A0310F submitted in the last assessment submitted is not 10, 11, or 12. Resident Internal ID Social Security Number (SSN) Resident Name (last name and first name) Date of Birth (DOB) Gender / Race / Ethnicity Item Subset Code (ISC) A0310A (Federal OBRA Reason for Assessment) A0310B (PPS Assessment) A0310C (PPS Other Medicare Required Assessment OMRA) A0310F (Entry/discharge reporting) Target Date Submission Date Admission Date 12/2015 v1.03 Certification And Survey Provider Enhanced Reports MDS 3.0 NH 6-33 PROVIDER

83 Admission Type (Admission or Reentry) Figure MDS 3.0 Roster Report* * Fictitious, sample data is depicted. The report is sorted in ascending order by Resident Name (Last, First). NOTE: The information included in the report is only as current as the date of the last submission by the facility. Therefore, for example, if the facility has submitted no assessments in the last two weeks, the information on the report is two weeks old. A total number of residents included in the report is provided for the facility. 12/2015 v1.03 Certification And Survey Provider Enhanced Reports MDS 3.0 NH 6-34 PROVIDER

84 MDS 3.0 SUBMISSION STATISTICS BY FACILITY The MDS 3.0 Submission Statistics by Facility report summarizes the submissions made by or on behalf of a facility during a specified timeframe. The criteria selection page (Figure 6-27) for the MDS 3.0 Submission Statistics by Facility report presents Date Criteria, from (mm/dd/yyyy) and thru (mm/dd/yyyy) options. Figure CASPER Reports Submit Page - MDS 3.0 Submission Statistics by Facility Date Criteria defines the date range of the data to include in the report. The drop-down list includes the following options: Fiscal Year to Date Month to Date Prior Business Day Prior Business Week Prior Calendar Week Prior Fiscal Year Prior Month Prior Quarter Prior Year Quarter to Date Today Week to Date Year to Date Yesterday 12/2015 v1.03 Certification And Survey Provider Enhanced Reports MDS 3.0 NH 6-35 PROVIDER

85 from (mm/dd/yyyy) and thru (mm/dd/yyyy) dates are pre-filled based upon the Date Criteria option you selected. You can select different dates by using the calendar icons or by entering the information manually in an mm/dd/yyyy format. An error message is presented if the date criteria are invalid. Examples include missing from and/or thru dates, the from date being after the thru date, and the use of future dates, alpha characters, or an incorrect date format. The MDS 3.0 Submission Statistics by Facility report (Figure 6-28) provides the following details for each batch of assessments submitted during the specified timeframe: Submission Date/Time Submission ID Records Processed Records Rejected Records Accepted Reject Percentage Vendor Name 12/2015 v1.03 Certification And Survey Provider Enhanced Reports MDS 3.0 NH 6-36 PROVIDER

86 Figure MDS 3.0 Submission Statistics by Facility Report Submissions are sorted in descending order by Submission Date/Time. The following totals are provided for the facility: Records Processed Records Rejected Records Accepted Reject Percentage 12/2015 v1.03 Certification And Survey Provider Enhanced Reports MDS 3.0 NH 6-37 PROVIDER

87 MDS 3.0 VENDOR LIST The MDS Vendor List report lists all current vendors for select states. The criteria selection page (Figure 6-29) for the MDS 3.0 Vendor List presents no options. Figure CASPER Reports Submit Page MDS 3.0 Vendor List The Vendor List report (Figure 6-30) details the following for the vendors submitting assessments for facilities in the state associated with the requestor s facility: Vendor Name Vendor Address Contact Telephone Number/Extension Address 12/2015 v1.03 Certification And Survey Provider Enhanced Reports MDS 3.0 NH 6-38 PROVIDER

88 Figure MDS Vendor List Vendors are listed in ascending order by Vendor Name and Vendor Employer Identification Number (EIN). 12/2015 v1.03 Certification And Survey Provider Enhanced Reports MDS 3.0 NH 6-39 PROVIDER

89 7 MDS 3.0 NURSING HOME (NH) FINAL VALIDATION REPORT GENERAL INFORMATION... 2 MDS 3.0 NH FINAL VALIDATION REPORT /2016 v1.02 Certification And Survey Provider Enhanced Reports MDS 3.0 NH 7-1 FINAL VALIDATION

90 GENERAL INFORMATION The MDS 3.0 system automatically creates an MDS 3.0 Nursing Home (NH) Final Validation report within 24 hours of the submission of a file. These automatically-generated reports are placed in the provider s final validation reports folder, which is named: [State Code] LTC [Facility ID] VR If necessary, you may request another final validation report for a specific submission file or date range by selecting the MDS 3.0 NH Final Validation report category. The MDS 3.0 NH Final Validation report category is requested on the CASPER Reports page (Figure 7-1). NOTE: The records included in an automatically-generated MDS 3.0 NH Final Validation report for a particular submission are identical to the records included in a user-generated MDS 3.0 NH Final Validation report for the same submission. However, differences in the order in which the records are presented may exist. Figure 7-1. Category CASPER Reports Page MDS 3.0 NH Final Validation Report 1. Select the MDS 3.0 NH Final Validation category link from the Report Categories frame on the left. A link to the MDS 3.0 NH Final Validation report displays in the right-hand frame. NOTE: Only those report categories to which you have access are listed in the Report Categories frame. 09/2016 v1.02 Certification And Survey Provider Enhanced Reports MDS 3.0 NH 7-2 FINAL VALIDATION

91 2. Select the desired underlined report name link from the right-hand frame. One or more CASPER Reports Submit pages are presented providing criteria options with which you specify the information to include in your report. These options may differ for each report. 3. Choose the desired criteria and select the Submit or Next button. NOTE: MDS 3.0 reports access detailed information and may require a significant amount of time to process. Once you submit your report request(s), you may consider exiting the CASPER Reporting application, and viewing the completed report(s) at a later time. 4. Refer to Section 2, Functionality, of the CASPER Reporting User s Guide for assistance in viewing, printing, saving and exporting the reports you request. The MDS 3.0 NH Final Validation report is queried by submission date or Submission ID. The submission date is the date on which the file was submitted to the MDS 3.0 Submission system. NOTE: MDS 3.0 reports are automatically purged after 60 days. 09/2016 v1.02 Certification And Survey Provider Enhanced Reports MDS 3.0 NH 7-3 FINAL VALIDATION

92 MDS 3.0 NH FINAL VALIDATION REPORT The MDS 3.0 NH Final Validation Report provides detailed information about the status of select submission files. The report indicates whether the records submitted in each were accepted or rejected and details the warning and fatal errors encountered. The criteria selection page (Figure 7-2) for the MDS 3.0 NH Final Validation Report presents Submission ID, Date Criteria, from (mm/dd/yyyy), and thru (mm/dd/yyyy) options. Figure 7-2. Report CASPER Reports Submit Page - MDS 3.0 NH Final Validation You must enter either a valid Submission ID or submission date criteria. NOTE: An error results if you enter both a Submission ID and date criteria. Because of this, there is no default value for the Date Criteria field. Date Criteria defines the date range of the data to include in the report. The drop-down list includes the following options: Fiscal Year to Date Month to Date Prior Business Day Prior Business Week Prior Calendar Week Prior Fiscal Year Prior Month Prior Quarter Prior Year Quarter to Date Today 09/2016 v1.02 Certification And Survey Provider Enhanced Reports MDS 3.0 NH 7-4 FINAL VALIDATION

93 Week to Date Year to Date Yesterday from (mm/dd/yyyy) and thru (mm/dd/yyyy) dates are pre-filled based upon the Date Criteria option you selected. You can select different dates by using the calendar icons or by entering the information manually in an mm/dd/yyyy format. An error message is presented if the date criteria are invalid. Examples include the from date being after the thru date and the use of future dates, alpha characters or an incorrect date format. Only those submissions for nursing homes to which your User ID is authorized are allowed. NOTE: As of March 18, 2012, item X0100 (Type of Record) was replaced with item A0050 (Type of Record). Item X0100 will appear as A0050 in all previously submitted records with target dates after September 30, The MDS 3.0 NH Final Validation Report (Figure 7-3) details the following for the specified submission file. Report Field CMS Submission Report MDS 3.0 NH Final Validation Submission Date/Time Processing Completion Date/Time Submission ID Submission File Name Submission File Status State Code Facility ID Facility Name Submitter User ID # of Records in Submission File # Records Processed Report Field Description The title of the report. The sub-title of the report. The date and time that the submission file was received by the MDS 3.0 system. The time is recorded to the nearest second. mm/dd/yyyy hh:mm:ss The date and time that the processing of the file was complete. The time is recorded to the nearest second. mm/dd/yyyy hh:mm:ss The unique identifier assigned to the submission file when it was received by the system. The name of the submitted zip file. The status of the submitted file Completed or Error. If the file is in error, the file cannot be processed. Examples of the Error status are: the file could not be unzipped or there was a database error. The facility s two-character state code. The unique alphanumeric, state-assigned facility identifier. The name of the facility that created the assessment record. The user ID of the submitter. The number of valid records (accepted and rejected) submitted in the submission file. The total number of records that were processed (accepted and rejected) for the facility from the submission file. 09/2016 v1.02 Certification And Survey Provider Enhanced Reports MDS 3.0 NH 7-5 FINAL VALIDATION

94 Report Field Report Field Description # Records Accepted The total number of records that were saved to the database from the submission file. # Records Rejected The total number of records for the facility that were not saved to the database because of fatal errors in the record. # Duplicate Records The total number of records for the facility that were not saved into the database because they were duplicate records. # Records The total number of records for the facility that were Submitted Without submitted by a user without authority to submit for the Facility Authority facility. # Records Submitted But Not Allowed Total # of Messages Record Number ID The total number of records that were submitted with neither federal nor state submission authority. These records have A0410 = 1 or 2 from a facility in a state that does not collect sub_req 2 records. The total number of errors (fatal errors and warnings) for all records for the facility in the submission file. The order that the records in the submission file were processed for the facility and for which the errors are being reported. Record Status The status of the individual record. Accepted or Rejected displays when the record was accepted or rejected. Asmt_ID The unique ID assigned to the assessment by the MDS 3.0 Name Res_Int_ID SSN A0200 A0310A Medicare Number A0310B A0310C system. The resident s last (A0500C) name and first (A0500A) name. When A0050 = 3 (Inactivation) the values of X0200A and X0200C are displayed. The unique number assigned to the resident by the system. The combination of state code and resident internal ID uniquely identifies the resident in the national repository. This field is populated if the resident exists on the resident table (new residents created by an accepted record are on the table). The field is displayed as 0 if the resident is new and the record is rejected. The resident s Social Security Number (A0600A). When A0050 = 3 (Inactivation) the value of X0500 is displayed. The type of provider: 1 = nursing home. The value submitted in the Federal OBRA Reason for Assessment/Tracking item. When A0050 = 3 (Inactivation), the value of X0600A is displayed. The resident s Medicare Number (A0600B). The value submitted in the PPS Assessment item. When A0050 = 3 (Inactivation), the value of X0600B is displayed. The value submitted in the PPS Other Medicare Required Assessment (OMRA). When A0050 = 3 (Inactivation), the value of X0600C is displayed. 09/2016 v1.02 Certification And Survey Provider Enhanced Reports MDS 3.0 NH 7-6 FINAL VALIDATION

95 Report Field A0050 A0310D A0310E Target Date A0310F A0310G A0310H Attestation Date (X1100E) Item Subset Code Data Specs Version # XML File Name MDS 3.0 Item(s) Item Values Message Number Message Report Field Description The type of record: New Record, Modification or Inactivation. If A0050 = 1, this record is a new original assessment. If A0050 = 2, the current record is a request to modify an existing record in the MDS 3.0 system. If A0050 = 3, the current record is a request to inactivate an existing record in the MDS 3.0 system. Swing Bed clinical change assessment indicator. When A0050 = 3 (Inactivation), the value of X0600D is displayed. First assessment (OBRA or PPS) since the most recent admission indicator. The target date of the record. mm/dd/yyyy The value submitted in the Entry/Discharge reporting item. When A0050 = 3 (Inactivation), the value of X0600F is displayed. The value submitted in the Type of Discharge reporting item. The value submitted in the SNF Part A PPS Discharge Assessment item. The attestation date (X1100E) of the record. This field is blank if the record is an original record. mm/dd/yyyy The submitted item subset code. The version number of the data submission specifications (SPEC_VRSN_CD) used to create the XML record. The name of the XML file. The MDS 3.0 item identifier(s) from the item set in which an error (either fatal or warning) occurred. NOTE: If values are compared for more than one field at a time, both item identifiers display. The submitted data value and the recalculated data value, if applicable, that caused the error or warning condition. The number used to identify the error that was encountered for the corresponding field. The description of the error that was encountered for the corresponding field. NOTE: The number of errors (messages) listed on the report for each record (assessment) included in the submission file is limited to a number defined by the State agency. 09/2016 v1.02 Certification And Survey Provider Enhanced Reports MDS 3.0 NH 7-7 FINAL VALIDATION

96 Figure 7-3. MDS 3.0 NH Final Validation Report* * Fictitious, sample data is depicted. The report is sorted by MDS Submission ID, Last Name, First Name, Submission Processing Order Num, Assessment ID, Error Type Description, Item in Error, and Value in Error Text. 09/2016 v1.02 Certification And Survey Provider Enhanced Reports MDS 3.0 NH 7-8 FINAL VALIDATION

97 8 MDS 3.0 SWING BED (SB) PROVIDER REPORTS GENERAL INFORMATION... 2 MDS 3.0 SB ASSESSMENT PRINT /2016 v1.00 Certification And Survey Provider Enhanced Reports MDS 3.0 SB 8-1 PROVIDER

98 GENERAL INFORMATION MDS 3.0 Swing Bed (SB) Provider reports are requested on the CASPER Reports page (Figure 8-1). Figure 8-1. CASPER Reports Page MDS 3.0 SB Provider Report Category 1. Select the MDS 3.0 SB Provider link from the Report Categories frame on the left. A list of the individual MDS SB Provider reports you may request displays in the right-hand frame. NOTE: Only those report categories to which you have access are listed in the Report Categories frame. 2. Select the desired underlined report name link from the right-hand frame. One or more CASPER Reports Submit pages are presented providing criteria options with which you specify the information to include in your report. These options may differ for each report. 3. Choose the desired criteria and select the Submit or Next button. 09/2016 v1.00 Certification And Survey Provider Enhanced Reports MDS 3.0 SB 8-2 PROVIDER

99 4. Refer to Section 2, Functionality, of the CASPER Reporting User s Guide for assistance in viewing, printing, saving and exporting the reports you request. 0. NOTE: MDS 3.0 reports are automatically purged after 60 days. NOTE: As of March 18, 2012, item X0100 (Type of Record) was replaced with item A0050 (Type of Record). Item X0100 will appear as A0050 in all previously submitted records with target dates after September 30, /2016 v1.00 Certification And Survey Provider Enhanced Reports MDS 3.0 SB 8-3 PROVIDER

100 MDS 3.0 SB ASSESSMENT PRINT The MDS 3.0 SB Assessment Print report details the most recent federally required assessment items submitted in a select Assessment ID. The criteria selection page (Figure 8-2) for the MDS 3.0 SB Assessment Print report presents an Assessment ID option. Figure 8-2. CASPER Reports Submit Page - MDS 3.0 SB Assessment Print You must enter a valid Assessment ID. Assessment ID is an internal identifier the MDS Submission system assigns to a resident s assessment. NOTE: Only those assessments with A0410 = 3 are available for reporting. The MDS 3.0 SB Assessment Print report (Figure 8-3) details the following for the specified Assessment ID: State Facility ID Swing Bed Name Resident Name Assessment ID Item Subset Code (ISC) Submitted Assessment Items o Assessment Item ID o Assessment Item Description o Assessment Item Value 09/2016 v1.00 Certification And Survey Provider Enhanced Reports MDS 3.0 SB 8-4 PROVIDER

101 Figure 8-3. MDS 3.0 SB Assessment Print* * Fictitious, sample data is depicted. Only those items that are active for the ISC are included in the report. The value of an active item for which a blank was submitted is shown as a caret (^). The value of a check box item that was checked is shown as Yes; the value of a check box item that was unchecked is shown as No. NOTE: The MDS 3.0 SB Assessment Print report contains privacy information. 09/2016 v1.00 Certification And Survey Provider Enhanced Reports MDS 3.0 SB 8-5 PROVIDER

102 9 MDS 3.0 SWING BED (SB) FINAL VALIDATION REPORT GENERAL INFORMATION... 2 MDS 3.0 SB FINAL VALIDATION REPORT /2016 v1.01 Certification And Survey Provider Enhanced Reports MDS 3.0 SB 9-1 FINAL VALIDATION

103 GENERAL INFORMATION The MDS 3.0 system automatically creates an MDS 3.0 Swing Bed (SB) Final Validation Report within 24 hours of the submission of a file. These automatically-generated reports are placed in the provider s final validation reports folder, which is named: [State Code] SB [Swing Bed ID] VR If necessary, you may request another final validation report for a specific submission file or date range by selecting the MDS 3.0 SB Final Validation Report category. The MDS 3.0 SB Final Validation Report category is requested on the CASPER Reports page (Figure 9-1). NOTE: The records included in an automatically-generated MDS 3.0 SB Final Validation Report for a particular submission are identical to the records included in a user-generated MDS 3.0 SB Final Validation Report for the same submission. However, differences in the order in which the records are presented may exist. Figure 9-1. CASPER Reports Page MDS 3.0 SB Final Validation Report Category 1. Select the MDS 3.0 SB Final Validation category link from the Report Categories frame on the left. A link to the MDS 3.0 SB Final Validation Report displays in the right-hand frame. NOTE: Only those report categories to which you have access are listed in the Report Categories frame. 09/2016 v1.01 Certification And Survey Provider Enhanced Reports MDS 3.0 SB 9-2 FINAL VALIDATION

104 2. Select the desired underlined report name link from the right-hand frame. One or more CASPER Reports Submit pages are presented providing criteria options with which you specify the information to include in your report. These options may differ for each report. 3. Choose the desired criteria and select the Submit or Next button. NOTE: MDS 3.0 reports access detailed information and may require a significant amount of time to process. Once you submit your report request(s), you may consider exiting the CASPER Reporting application, and viewing the completed report(s) at a later time. 4. Refer to Section 2, Functionality, of the CASPER Reporting User s Guide for assistance in viewing, printing, saving and exporting the reports you request. The MDS 3.0 SB Final Validation Report is queried by submission date or Submission ID. The submission date is the date on which the file was submitted to the MDS 3.0 Submission system. NOTE: MDS 3.0 reports are automatically purged after 60 days. 09/2016 v1.01 Certification And Survey Provider Enhanced Reports MDS 3.0 SB 9-3 FINAL VALIDATION

105 MDS 3.0 SB FINAL VALIDATION REPORT The MDS 3.0 SB Final Validation Report provides detailed information about the status of select submission files. The report indicates whether the records submitted in each were accepted or rejected and details the warning and fatal errors encountered. The criteria selection page (Figure 9-2) for the MDS 3.0 SB Final Validation Report presents Submission ID, Date Criteria, from (mm/dd/yyyy), and thru (mm/dd/yyyy) options. Figure 9-2. CASPER Reports Submit Page - MDS 3.0 SB Final Validation Report You must enter either a valid Submission ID or submission date criteria. NOTE: An error results if you enter both a Submission ID and date criteria. Because of this, there is no default value for the Date Criteria field. Date Criteria defines the date range of the data to include in the report. The drop-down list includes the following options: Fiscal Year to Date Month to Date Prior Business Day Prior Business Week Prior Calendar Week Prior Fiscal Year Prior Month Prior Quarter Prior Year Quarter to Date Today 09/2016 v1.01 Certification And Survey Provider Enhanced Reports MDS 3.0 SB 9-4 FINAL VALIDATION

106 Week to Date Year to Date Yesterday from (mm/dd/yyyy) and thru (mm/dd/yyyy) dates are pre-filled based upon the Date Criteria option you selected. You can select different dates by using the calendar icons or by entering the information manually in an mm/dd/yyyy format. An error message is presented if the date criteria are invalid. Examples include the from date being after the thru date and the use of future dates, alpha characters or an incorrect date format. NOTE: As of March 18, 2012, item X0100 (Type of Record) was replaced with item A0050 (Type of Record). Item X0100 will appear as A0050 in all previously submitted records with target dates after September 30, The MDS 3.0 SB Final Validation Report (Figure 9-3) details the following for the specified submission file. NOTE: The number of errors (messages) listed on the report for each record (assessment) included in the submission file is limited to a number defined by the State agency. Report Field CMS Submission Report MDS 3.0 SB Final Validation Submission Date/Time Processing Completion Date/Time Submission ID Submission File Name Submission File Status State Code Swing Bed ID Swing Bed Name Submitter User ID Report Field Description This is the title of the report. This is the sub-title of the report. The date and time that the submission file was received by the MDS 3.0 system. The time is recorded to the nearest second. mm/dd/yyyy hh:mm:ss The date and time that the processing of the file was complete. The time is recorded to the nearest second. mm/dd/yyyy hh:mm:ss The unique identifier assigned to the submission file when it was received by the system. The name of the submitted zip file. The status of the submitted file Completed or Error. If the file is in error, the file cannot be processed. Examples of the Error status are: the file could not be unzipped or there was a database error. The provider s two-character state code. The unique state-assigned facility identifier. The name of the provider that created the assessment record. The user ID of the submitter. 09/2016 v1.01 Certification And Survey Provider Enhanced Reports MDS 3.0 SB 9-5 FINAL VALIDATION

107 Report Field Report Field Description # of Records in The number of valid records (accepted and rejected) Submission File submitted in the submission file. # Records The total number of records that were processed (accepted Processed and rejected) for the facility from the submission file. # Records Accepted The total number of records that were saved to the database from the submission file. # Records Rejected The total number of records for the facility that were not saved to the database because of fatal errors in the record. # Duplicate Records The total number of records for the facility that were not saved into the database because they were duplicate records. # Records Submitted Without Facility Authority # Records Submitted But Not Allowed Total # of Messages Record Number ID The total number of records for the facility that were submitted by a user without authority to submit for the facility. The total number of records that were submitted with neither federal nor state submission authority. These records have A0410 = 1 or 2 from a facility in a state that does not collect sub_req 2 records. The total number of errors (fatal errors and warnings) for all records for the facility in the submission file. The order that the records in the submission file were processed for the facility and for which the errors are being reported. Record Status The status of the individual record. Accepted or Rejected displays when the record was accepted or rejected. Asmt_ID The unique ID assigned to the assessment by the MDS 3.0 Name Res_Int_ID SSN A0200 A0310A Medicare Num A0310B A0310C system. The patient s last (A0500C) name and first (A0500A) name. When A0050 = 3 (Inactivation), the values of X0200A and X0200D are displayed. The unique number assigned to the resident (patient) by the system. The combination of state code and resident internal ID uniquely identifies the patient in the national repository. This field is populated if the patient exists on the resident table (new residents created by an accepted record are on the table). The field is displayed as 0 if the resident is new and the record is rejected. The patient s Social Security Number (A0600A). When A0050 = 3 (Inactivation), the value of X0500 is displayed. The type of provider: 2 = swing bed. The value submitted in the Federal OBRA Reason for Assessment/Tracking item. When A0050 = 3 (Inactivation), the value of X0600A is displayed. The patient s Medicare Number (A0600B). The value submitted in the PPS Assessment item. When A0050 = 3 (Inactivation), the value of X0600B is displayed. The value submitted in the PPS Other Medicare Required Assessment (OMRA). When A0050 = 3 (Inactivation), the value of X0600C is displayed. 09/2016 v1.01 Certification And Survey Provider Enhanced Reports MDS 3.0 SB 9-6 FINAL VALIDATION

108 Report Field A0050 A0310D A0310E Target Date A0310F A0310G A0310H Attestation Date (X1100E) Item Subset Code Data Specs Version # XML File Name MDS 3.0 Item(s) Item Values Message Number Message Report Field Description The type of record: New Record, Modification or Inactivation. If A0050 = 1, this record is a new original assessment. If A0050 = 2, the current record is a request to modify an existing record in the MDS 3.0 system. If A0050 = 3, the current record is a request to inactivate an existing record in the MDS 3.0 system. Swing Bed clinical change assessment indicator. When A0050 = 3 (Inactivation), the value of X0600D is displayed. First assessment (OBRA or PPS) since the most recent admission indicator. The target date of the record. mm/dd/yyyy The value submitted in the Entry/Discharge reporting item. When A0050 = 3 (Inactivation), the value of X0600F is displayed. The value submitted in the Type of Discharge reporting item. The value submitted in the SNF Part A PPS Discharge Assessment item. The attestation date (X1100E) of the record. This field is blank if the record is an original record. mm/dd/yyyy The submitted item subset code. The version number of the data submission specifications (SPEC_VRSN_CD) used to create the XML record. The name of the XML file. The MDS 3.0 item identifier(s) from the item set in which an error (either fatal or warning) occurred. NOTE: If values are compared for more than one field at a time, both item identifiers display. The submitted data value and the recalculated data value, if applicable, that caused the error or warning condition. The number used to identify the error that was encountered for the corresponding field. The description of the error that was encountered for the corresponding field. 09/2016 v1.01 Certification And Survey Provider Enhanced Reports MDS 3.0 SB 9-7 FINAL VALIDATION

109 Figure 9-3. MDS 3.0 SB Final Validation Report* * Fictitious, sample data is depicted. The report is sorted by Submission ID, Last Name, First Name, Submission Processing Order Num, Assessment ID, Error Type Description, Item in Error, and Value in Error Text. 09/2016 v1.01 Certification And Survey Provider Enhanced Reports MDS 3.0 SB 9-8 FINAL VALIDATION

110 10 MDS 3.0 SUBMITTER FINAL VALIDATION REPORT GENERAL INFORMATION... 2 MDS 3.0 SUBMITTER FINAL VALIDATION REPORT /2016 v1.01 Certification And Survey Provider Enhanced Reports MDS 3.0 SUBMTR 10-1 FINAL VALIDATION

111 GENERAL INFORMATION The MDS 3.0 Submitter Validation category is requested on the CASPER Reports page (Figure 10-1). Figure CASPER Reports Page MDS 3.0 Submitter Validation Report Category 1. Select the MDS 3.0 Submitter Validation category link from the Report Categories frame on the left. A link to the MDS 3.0 Submitter Final Validation Report displays in the right-hand frame. NOTE: Only those report categories to which you have access are listed in the Report Categories frame. 2. Select the desired underlined report name link from the right-hand frame. One or more CASPER Reports Submit pages are presented providing criteria options with which you specify the information to include in your report. These options may differ for each report. 3. Choose the desired criteria and select the Submit or Next button. 09/2016 v1.01 Certification And Survey Provider Enhanced Reports MDS 3.0 SUBMTR 10-2 FINAL VALIDATION

112 NOTE: MDS 3.0 reports access detailed information and may require a significant amount of time to process. Once you submit your report request(s), you may consider exiting the CASPER Reporting application, and viewing the completed report(s) at a later time. 4. Refer to Section 2, Functionality, of the CASPER Reporting User s Guide for assistance in viewing, printing, saving and exporting the reports you request. NOTE: MDS 3.0 reports are automatically purged after 60 days. 09/2016 v1.01 Certification And Survey Provider Enhanced Reports MDS 3.0 SUBMTR 10-3 FINAL VALIDATION

113 MDS 3.0 SUBMITTER FINAL VALIDATION REPORT The MDS 3.0 Submitter Final Validation Report provides detailed information about the status of a select submission file. The report indicates whether the records submitted in the file were accepted or rejected and details the warning and fatal errors encountered. The criteria selection page (Figure 10-2) for the MDS 3.0 Submitter Final Validation Report presents a Submission ID field. Figure CASPER Reports Submit Page - MDS 3.0 Submitter Final Validation Report You must enter a valid Submission ID. NOTE: You may request an MDS 3.0 Submitter Final Validation Report only for those files that you submitted. NOTE: As of March 18, 2012, item X0100 (Type of Record) was replaced with item A0050 (Type of Record). Item X0100 will appear as A0050 in all previously submitted records with target dates after September 30, The MDS 3.0 Submitter Final Validation Report (Figure 10-3) details the following for the specified submission file. Report Field CMS Submission Report MDS 3.0 Submitter Final Validation Submission Date/Time Processing Completion Date/Time Report Field Description The title of the report. The sub-title of the report. The date and time the submission file was received by the MDS 3.0 system. The time is recorded to the nearest second. mm/dd/yyyy hh:mm:ss The date and time the file processing was complete. The time is recorded to the nearest second. mm/dd/yyyy hh:mm:ss 09/2016 v1.01 Certification And Survey Provider Enhanced Reports MDS 3.0 SUBMTR 10-4 FINAL VALIDATION

114 Report Field Submission ID Submission File Name Submission File Status Report Field Description The unique identifier assigned to the submission file when it was received by the system. The name of the submitted zip file. The status of the submitted file Completed or Error. If the file is in error, the file could not be processed. Examples of the Error status are: the file could not be unzipped or there was a database error. The user ID of the submitter. The number of records (accepted, rejected, and invalid) in the submission file. Submitter User ID # of Records in Submission File # Invalid Records The number of records in the submission file unable to be processed due to a file defect. Examples of invalid files are not an XML files (i.e. Word document,.jpg picture) or XML files that are not well-formed. # Records Processed The total number of records processed (accepted and rejected) for the facility from the submission file. # Records Accepted The total number of records saved to the database from the submission file. # Records Rejected The total number of records for the facility that were not saved to the database because of fatal errors in the record. # Duplicate Records The total number of records for the facility that were not saved to the database because they were duplicate records. # Records Submitted Without Facility Authority # Records Submitted But Not Allowed Total # of Messages Record Number or ID Status State Code Asmt_ID Facility or Hospital ID The total number of records for the facility submitted by a user without authority to submit for the facility. The total number of records submitted with neither federal nor state submission authority. These records have A0410 = 1 or 2 from a facility in a state that does not collect sub_req 2 records. The total number of errors (fatal errors and warnings) for all records for the facility in the submission file. The order in which the records in the submission file were processed and for which the errors are being reported. The status of the individual record. Accepted or Rejected displays when a record was accepted or rejected. Invalid displays when the record could not be validated because it was an invalid XML or unexpected type of file, such as a Word doc. The facility s two-character state code. The unique ID assigned to the assessment by the MDS 3.0 system. The unique alphanumeric, state-assigned provider identifier. For nursing home (A0200 = 1) providers, Facility ID displays. For swing bed units (A0200 = 2), Hospital ID displays. 09/2016 v1.01 Certification And Survey Provider Enhanced Reports MDS 3.0 SUBMTR 10-5 FINAL VALIDATION

115 Report Field Res_Int_ID Facility or Hospital Name Name SSN A0200 A0310A Medicare Num A0310B A0310C A0050 A0310D A0310E Target Date A0310F A0310G A0310H Report Field Description The unique number assigned to the resident by the system. The combination of state code and resident internal ID uniquely identifies the resident in the national repository. This field is populated if the resident exists on the resident table (new residents created by an accepted record are on the table). The field is displayed as 0 if the resident is new and the record is rejected. The name of the provider associated with the assessment record. If the type of provider is a nursing home (A0200 = 1), Facility Name displays. If the type of provider is a swing bed unit (A0200 = 2), Hospital Name displays. The resident s or patient s last (A0500C) name and first (A0500A) name. When A0050 = 3 (Inactivation) the values of X0200A and X0200C are displayed. The resident s or patient s Social Security Number (A0600A). When A0050 = 3 (Inactivation) the value of X0500 is displayed. The type of provider: 1 = nursing home, 2 = swing bed. The value submitted in the Federal OBRA Reason for Assessment/Tracking item. When A0050 = 3 (Inactivation), the value of X0600A is displayed. The resident s or patient s Medicare Number. (A0600B). The value submitted in the PPS Assessment item. When A0050 = 3 (Inactivation), the value of X0600B is displayed. The value submitted in the PPS Other Medicare Required Assessment (OMRA). When A0050 = 3 (Inactivation), the value of X0600C is displayed. The type of record: New Record, Modification or Inactivation. If A0050 = 1, this record is a new original assessment. If A0050 = 2, the current record is a request to modify an existing record in the MDS 3.0 system. If A0050 = 3, the current record is a request to inactivate an existing record in the MDS 3.0 system. Swing Bed clinical change assessment indicator. When A0050 = 3 (Inactivation), the value of X0600D is displayed. First assessment (OBRA or PPS) since the most recent admission indicator. The target date of the record. mm/dd/yyyy The value submitted in the Entry/Discharge reporting item. When A0050 = 3 (Inactivation), the value of X0600F is displayed. The value submitted in the Type of Discharge reporting item. The value submitted in the SNF Part A PPS Discharge Assessment item. 09/2016 v1.01 Certification And Survey Provider Enhanced Reports MDS 3.0 SUBMTR 10-6 FINAL VALIDATION

116 Report Field Attestation Date (X1100E) Item Subset Code Data Specs Version # XML File Name MDS 3.0 Item(s) Item Values Message Number Message Report Field Description The attestation date (X1100E) of the record. This field is blank if the record is an original record. mm/dd/yyyy The submitted item subset code. The version number of the data submission specifications (SPEC_VRSN_CD) used to create the XML record. The name of the XML file. The MDS 3.0 item identifier(s) from the item set in which an error (either fatal or warning) occurred. NOTE: If values are compared for more than one field at a time, both item identifiers display. The submitted data value and the recalculated data value, if applicable, causing the error or warning condition. The number used to identify the error encountered for the indicated field. The description of the error encountered for the indicated field. NOTE: The number of errors (messages) listed on the report for each record (assessment) included in the submission file is limited to a number defined by the State agency. 09/2016 v1.01 Certification And Survey Provider Enhanced Reports MDS 3.0 SUBMTR 10-7 FINAL VALIDATION

117 Figure MDS 3.0 Submitter Final Validation Report* * Fictitious, sample data is depicted. The report is sorted by State Code, Facility ID, Last Name, First Name, Assessment ID, and Item in Error. 09/2016 v1.01 Certification And Survey Provider Enhanced Reports MDS 3.0 SUBMTR 10-8 FINAL VALIDATION

118 11 MDS 3.0 QUALITY MEASURE (QM) REPORTS GENERAL INFORMATION...2 INTRODUCTION...2 SUPPORTING QM CONCEPTS...2 ACCESSING THE MDS 3.0 QM REPORTS...4 MDS 3.0 FACILITY CHARACTERISTICS REPORT...5 MDS 3.0 FACILITY LEVEL QUALITY MEASURE REPORT...9 MDS 3.0 RESIDENT LEVEL QUALITY MEASURE REPORT...14 MDS 3.0 MONTHLY COMPARISON REPORT...17 CASPER MDS 3.0 QM REPORTS VS. NURSING HOME COMPARE /2015 v1.00 Certification And Survey Provider Enhanced Reports MDS 3.0 QM 11-1

119 GENERAL INFORMATION Introduction This section of the CASPER Reporting User s Guide explains the information that is presented in the MDS 3.0 Quality Measure (QM) reports in addition to how to access these reports. It does not provide a full explanation of either the ways in which the resident samples are selected to produce the reports or the calculation logic that is used for each of the QMs. For complete details of record selection and measure definitions refer to the MDS 3.0 Quality Measures User s Manual that is posted on CMS s web site. NOTE: We strongly urge users of the QM reports to consult the MDS 3.0 Quality Measures User s Manual in order to understand the reports and to use them properly. Included at the end of this section of the CASPER Reporting User s Guide is a description of the differences between the CASPER MDS 3.0 QM reports and the information available on the Nursing Home Compare web site. Supporting QM Concepts An assessment s target date is identified based on the value of A0310F, Entry/Discharge Reporting. The following is a list of target dates: Discharge Date (A2000) for A0310F = 10, 11 or 12 Entry Date (A1600) for A0310F = 01 Assessment Reference Date (A2300) for A0310F = 99 Resident ID is an internal ID that the MDS 3.0 Submission system assigns to the resident. It is not an ID assigned to the resident by the Long Term Care facility. This ID number is not the same as the Resident ID field of the MDS data set. NOTE: Only federally required (A0410 = 3) assessments and residents for whom federally required assessments were submitted are included in the MDS 3.0 QM reports. The MDS 3.0 Quality Measures are as follows ( S indicates a short-stay measure and L indicates long-stay measure; abbreviated measure names appear on the reports): Self-Reported Moderate to Severe Pain (S) Self-Reported Moderate to Severe Pain (L)* 09/2015 v1.00 Certification And Survey Provider Enhanced Reports MDS 3.0 QM 11-2

120 High-Risk Residents with Pressure Ulcers (L) New/Worsened Pressure Ulcers (S)* Physical Restraints (L) Falls (L) Falls with Major Injury (L) Residents Who Newly Received an Antipsychotic Medication (S) Residents Who Received an Antipsychotic Medication (L) Antianxiety/Hypnotic Medication Use (L) Behavior Symptoms Affecting Others (L) Depressive Symptoms (L) Urinary Tract Infection (L) Catheter Inserted and Left in Bladder (L)* Low-Risk Residents Who Lose Bowel/Bladder Control (L) Excessive Weight Loss (L) Need for Help with ADLs Has Increased (L) * Risk-adjusted Quality Measure using resident-level covariates for public reporting. 09/2015 v1.00 Certification And Survey Provider Enhanced Reports MDS 3.0 QM 11-3

121 Accessing the MDS 3.0 QM Reports MDS 3.0 Quality Measure (QM) Reports are requested on the CASPER Reports page (Figure 11-1). Figure CASPER Reports Page MDS 3.0 QM Reports Category 1. Select the MDS 3.0 QM Reports link from the Report Categories frame on the left. A list of the MDS 3.0 Quality Measure reports you may request displays in the right-hand frame. NOTE: Only those report categories to which you have access are listed in the Report Categories frame. 2. Select the desired underlined report name link from the right-hand frame. One or more CASPER Reports Submit pages are presented providing criteria options with which you specify the information to include in your report. These options may differ for each report. 3. Choose the desired criteria and select the Submit or Next button. NOTE: MDS 3.0 reports access detailed information and may require a significant amount of time to process. Once you submit your report request(s), you may consider exiting the CASPER Reporting application, and viewing the completed report(s) at a later time. 4. Refer to Section 2, Functionality, of the CASPER Reporting User s Guide for assistance in viewing, printing, saving, and exporting the reports you request. NOTE: MDS 3.0 reports are automatically purged after 60 days. 09/2015 v1.00 Certification And Survey Provider Enhanced Reports MDS 3.0 QM 11-4

122 MDS 3.0 FACILITY CHARACTERISTICS REPORT The MDS 3.0 Facility Characteristics Report identifies potential areas for further emphasis or review as part of a survey or a facility s quality assurance and improvement processes. It provides facility demographic information and includes comparison state and national percentages for a specified timeframe. By comparing the facility percentages with the state and national average percentages, you can determine whether the facility s demographic characteristics differ from the norm. The MDS 3.0 Facility Characteristics report is only available for nursing homes (A0200 = 1) submitting Federal (A0410 = 3) assessments. Facility characteristics may indicate a need to concentrate a review on certain resident groups. Examples include: A very old population An unusually high percentage of male residents A higher than average percentage of residents with psychiatric, intellectually disabled, or developmentally disabled diagnoses A higher than average percentage of residents receiving hospice care A higher than average percentage of admission assessments The criteria page (Figure 11-2) provides Begin Date, End Date, and Comparison Group options. It also indicates the date on which the current data were calculated and available for reporting. Figure CASPER Reports Submit Page MDS 3.0 Facility Characteristics Report 09/2015 v1.00 Certification And Survey Provider Enhanced Reports MDS 3.0 QM 11-5

123 The Begin and End dates define the date range of data to report. Beginning and ending dates for the previous full six-month period are pre-filled into these fields. You may enter different dates in mm/dd/yyyy format. The Begin date must be 10/01/2010 or later, but must not be later than the date the current data were calculated. The End date must be later than the Begin date. Future dates are not valid. Error messages appear if the date criteria are invalid. State and national comparison data are delayed by two months in order to allow for the time it takes to finalize and publicize this data. The most recent six-month period available for reporting state and national comparison data are three months prior to the current month. The default value of the Comparison Group field is the most recent six-month period. You may select earlier periods from the drop-down list. The MDS 3.0 Facility Characteristics Report (Figure 11-3) is divided into two sections: the header and the body. The information contained in the header is as follows: Facility ID. The facility s ID used for submission of MDS 3.0 records. CCN. The facility s CMS Certification Number. Facility Name. The name of the facility. City/State. The location of the facility. Data was calculated on. The QM statistics are automatically recalculated weekly in order to account for newly submitted data. The date in this field shows the last date this system calculation occurred. Report period. The dates in this field reflect the reporting period that was selected by the user when the report was requested. Comparison group. State and national statistics are automatically calculated for various time periods and these pre-calculated statistics are used to produce comparison group statistics in the body of the report. The dates in this field indicate the comparison group time period that was used for the report. Run date. This is the date that the report was run. Report version number. As the reporting system software is updated, this version number will change. This field shows the version that was used to produce the report. The body of the MDS 3.0 Facility Characteristics Report details the Facility Numerator, Facility Denominator, Facility Observed Percentage, Comparison Group State Average, and Comparison Group National Average for each of the following resident characteristics for the selected facility and reporting period: 09/2015 v1.00 Certification And Survey Provider Enhanced Reports MDS 3.0 QM 11-6

124 Gender o Male o Female Age o <25 years old o years old o years old o years old o years old o 85+ years old Diagnostic Characteristics o Psychiatric diagnosis o Intellectual or Developmental Disability o Hospice Prognosis o Life expectancy of less than 6 months Discharge Plan o Not already occurring o Already occurring Referral o Not needed o Is or may be needed but not yet made o Has been made Type of Entry o Admission o Reentry Entered Facility From o Community o Another nursing home o Acute Hospital o Psychiatric Hospital o Inpatient Rehabilitation Facility o ID/DD facility o Hospice o Long Term Care Hospital o Other 09/2015 v1.00 Certification And Survey Provider Enhanced Reports MDS 3.0 QM 11-7

125 Figure MDS 3.0 Facility Characteristics Report The Numerator indicates the number of residents with the identified characteristic and the Denominator indicates the number of residents in the facility. Simple average percentages are provided for each resident characteristic among all facilities in the state and nation for the selected Comparison Group period. 09/2015 v1.00 Certification And Survey Provider Enhanced Reports MDS 3.0 QM 11-8

126 MDS 3.0 FACILITY LEVEL QUALITY MEASURE REPORT For each QM, the MDS 3.0 Facility Level Quality Measure Report shows the facility percentage and how the facility compares with other facilities in their state and in the nation. This report helps facilities identify possible areas for further emphasis in facility quality improvement activities or investigation during the survey process. The MDS 3.0 Facility Level Quality Measure Report displays QM numerator and denominator counts for a select period. It includes the facility s observed and adjusted triggered percentages as well as state and national average percentage comparisons and a national ranking for each measure. The criteria selection page (Figure 11-4) for the MDS 3.0 Facility Level Quality Measure Report presents Begin Date (mm/dd/yyyy), End Date (mm/dd/yyyy), and Comparison Group options. The date the most recent quality measure data were calculated is indicated. Figure CASPER Reports Submit Page - MDS 3.0 Facility Level Quality Measure Report Begin Date (mm/dd/yyyy) and End Date (mm/dd/yyyy) dates are pre-filled for the most recent completed six-month period prior to the month the data were last calculated. You may enter alternate dates in an mm/dd/yyyy format. An error message is presented if the date criteria are invalid. Examples include an incorrect date format, the Begin Date being after the End Date, the Begin Date being prior to 10/01/2010, the End Date being after the date on which the data were calculated, and the use of future dates or alpha characters. NOTE: MDS 3.0 quality measure data are only available for assessments with target dates 10/01/2010 and later. Comparison Group date range options include six-month intervals, beginning 10/01/2010. The most recent six-month period available for reporting state and national comparison data ends three months prior to the current month. 09/2015 v1.00 Certification And Survey Provider Enhanced Reports MDS 3.0 QM 11-9

127 NOTE: State and National comparison group data are calculated monthly on the first day of the month. Data calculation is delayed by two months in order to allow for submission of late and corrected assessments. Comparison data are not recalculated if assessments with target dates that fall in periods for which comparison group data were already calculated are received. The Data was calculated on date displays at the bottom of the criteria selection page. NOTE: Quality Measure data are calculated weekly for the assessments submitted since the previous week s data calculation. The MDS 3.0 Facility Level Quality Measure Report (Figure 11-5) is divided into two sections: the header and the body. The information contained in these sections is as follows: Header Facility ID. The facility s identifier. CCN. The facility s CMS Certification Number. Facility Name. The name of the facility. City/State. The location of the facility. Data was calculated on. The QM statistics are automatically recalculated periodically in order to account for newly submitted data. The date in this field shows the last date this system calculation occurred. Report period. The dates in this field reflect the reporting period that was selected by the user when the report was requested. Comparison group. State and national statistics are automatically calculated on a periodic basis for various time periods and these precalculated statistics are used to produce comparison group statistics in the body of the report. The dates in this field indicate the comparison group time period that was used for the report. Run date. This is the date that the report was run. Report version number. As the reporting system software is updated, this version number will change. This field shows the version that was used to produce the report. Legend. The header contains the following notes that explain the symbols and abbreviations that are used in the body of the report: o Dashes represent a value that could not be computed o S = short stay, L = long stay o I = incomplete; data not available for all days selected 09/2015 v1.00 Certification And Survey Provider Enhanced Reports MDS 3.0 QM 11-10

128 o * is an indicator used to identify that the measure is flagged Body Measure description. The first column of the report contains a brief description of the measure. CMS ID. This column contains the unique identification number assigned by CMS to each measure. Data. The letter I displays in this column if the measure was not active during the entire selected report period. Num. This column shows the number of residents who triggered the QM. These are the people who "have" the QM. For the purposes of calculating the facility percentage, it is the numerator. Denom. This column shows the number of people in the facility who "could have" the QM. For the purposes of calculating facility percentage, it is the denominator. For some measures, the number of cases in the denominator equals the current number of short-stay or long-stay residents in the facility. For other measures, the denominator is smaller either because of risk group definitions or because of exclusions that were applied to the denominator. Facility Observed Percent. This column shows the percentage of residents who could have the QM and actually triggered it, and is computed by dividing the numerator by the denominator. For example, if 60 people could trigger a measure (Denom column) and 30 people actually did trigger it (Num column), the Facility Observed Percent column is 50.0%. Facility Adjusted Percent. This column shows the Adjusted Percent, which is computed using a mathematical model that takes various resident characteristics and the national percent for the measure into account and adjusts the observed percent accordingly. This methodology is applied to only a subset of measures. Measures that are adjusted have a different value in the adjusted and observed percent columns. For measures that are not adjusted, the value in the observed percent column is repeated in the adjusted percent column. Comparison group state average. This column shows the average statewide percentage for the QM for comparison with the facility. It represents the average of the observed percentages (or the adjusted percentages, for risk-adjusted measures) across all facilities in the state in which the facility is located. Comparison group national average. This column shows the average national percentage for the QM for comparison with the facility. It represents the average of the observed percentages (or the adjusted percentages, for risk-adjusted measures) across all facilities in the nation. 09/2015 v1.00 Certification And Survey Provider Enhanced Reports MDS 3.0 QM 11-11

129 Comparison group national percentile. The national percentile column ranks facilities relative to other facilities in the nation on each measure. The higher the ranking, the more likely the measure should be reviewed as part of the facility quality improvement process or emphasized on the survey. The values in this column represent the percent of facilities in the nation that are at or below the observed (or adjusted) percentage for the facility. For example, if the facility is at the 85 th percentile for a measure, it means that 85% of the facilities in the nation have an observed (or adjusted) percentage that is at or below the facility s percentage. Some of the values in this column may be followed by an asterisk. The asterisk identifies those measures that crossed an investigative threshold (were flagged ). QMs at or above the 75th percentile in this column are designated with an asterisk (*). This identifies those measures where the facility s ranking is high enough that it should be investigated or emphasized on the survey or in any internal quality improvement initiative and may indicate a possible concern with regard to quality of care. It is an area to highlight for investigation or emphasis during offsite survey preparation or to choose for review in the facility quality assurance or quality improvement processes. Note that just because a QM was flagged (exceeds a threshold) does not mean that there is an automatic assumption of a problem. It means that the information suggests that there is a concern that should be reviewed to see whether a problem exists and, if so, how it is being addressed. Note also that just because a facility is not flagged does not mean that there is not a problem with the quality of care in that area. You must consider all of the information available, and use your best clinical judgment. The QM information is only a tool for surveyors and facility staff to use. It is not the only information on which to base quality assurance and improvement activities or to make assumptions about care. 09/2015 v1.00 Certification And Survey Provider Enhanced Reports MDS 3.0 QM 11-12

130 Figure MDS 3.0 Facility Level Quality Measure Report* * Fictitious, sample data are depicted. 09/2015 v1.00 Certification And Survey Provider Enhanced Reports MDS 3.0 QM 11-13

131 MDS 3.0 RESIDENT LEVEL QUALITY MEASURE REPORT The MDS 3.0 Resident Level Quality Measure Report identifies the residents (active and discharged) that were included in the calculations for the facility and period that were used to produce the MDS 3.0 Facility Level Quality Measure Report. The report lists the residents by name and indicates the measures, if any, triggered by each. The criteria selection page (Figure 11-6) for the MDS 3.0 Resident Level Quality Measure Report presents Begin Date (mm/dd/yyyy) and End Date (mm/dd/yyyy) options. The date the most recent quality measure data were calculated is indicated. Figure CASPER Reports Submit Page - MDS 3.0 Resident Level Quality Measure Report Begin Date (mm/dd/yyyy) and End Date (mm/dd/yyyy) dates are pre-filled for the most recent completed six-month period prior to the month the data were last calculated. You may enter alternate dates in an mm/dd/yyyy format. An error message is presented if the date criteria are invalid. Examples include an incorrect date format, the Begin Date being after the End Date, the Begin Date being prior to 10/01/2010, the End Date being after the date on which the data were calculated, and the use of future dates or alpha characters. NOTE: MDS 3.0 quality measure data are only available for assessments with target dates 10/01/2010 and later. The Data was calculated on date displays at the bottom of the criteria selection page. NOTE: Quality Measure data are calculated weekly for the assessments submitted since the previous week s data calculation. 09/2015 v1.00 Certification And Survey Provider Enhanced Reports MDS 3.0 QM 11-14

132 The MDS 3.0 Resident Level Quality Measure Report (Figure 11-7) is divided into two sections: the header and the body. The information contained in these sections is as follows: Header Facility ID. The facility s ID. Facility name. The name of the facility. CCN. The facility s CMS Certification Number. City/State. The location of the facility. Data was calculated on. The QM statistics are automatically recalculated periodically in order to account for newly submitted data. The date in this field shows the last date this system calculation occurred. Report period. The dates in this field reflect the reporting period that was selected by the user when the report was requested. Run date. This is the date that the report was run. Report version number. As the reporting system software is updated, this version number will change. This field shows the version that was used to produce the report. Legend. The header contains a note that explain symbols and abbreviations that are used in the body of the report. o S = short stay o L = long stay o X = triggered o B = not triggered or excluded o C = complete; data available for all days selected o I = incomplete; data not available for all days selected Body Data. For each measure, the Data row indicates with an I if the measure is not active during the entire report period or a C if measure data are complete for the selected dates. Residents are listed in two groups: active residents and discharged residents (residents whose last MDS record during the target period was a discharge). Residents are listed in alphabetical order within each of these two groups. For each resident, the following data elements are presented: Resident name. The first column shows the resident s full name. Resident ID. The unique internal ID that is used by the QIES system to identify the resident. 09/2015 v1.00 Certification And Survey Provider Enhanced Reports MDS 3.0 QM 11-15

133 A0310A/B/F. This column identifies the reasons for assessment for the resident s target record. A value of 99/99/01 represents a new resident who does not have a target assessment as of the end of the reporting period. The reason for assessment items are: o o o A0310A: Federal OBRA reason for assessment A0310B: PPS assessment A0310F: Entry/discharge reporting QM columns. Following the identifying information, the report contains columns for each QM. An X appears in the QM column when the resident triggers a measure (i.e., is included in the numerator for that measure), and a b ( blank ) appears for residents who did not trigger or who were excluded from the measure. The last column in each row displays a count of the number of measures that were triggered for the resident. The Resident Level Quality Measure Report can be used in two ways. First, it can be used to identify the residents that trigger a particular QM (by scanning a column of interest and looking for the residents with an X). Second, it can be used to identify residents who trigger multiple QM measures. Such residents may merit special consideration or more intensive review. Figure MDS 3.0 Resident Level Quality Measure Report* * Fictitious, sample data are depicted. 09/2015 v1.00 Certification And Survey Provider Enhanced Reports MDS 3.0 QM 11-16

134 MDS 3.0 MONTHLY COMPARISON REPORT The MDS 3.0 Quality Measure Monthly Comparison Report presents observed or adjusted percentages for each QM for the facility, the state, and the nation. It allows easy comparison of these percentages for each measure for a specified six-month period. Since the report is intended for public use, data for measures with small denominators (less than 30 for long-stay measures and less than 20 for shortstay measures) or high-triggered percentages are suppressed. Data for this report are calculated on the first day of each month using accepted assessment records with target dates two months prior to the month of calculation. The criteria selection page (Figure 11-8) for the MDS 3.0 Monthly Comparison Report presents Begin Month (mm/yyyy) and End Month (mm/yyyy) options. Figure CASPER Reports Submit Page - MDS 3.0 Monthly Comparison Report Begin Month (mm/yyyy) and End Month (mm/yyyy) dates are pre-filled for the previous full six-month period. You may select an alternate End Month from the drop-down list. Based upon the End Month selection, the system calculates and displays the Begin Month 6 months prior. NOTE: MDS 3.0 quality measure data are only available for assessments with target dates 10/01/2010 and later. The MDS 3.0 Quality Measure Monthly Comparison Report (Figure 11-9) is divided into two sections: the header and the body. The information contained in these sections is as follows: Header Facility ID. The facility s ID. CCN. The facility s CMS Certification Number. 09/2015 v1.00 Certification And Survey Provider Enhanced Reports MDS 3.0 QM 11-17

135 Facility name. The name of the facility. City/State. The location of the facility. Report period. The dates in this field reflect the reporting period that was selected by the user when the report was requested. Run date. This is the date that the report was run. Report version number. As the reporting system software is updated, this version number will change. This field shows the version that was used to produce the report. Legend. The header contains notes that explain symbols and abbreviations that are used in the body of the report. The sample sizes for both the long-stay and short-stay measures are noted. Body CMS ID. This column contains the unique identification number assigned by CMS to each measure. Data. The letter I displays in this column if the measure was not active during the entire selected report period. Measure description. The first column of the report contains a brief description of the measure. Facility percent. The Facility Percent is either the adjusted percent, for measures that are risk adjusted, or observed percents for other measures. The adjusted percent is computed using a mathematical model that takes various resident characteristics and the national percent for the measure into account and adjusts the observed percent accordingly. For measures that are not adjusted, the value in the facility percent column is simply computed by dividing the facility s numerator by the denominator for the measure. N/A displays in this column when the measure value is suppressed. State percent. The state percent is the average of the facility percentages for all facilities in the state. It represents an average of the adjusted percentages for measures that are risk adjusted or the average of the observed percentages for measures that are not risk adjusted. National percent. The national percent is the average of the facility percentages for all facilities in the nation. It represents an average of the adjusted percentages for measures that are risk adjusted or the average of the observed percentages for measures that are not risk adjusted. 09/2015 v1.00 Certification And Survey Provider Enhanced Reports MDS 3.0 QM 11-18

136 Figure MDS 3.0 Quality Measure Monthly Comparison Report* * Fictitious, sample data are depicted. 09/2015 v1.00 Certification And Survey Provider Enhanced Reports MDS 3.0 QM 11-19

137 CASPER MDS 3.0 QM REPORTS VS. NURSING HOME COMPARE Even though CASPER MDS 3.0 QM reports and Nursing Home Compare (NHC) use identical sample selection and measure calculation logic, there may be differences between the results that are reported by the two systems. The reasons for these differences are: Measures Included. The CASPER MDS 3.0 QM reports and the reports on NHC contain many of the same measures. However, NHC contains some QMs that are not included in the CASPER MDS 3.0 QM reports. Timing. NHC data are run once a quarter, whereas the CASPER MDS 3.0 QM data are updated more frequently. It is, therefore, likely that the assessment database changed between the time the NHC statistics were computed and the time the CASPER MDS 3.0 QM statistics were computed. The CASPER MDS 3.0 QM statistics reflect all assessments and assessment modifications that were submitted since the NHC statistics were computed. Reporting Periods. Every QM is based upon the selection of a target assessment. For NHC, the target assessment must have a reference date within the most recent 3 months for long-stay measures and the most recent 6 months for short-stay measures. On the CASPER MDS 3.0 QM Reports, you are allowed to customize the length of the selection period (by adjusting the beginning and ending date of the report). If the selection periods you select are different from those used for NHC, the results may differ. Averaging Across Quarters. The results that are presented on NHC are averaged across several calendar quarters while the results on the CASPER MDS 3.0 QM reports are for only a single reporting period. Risk Adjustment. These adjusted percentages may not match the percentages reported on NHC because of the way the risk adjustment calculations are performed. One of the factors used in the risk adjustment calculations is the national average for the QM at the time of calculation. Since the calculations are usually performed at different times for the two systems (see Timing above), the national means may differ and the percentages may be different on the two sets of reports. 09/2015 v1.00 Certification And Survey Provider Enhanced Reports MDS 3.0 QM 11-20

138 12 PAYROLL BASED JOURNAL (PBJ) REPORTS GENERAL INFORMATION D EMPLOYEE REPORT D CENSUS REPORT D INDIVIDUAL DAILY STAFFING REPORT S STAFFING SUMMARY REPORT...11 PBJ SUBMITTER FINAL FILE VALIDATION REPORT /2016 v1.02 Certification And Survey Provider Enhanced Reports PBJ 12-1

139 NOTE: Unless otherwise noted, PDF is the recommended output format for the reports described herein. Excel and CSV output formats may result in a report that is not visually aesthetic. 09/2016 v1.02 Certification And Survey Provider Enhanced Reports PBJ 12-2

140 GENERAL INFORMATION The Payroll Based Journal (PBJ) Reports report category is requested on the CASPER Reports page (Figure 12-1). Figure CASPER Reports Page Payroll Based Journal (PBJ) Reports Report Category 1. Select the Payroll Based Journal (PBJ) Reports report category link from the Report Categories frame on the left. Links to the PBJ reports display in the right-hand frame. NOTE: Only those report categories to which you have access are listed in the Report Categories frame. 2. Select the desired underlined report name link from the right-hand frame. One or more CASPER Reports Submit pages are presented providing criteria options with which you specify the information to include in your report. These options may differ for each report. 3. Choose the desired criteria and select the Submit or Next button. NOTE: PBJ reports access detailed information and may require a significant amount of time to process. Once you submit your report request(s), you may consider exiting the CASPER Reporting application, and viewing the completed report(s) at a later time. 09/2016 v1.02 Certification And Survey Provider Enhanced Reports PBJ 12-3

141 4. Refer to Section 2, Functionality, of the CASPER Reporting MDS Provider User s Guide for assistance in viewing, printing, saving and exporting the reports you request. NOTE: PBJ reports are automatically purged after 60 days. 09/2016 v1.02 Certification And Survey Provider Enhanced Reports PBJ 12-4

142 1700D EMPLOYEE REPORT The Employee Report lists the active and/or terminated employees associated with a facility during a specified period. The report is available in PDF or CSV format. The criteria selection page (Figure 12-2) for the Employee Report presents Date Criteria, from (mm/dd/yyyy), thru (mm/dd/yyyy), Employment Status, Report Output, Sort By, and Ascending options. Figure CASPER Reports Submit Page 1700D Employee Report Date Criteria defines the date range of the data to include in the report. The drop-down list includes the following options: Prior Fiscal Year Prior Fiscal Quarter (the default) Prior Year Quarter to Date from (mm/dd/yyyy) and thru (mm/dd/yyyy) dates are pre-filled based upon the Date Criteria option you selected. You can select different dates by using the calendar icons or by entering the information manually in mm/dd/yyyy format. An error message is presented if the date criteria are invalid. Examples include missing from and/or thru dates, the from date being after the thru date, and the use of future dates, alpha characters, or an incorrect date format. NOTE: The period you specify may not exceed 365 days. Employment Status options include Active (the default), Terminated, and Both Report Output options are CSV/Excel and PDF (the default). 09/2016 v1.02 Certification And Survey Provider Enhanced Reports PBJ 12-5

143 NOTE: For the report to be formatted as a PDF, the Output Format specified on the CASPER Options page must be PDF or PDF Accessibility. Refer to Section 2, Functionality, of the CASPER Reporting MDS Provider User s Guide for more information. The report is sorted by Employee ID. The Ascending checkbox allows you to specify an ascending (smallest to largest) or descending presentation of the records selected for the report. The Ascending checkbox is checked by default, resulting in an ascending presentation. Uncheck the checkbox to specify a descending presentation. The Employee Report (Figure 12-3) provides details the following for the employees associated with the facility during the specified period. Employee ID Hire Date Termination Date Staffing Hours Figure Employee Report Total Staffing Hours are provided. Records are sorted by Employee ID. 09/2016 v1.02 Certification And Survey Provider Enhanced Reports PBJ 12-6

144 1701D CENSUS REPORT The Census Report details facility census information for a specified period. The report is available in PDF or CSV format. The criteria selection page (Figure 12-4) for the Census Report presents Date Criteria, from (mm/dd/yyyy), thru (mm/dd/yyyy), and Excel Output options. Figure CASPER Reports Submit Page - Census Report Date Criteria defines the date range of the data to include in the report. The drop-down list includes the following options: Prior Fiscal Year Prior Fiscal Quarter (the default) Prior Year Quarter to Date from (mm/dd/yyyy) and thru (mm/dd/yyyy) dates are pre-filled based upon the Date Criteria option you selected. You can select different dates by using the calendar icons or by entering the information manually in mm/dd/yyyy format. An error message is presented if the date criteria are invalid. Examples include missing from and/or thru dates, the from date being after the thru date, and the use of future dates, alpha characters, or an incorrect date format. NOTE: The period you specify may not exceed 365 days. Report Output options are CSV/Excel and PDF (the default). NOTE: For the report to be formatted as a PDF, the Output Format specified on the CASPER Options page must be PDF or PDF Accessibility. Refer to Section 2, Functionality, of the CASPER Reporting MDS Provider User s Guide for more information. 09/2016 v1.02 Certification And Survey Provider Enhanced Reports PBJ 12-7

145 The Census Report (Figure 12-5) details the following census information for the specified period. Census Date Medicare Medicaid Other Total Figure Census Report 09/2016 v1.02 Certification And Survey Provider Enhanced Reports PBJ 12-8

146 1702D INDIVIDUAL DAILY STAFFING REPORT The Individual Daily Staffing Report details facility staffing information during a specified period by Employee ID. The report is available in PDF or CSV format. The criteria selection page (Figure 12-6) for the Individual Daily Staffing Report presents Employee ID, Date Criteria, from (mm/dd/yyyy), thru (mm/dd/yyyy), Report Output, Sort By, and Descending options. Figure CASPER Reports Submit Page Individual Daily Staffing Report Employee IDs are optional report criteria. Associated with the Employee ID field are Add Employee ID and Remove Employee ID buttons. If one or more Employee IDs are specified, select the Add Employee ID button after the entry of each. You may specify a maximum of 20 Employee IDs. Date Criteria defines the date range of the data to include in the report. The drop-down list includes the following options: Prior Fiscal Quarter (the default) Quarter to Date from (mm/dd/yyyy) and thru (mm/dd/yyyy) dates are pre-filled based upon the Date Criteria option you selected. You can select different dates by using the calendar icons or by entering the information manually in mm/dd/yyyy format. An error message is presented if the date criteria are invalid. Examples include missing from and/or thru dates, the from date being after the thru date, and the use of future dates, alpha characters, or an incorrect date format. 09/2016 v1.02 Certification And Survey Provider Enhanced Reports PBJ 12-9

147 NOTE: The period you specify may not span multiple federal fiscal quarters. Report Output options are CSV/Excel and PDF (the default). NOTE: For the report to be formatted as a PDF, the Output Format specified on the CASPER Options page must be PDF or PDF Accessibility. Refer to Section 2, Functionality, of the CASPER Reporting MDS Provider User s Guide for more information. Three Sort By options control the presentation order of the records selected for the report. Options include Staffing Hours (the default primary sort), Job Title, and/or Pay Type. NOTE: You may select one, two, or three sort options, but may not select the same option more than once. The Descending checkbox allows you to specify for each sort option an ascending (smallest to largest) or descending presentation of the records. The Descending checkbox is checked by default, resulting in a descending (largest to smallest) presentation. Uncheck the checkbox to specify an ascending presentation. The Individual Daily Staffing Report (Figure 12-7) provides the following information by Employee ID for the specified period. Employee ID Job Title Labor Category Code Pay Type Date Staffing Hours Figure Individual Daily Staffing Report 09/2016 v1.02 Certification And Survey Provider Enhanced Reports PBJ 12-10

148 1702S STAFFING SUMMARY REPORT The Staffing Summary Report summarizes staffing information by Job Title for a facility during a specified period. The report is available in PDF or CSV format. The criteria selection page (Figure 12-8) for the Staffing Summary Report presents Date Criteria, from (mm/dd/yyyy), thru (mm/dd/yyyy), Excel Output, and 2 Sort By and Descending options. Figure CASPER Reports Submit Page Staffing Summary Report Date Criteria defines the date range of the data to include in the report. The drop-down list includes the following options: Prior Fiscal Year Prior Fiscal Quarter (the default) Prior Year Quarter to Date from (mm/dd/yyyy) and thru (mm/dd/yyyy) dates are pre-filled based upon the Date Criteria option you selected. You can select different dates by using the calendar icons or by entering the information manually in mm/dd/yyyy format. An error message is presented if the date criteria are invalid. Examples include missing from and/or thru dates, the from date being after the thru date, and the use of future dates, alpha characters, or an incorrect date format. NOTE: The period you specify may not exceed 365 days. 09/2016 v1.02 Certification And Survey Provider Enhanced Reports PBJ 12-11

149 Report Output options are CSV/Excel and PDF (the default). NOTE: For the report to be formatted as a PDF, the Output Format specified on the CASPER Options page must be PDF or PDF Accessibility. Refer to Section 2, Functionality, of the CASPER Reporting MDS Provider User s Guide for more information. Filter By options include Contractor, Exempt, and Non-exempt pay types. Select (check) the checkboxes associated with the pay type(s) with which you wish to select records for the report. Two Sort By options control the presentation order of the records selected for the report: Staffing Hours (the default primary sort) and/or Job Title. The Descending checkbox allows you to specify for each sort option an ascending (smallest to largest) or descending presentation of the records. The Descending checkbox is checked by default, resulting in a descending (largest to smallest) presentation. Uncheck the checkbox to specify an ascending presentation. The Staffing Summary Report (Figure 12-9) provides the following summary totals by job title for the specified period. Job Title Staff Count Exempt Non Exempt Contractors Staffing Hours 09/2016 v1.02 Certification And Survey Provider Enhanced Reports PBJ 12-12

150 Figure Staffing Summary Report 09/2016 v1.02 Certification And Survey Provider Enhanced Reports PBJ 12-13

151 PBJ SUBMITTER FINAL FILE VALIDATION REPORT The PBJ Submitter Final File Validation Report provides detailed information about the status of a select submission file. The report indicates whether the submitted file was accepted or rejected and details the warning and fatal errors encountered. NOTE: For information about the system-generated PBJ Final File Validation Report that is automatically placed in your facility s PBJ VR folder after you submit a PBJ file, refer to the PBJ Provider User s Guide available on the Welcome to the CMS QIES Systems for Providers page for MDS providers. The criteria selection page (Figure 12-10) for the PBJ Submitter Final File Validation Report presents a Submission ID field. Figure CASPER Reports Submit Page - PBJ Submitter Final File Validation Report You must enter a valid Submission ID. NOTE: Only those submissions you performed while logged into the PBJ system with your User ID are available to you on this report. The PBJ Submitter Final File Validation Report (Figure 12-11) details the following for the specified submission file. Report Field CMS Submission Report PBJ Submitter Final File Validation Report Submission Date/Time Report Field Description The title of the report. The sub-title of the report. The date and time the submission file was received by the PBJ system. The time is recorded to the nearest second. mm/dd/yyyy hh:mm:ss 09/2016 v1.02 Certification And Survey Provider Enhanced Reports PBJ 12-14

152 Report Field Submission ID Submitter User ID Submission File Name Submission File Status Processing Completion Date/Time Report Field Description The unique identifier assigned to the submission file when it was received by the system. The user ID of the submitter. The name of the submitted zip file. The status of the submitted file Completed or Error. If the file is in error, the file could not be processed. Examples of the Error status are: the file could not be unzipped or there was a database error. The date and time the file processing was complete. The time is recorded to the nearest second. mm/dd/yyyy hh:mm:ss # Files Processed The total number of records processed (accepted and rejected) for the facility from the submission file. # Files Accepted The total number of records saved to the database from the submission file. # Files Rejected The total number of records for the facility that were not saved to the database because of fatal errors in the record. # Files Submitted Without Facility Authority Total # of Messages File Name File Status Facility ID State Code Facility Name PBJ_ID File Spec Version Federal Fiscal Year Fiscal Quarter Total Employee Records Total Staffing Hours Records Total Census Records PBJ Item(s) The total number of records for the facility submitted by a user without authority to submit for the facility. The total number of errors (fatal errors and warnings) for all records for the facility in the submission file. The name of the submitted XML file. The status of the individual XML file. Accepted or Entire XML File Rejected displays when the XML file was accepted or rejected. Invalid displays when the file could not be validated because it was an invalid XML or unexpected type of file, such as a Word doc. The unique alphanumeric, state-assigned provider identifier. The facility s two-digit state code. The name of the provider associated with the submitted file. The unique identifier assigned to the submitted file by the PBJ system. The version number of the file submission specifications used to create the XML record. The fiscal year with which the submitted file is associated. The quarter of the fiscal year with which the submitted file is associated. The number of employee records in the submitted file. The number of staffing hours records in the submitted file. The number of census records in the submitted file. The PBJ item identifier(s) for which an error (either fatal or warning) occurred. PBJ Items in error are noted for the overall file and specifically for General Information, Employee, Staffing Hours, and Census records. 09/2016 v1.02 Certification And Survey Provider Enhanced Reports PBJ 12-15

153 Report Field Item Values Message Number/Severity Message Report Field Description The submitted data value causing the error condition. Item Values in error are noted for overall file (General Information) and specifically for Employee, Staffing Hours, and Census records. The number used to identify the error encountered for the indicated item. Displayed is also the severity of the error, either Fatal or Warning. For each error in the overall file and the Employee, Staffing, and Census records, the Message Number/Severity is noted. The description of the error encountered for the indicated item. 09/2016 v1.02 Certification And Survey Provider Enhanced Reports PBJ 12-16

154 Figure PBJ Submitter Final File Validation Report* The report is sorted by State Code and Facility ID. 09/2016 v1.02 Certification And Survey Provider Enhanced Reports PBJ 12-17

155 A QUICK REFERENCE TO FINAL VALIDATION REPORTS FINAL VALIDATION REPORTS... 2 PROVIDER (NH OR SB) FINAL VALIDATION REPORTS... 2 SUBMITTER FINAL VALIDATION REPORTS /2016 v1.02 Certification And Survey Provider Enhanced Reports A-1

156 FINAL VALIDATION REPORTS Two types of Final Validation Reports are available to MDS 3.0 providers in the CASPER Reporting application: Provider (NH or SB) Final Validation Reports Unless certain severe errors occur during the processing of a submitted file, the Assessment Submission and Processing (ASAP) system automatically generates an NH (or SB) Final Validation Report for MDS 3.0 providers. The system-generated MDS 3.0 NH (or SB) Final Validation Report is created in two formats: Text and XML. Both report formats are delivered automatically to your facility s CASPER validation report folder. NOTE: The XML-formatted report is intended for software vendors. Providers may ignore the XML-formatted report and access the user-friendly plain text version of the MDS 3.0 NH (or SB) Final Validation Report. Submitter Final Validation Reports For submission files that contain severe errors, the ASAP system is unable to generate a provider final validation report. You may identify these errors by requesting the Submitter Final Validation Report. The ASAP system does not automatically generate this report. Provider (NH or SB) Final Validation Reports The following steps detail how to access and view the system-generated MDS 3.0 NH (or SB) Final Validation Report in the CASPER Reporting application so that you may verify that all records of your submission file processed without error. NOTE: A system-generated MDS 3.0 NH (or SB) Final Validation Report is available only if the Submission Status is Completed and the Total Record Count is greater than zero (0). This information is available to you on the List of My Submissions (Submission Status) page of the MDS 3.0 File Submission system. 1. From the CMS QIES Systems for Providers page, select the CASPER Reporting link, and log in to the CASPER Reporting application (Figure A-1) with your user ID and password. This is the same user ID and password with which you access the MDS 3.0 File Submission system. 09/2016 v1.02 Certification And Survey Provider Enhanced Reports A-2

157 Figure A-1. CASPER Reporting Login Page 2. Select the Folders button located on the tool bar at the top of the page. The CASPER Folders page (Figure A-2) is presented. The folders available to you are listed in the Folders frame along the left-hand side of the page. Figure A-2. CASPER Folders Page Validation Report Folder 3. Locate and select the facility folder with the naming structure of: [State Code] LTC [Facility ID] VR (for Nursing Homes) 09/2016 v1.02 Certification And Survey Provider Enhanced Reports A-3 Or [State Code] SB [Swing Bed ID] VR (for Swing Bed Providers) Where: State Code = Your 2-character state code LTC = Long Term Care facility

158 SB = Swing Bed hospital Facility ID/Swing Bed ID = State assigned facility ID used for submitting MDS 3.0 records VR = Validation Report 4. With the VR folder selected, the main body of the CASPER Folders page lists the validation reports that were system-generated and are available for you to view. The report names are formatted as follows: [Submission Date & Time].[Submission ID] Each report name is a link with which you may open and view the contents of that report. NOTE: MDS 3.0 reports are automatically purged after 60 days. 5. Select the report link that corresponds to the submission file you wish to verify. Figure A-3 depicts a fictional system-generated MDS 3.0 NH Final Validation Report in text format and Figure A-4 depicts a fictional systemgenerated MDS 3.0 NH Final Validation Report in XML format. NOTE: When a submitted file cannot be unzipped or contains no records, the ASAP system cannot generate an MDS 3.0 NH (or SB) Final Validation Report and place it in your facility s shared VR folder. If an MDS 3.0 NH (or SB) Final Validation Report was created but the number of records displayed is less than the number of records you submitted in the file, the QIES ASAP system was unable to process one or more records. In either case, the user who originally submitted the file must request the MDS 3.0 Submitter Final Validation Report in order to identify the issues with the records that were not processed. Facility-identifiable records from the submitted assessment file are presented on the system-generated MDS 3.0 NH (or SB) Final Validation Report in the following order: State ID Facility ID Submission ID Last Name First Name Record Processing Order Assessment ID Error Type Description Item in Error Text Value in Error Text 09/2016 v1.02 Certification And Survey Provider Enhanced Reports A-4

159 Figure A-3. MDS 3.0 NH Final Validation Report Text Format* 09/2016 v1.02 Certification And Survey Provider Enhanced Reports A-5

160 * Fictitious, sample data are depicted. Figure A-4. MDS 3.0 NH Final Validation Report XML Format Excerpt* * Fictitious, sample data are depicted. NOTE: For more information about the MDS 3.0 Final Validation Reports that are available to nursing homes and swing bed hospitals, refer to the MDS 3.0 NH Final Validation Report (Section 7) or MDS 3.0 SB Final Validation Report (Section 9) of the CASPER Reporting User s Manual. This manual is available on the Welcome to the CMS QIES Systems for Providers page. 09/2016 v1.02 Certification And Survey Provider Enhanced Reports A-6