ACTS 6.0 Training Guide
ACTS 6.0 Training Guide
for 32-bit Windows® operating systems
Information in this training guide is subject to change without notice.
All brand or product names are trade names, service marks, trademarks, or registered trademarks of their respective companies or organizations.
Systems Environment
Application Development: MS Visual C++ version 6.0
Desktop Database: MS Access 97 version 7.0
Server Database: Oracle Enterprise Server version 8.1.6
Oracle Call Interface and Objects for OLE version 8.1.6
Optional System Environments
MS Internet Explorer version 3.0 or later to support the integrated Internet browser
MAPI Compliant E-mail client to support e-mail transfer of survey information
ACTS Training Guide 11/5/02 8
Table of Contents
Table of Contents
ACTS Training Exercises 5
Exercise 1: ACTS Main Window 5
Task 1: Examine Tree view 6
Task 2: Examine List view 9
Task 3: Examine Detail view 9
Task 4: Examine Action Items 9
Exercise 2: Investigation Properties page 10
Task 5: Examine the Investigation Properties page 10
Exercise 3: Create a Standard Complaint/Incident Intake 12
Task 6: Create an Intake 12
Task 7: Enter Intake and Assignment Information 14
Task 8: Add Complainants, Residents, Alleged Perpetrators 16
Task 9: Enter Allegations (Federal and State) 17
Task 10: Send Acknowledgement Letter to Complainant 19
Task 11: Assign Complaint Priority 21
Exercise 4: Prepare Investigation 22
Task 12: Assign Activities 22
Task 13: Schedule a New Investigation Survey 22
Task 14: Link the Complaint/Incident to an Investigation Survey 23
Task 15: Export the Survey to Import into ASE 24
Exercise 5: Record Investigation Findings 24
Task 16: Open the Investigation Properties page 24
Task 17: Enter Deficiencies in Citation Manager 25
Task 18: Print Form 2567 26
Task 19: Enter 670 Workload Information 26
Task 20: Enter Allegation Findings 27
Task 21: Link Deficiencies to Allegations 28
Task 22: Print the Investigation Report 28
Task 23: Send Findings Letter 29
Exercise 6: Complete the Investigation 30
Task 24: Record Contacts and Witnesses 31
Task 25: Specify Proposed Actions - Federal 31
Task 26: Specify Proposed Actions - State 32
Task 27: Enter POC Tracking Information 33
Task 28: Enter IDR Dates (NH Only) 33
Task 29: Schedule a Revisit 34
Task 30: Review and Print 562 Information 34
Exercise 7: Upload to National 35
Task 31: Upload the Complaint/Incident Packet to National 35
Task 32: Track Upload Transactions 35
Exercise 8: Close the Complaint/Incident 36
Exercise 9: Special Cases 37
Task 33: Process Complaint/Incident - Deemed/Accredited Facilities 37
Task 34: Process Complaint/Incident - EMTALA 41
Task 35: Process Incident - Death-Restraints/Seclusion 45
Task 36: Refer a Complaint/Incident 46
Exercise 10: Forms and Reports 47
Task 37: Generate Survey Forms 47
Task 38: Generate Quick Reports 47
Task 39: Generate QA Reports 48
Exercise 11: Miscellaneous Tasks 49
Task 40: Create a Hotline Call Record 49
Task 41: Generate a Complaint/Incident Intake from the Hotline 49
Task 42: Open an Existing Intake 50
Task 43: Delete a Complaint/Incident Intake 53
Task 44: Customize My Selections 54
Task 45: Link Multiple Complaints/Incidents to an Investigation/Survey 57
Supporting Materials for Trainers 59
Flowcharts 59
Complaint/Incident Workflow: Non-accredited Provider 59
Complaint/Incident Workflow: Accredited Provider 60
Complaint/Incident Workflow: EMTALA 61
Action Item Messages 62
562 Data Sources 64
Minimum Upload Requirements 67
Notices (or Investigation Properties->562 View) 68
ACTS Training Guide 11/5/02 8
Exercise 1: ACTS Main Window
ACTS Training Exercises
Exercise 1: ACTS Main Window
The main ACTS application window provides quick access to information about complaint/incident intakes and investigations. Each component of the window offers a different level of access.
Task 1: Examine Tree view
The left pane of the main ACTS window is an information tree - it organizes the records in ACTS in the conventional Windows tree format, with branches that you can expand and collapse as needed. Tree view has four tabbed pages: Facility, Investig, Status, and Staff.
1. Click the Facility tab and look at its branches.
Facility tabExpand the various branches (nodes) to view related information. Right-click an item for a menu of options.
My Selections - You can customize My Selections so that ACTS lists only the facilities that directly concern you.
My Action Items - Click this node to display a list of action items for the currently logged-on user (usually you) in List view to the right. Right-click My Action Items to create a custom Action Item filter.
Hotline - A feature that agencies can use optionally to log all incoming calls and generate complaint/incident intakes when appropriate.
Complainants -
Residents/Patients -
Alleged Perpetrators - These nodes list (respectively) complainants, residents/patients, and alleged perpetrators in the ACTS database. Expand a name to see complaint/incident intakes involving that individual.
Facilities - An alphabetical list of facility names. Expand a facility name to see complaint/incident intakes involving that facility, with the Complaint Number, End Date Received, and Status. /
• Click the to expand a node in the tree.
2. Click the Investig tab.
Investig tabLists investigation surveys linked to complaints/incidents by facility, with Investig (survey event) ID, Exit Date, Name (of facility), and Status (of survey). Filters applied in My Selections affect this list.
Expand survey nodes to show tags, attachments, and linked complaints/incidents. Right-click any item for a menu of options.
A blue arrow on a survey icon indicates a pending upload to National or previous failed upload attempt(s).
A green arrow indicates a successful upload to National. /
3. Click the Status tab.
Status tabLists complaints/incidents by status.
RO staff can easily find complaints/incidents that require RO approval to conduct a Federal survey.
SA staff can check for complaints/incidents that are Pending Review/Assignment.
The Pending RO Approval and Pending Review/Assignment nodes are both subdivided by Complaint Priority. /
4. Click the Staff tab.
Staff tabIncludes the My Action Items node and an alphabetical list of all surveyors.
Click the My Action Items node to display a list of action items for the currently logged-on user (usually you) in List view to the right. Right-click My Action Items to create a custom Action Item filter.
Click thenext to any staff member’s name to see an Action Items node and the surveys that have that individual listed as a team member.
Click the Action Items node to see a list of action items for the staff member in List view, or click thenext to the Action Items node to display the action items in Tree view.
A blue arrow on a survey icon indicates a pending upload to National or previous failed upload attempt(s).
A green arrow indicates a successful upload to National.
A red mark on the staff member icon indicates a special surveyor as defined in ASPEN Central Office. /
Task 2: Examine List view
The List view in the right pane of the main window lists information about certain records when you select them in the Tree view.
1. Click a facility in the Tree view.
The List view shows all complaints/incidents involving that facility.
2. Right-click items in the List view to see menu options.
The options vary according to the item selected.
Task 3: Examine Detail view
When you click an item in the List view, the Detail view in the lower right pane of the main window lists details about that item.
1. Click a facility in the Tree view to display complaints/incidents in the List view.
2. Click a complaint/incident in the List view.
The Detail view lists all associated allegations.
Task 4: Examine Action Items
The ACTS Action Items feature automates the process of notifying agency personnel of the action items assigned to them. For example, if you are a member of an investigation survey team, you are sent an action item message. When you log on to ACTS, your action items are listed in Detail view.
• Double-click an action item to open the appropriate page of the complaint/incident packet.
Dark red action items are investigation tasks. When you double-click an investigation action item, the Investigation Properties->562 page of the complaint/incident packet opens. If the complaint/incident packet has been deleted, you will get an error message.
Blue action items are complaint/incident processing tasks. When you double-click a complaint/incident action item, the Intake page of the complaint/incident packet opens.
For Regional Office staff, green action item messages are those that were sent to all RO personnel in the region.
Exercise 2: Investigation Properties page
The Investigation Properties page of the Investigation Properties->562 View window offers a summary view of the investigation, and provides a single location to enter survey/investigation information. Many surveyors will utilize this page, because it offers “one-stop” data entry. It is also possible to utilize pages in the complaint intake to enter the information.
Task 5: Examine the Investigation Properties page
1. In the Tree view, right-click a complaint/incident and select Investigation/562 Properties.
2. Scroll down to look at all the sections on the page.
• Deficiencies
Lists deficiencies found during the survey and recorded through the Citation Manager for all complaints/incidents linked to the investigation. You can edit several fields directly on the grid.
• Investigation/Revisit
Lets you view and update the investigation survey to which the current complaint/incident is linked. Related complaints/incidents may be linked to it as well.
You can open the Citation Manager from here and document deficiencies found during the survey for all linked complaints/incidents. Or, open the Citation Manager from the Investigation page of the individual complaint/incident intakes, enter deficiencies, and they will all be listed in the Deficiencies section above.
You can print export the survey, create revisit(s), complete the 670, and print survey forms from the Investigation/Revisit button bar. Several fields can be edited directly on the grid.
• Complaints Assigned to Investigation
Lists the complaints/incidents linked to the investigation. Problems alleged in all linked complaints are examined during the investigation. You can link and unlink complaints/incidents here, or from the Investigation page of the individual complaint/incident intakes. From here, you can access and modify all of the linked complaint/incident intakes. Several fields can be edited directly on the grid.
• Allegations of All Complaints Assigned to Investigation
Lists allegations for all complaints/incidents linked to the investigation. You can add and modify allegations here, or from the Allegations page of the individual complaint/incident intakes.
• Activities for All Complaints Assigned to Investigation
Lists activities assigned for all complaints/incidents linked to the investigation. You can add and modify activities here, or from the Activities page of the individual complaint/incident intakes. You can edit the End Date directly on the grid.
• Tracking for Investigation
Lets you enter investigation tracking information and notes.
• Acknowledgement and Parties Notified
Shows the earliest written acknowledgment or phone call for all linked complaints/incidents, and lists names of parties notified and dates. You can enter the information manually or bring it forward from Notices History.
Click to display Federal and State proposed actions with the ID of the intake from which they originated. Also indicates if an action is the result of more than one of the intakes linked to the investigation.
Click to generate the 562, which you can then print.
Exercise 3: Create a Standard Complaint/Incident Intake
indicates an item required for minimum successful upload of a complaint/incident to National.
indicates a field that affects complaint/incident status.
Task 6: Create an Intake
Both SA and RO staff can create intakes. ACTS assigns every new intake an Intake ID and an initial status of Triage.
You cannot create an intake if the provider isn’t in ASPEN Central Office.
1. Click Findabove the Tree view to open the Find window.2. In the Search box, type the facility name.
3. Select Search By Facility Name.
4. Click
5. In the Search Results box, double-click the facility you want, or highlight it and
click
ACTS closes the Find window and highlights the facility in the Tree view.
6. Right-click the facility name in the tree and select New Intake.
A new complaint/incident intake opens in the Complaint window. /
Task 7: Enter Intake and Assignment Information
1. On the Intake page, identify Intake StaffACTS supplies the name of the currently logged-in user. Click if the intake was initially received by a different staff member. This activates the drop-down list, so you can select another staff member.
2. In the Assignment section, specify Intake Typeand Subtype; provide complaint/incident receipt information, ID and control numbers; and specify Responsible Parties.
ACTS will add the complaint/incident to My Action Items for the responsible parties with the designation “Responsible for”.
3. Add Complainants
Residents
Alleged Perpetrators
See Task 8 for details.
4. Specify the Source(s)of the complaint/incident report.
Only 3 types of sources are recorded on the 562.
5. Specify Complaint Priority
Complaint Priority is required for upload, but you can temporarily override the requirement.
6. If necessary, change the default Received Start Date and Time, and Received End Dateand Time.
The defaults are the date and time the Intake page was first opened.
If you have a caller on the phone, use the Complaint Notes text box at the bottom left of the Intake page, and refer to the Questions to Remember prompts on the right.
In the Notes section, put brackets [ ] around text that should not be shown in public reports.
Task 8: Add Complainants, Residents, Alleged Perpetrators
1. Click the Complainants, Residents/Patients, or Alleged Perpetrators tab.2. Enter all or part of the individual’s Last Name and First Name, and click
You must enter at least part of the Last Name.
3. Select the complainant, resident, or alleged perpetrator from the list of names that match the search criteria.
-or-
If no match is found, click in response to the message, redefine the search criteria (e.g., a different spelling), and click
-or-
Click to create a new record for the applicable directory.
4. Supply additional information on or under the grid about the complainants, residents, and alleged perpetrators linked to the complaint/incident.
Task 9: Enter Allegations (Federal and State)