Online Incident Tracking System(OTIS)

Data Entry Instructionsfor Long Term Care Facilities

(Nursing Home and ICF/DD)

Health Standards Sectionrevised June 2015

Table of Contents

Topic PageIntroduction 2HSS Contacts 2Abbreviations 2Web Address 2OTIS Home Page 3Software Requirements 4Internet Explorer Options 4Internet Explorer View 6Security 7Data Entry Instructions 8

Create New Report 8Open Previous Report 9Report Status 10Contacts (Reporter & Witnesses) 10Events 13Reporting Facility 14Incident Location 14Incident Categories 15Victims/Clients 16Duplicate Client 17Accused 17Accused Relationship 18Allegations 19Allegation Findings 19Protective Actions 19Description 19Summary 20Investigation 22Referrals 22Complete Report 23CEO finding Date 23Reopen Report 24Print Report 25Extension/Due Date 25

Email Notification 26

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IntroductionDHH released version 1.0 of the Online Incident Tracking System (OTIS) April 1, 2003. Version 2.0 was released March 8, 2004. July 2006 a third version was released. Effective May 1, 2009 nursing home providers must use OTIS to submit reportable incidents to HSS.

HSS Contacts

Nursing HomeDenise Traylor, Program Manager, 225-342-7715, Denise.Traylor@la.govPasswords & Support Requests: Mary Sept, 225-342-3240, Mary.Sept@la.govFax: 225-342-0453

ICF/DD Hank Choate, Program Manager, 225-342-0253, Hank.Choate@la.govPasswords - Gaynell Brand, 225-342-9406, Gaynell.Brand@la.govFax: 225-342-5292

AbbreviationsAPS – Adult Protective Services (formerly BPS, Bureau of Protective Services)DHH – Department of Health & HospitalsHSS – Health Standards SectionNH – Nursing HomeICF/DD – Intermediate Care Facilities/Developmental Disability

Web Address:

1. A hyperlink to the OTIS for Nursing Home and ICF/DD web page is located on Health Standards Section’s home page:http://new.dhh.louisiana.gov/index.cfm/subhome/32

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2. Internet address for the OTIS for Nursing Homes and ICF/DDs home page:http://new.dhh.louisiana.gov/index.cfm/page/280The following hyperlinks are located on the OTIS for Nursing Homes and ICF/DD Providers website:

OTIS Passwords – procedure for requesting passwords and password rules OTIS Resources

o Trainingo Browser Requirementso Regulations

OTIS Production Web Site – link to open OTIS login page; enter actual reportable incidents in this web site. Do not enter test data in the OTIS Production web site.

OTIS Production Site Status – information about the status of the OTIS server; “functional” or “non functional”. If “non functional” estimated time when OTIS will be functional will be displayed.

OTIS Facility Reports – listing of records (incidents) submitted via OTIS for your facility OTIS Contacts

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Software Requirements

Internet Explorer (IE) is the recommended browser. 128 bit encryption (cipher strength) is required. To determine IE Cipher Strength, left click Help, left click “About Internet Explorer”.

If the Cipher Strength is less than 128-bit, please visit the Microsoft Internet Explorer home page and search for 128-bit encryption download for your computer’s operating system. If you need assistance with this procedure please contact your facility’s technical support person.

Internet Explorer Options Setting – Newer Versions of Stored Pages

Please make the following change to your IE Internet Option settings:

1. Left click Tools, Internet Options

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2. Left click Settings

3. Left click circle labeled “Every time I start Internet Explorer”, left click “OK”

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4. Left click “OK” in the Internet Options window to save changes.

Internet Explorer “View” Setting

Text size must be set to “Medium”.

1. Open Internet Explorer2. Left click “ View”3. Hover the mouse over “Text Size”4. Left click “Medium”

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Security Each person entering data into the OTIS system is required to have their own username and password issued by DHH. OTIS contains resident identifiable information. The facility must comply with HIPPA guidelines.

OTIS has a security feature that will cause the program to “time out” if no actions are detected over a 15-30 minute period. Actions are defined as “Save Changes” or left clicking “buttons” or hyperlinked words within the program. Typing text on the keyboard is NOT considered an Action. Please select “Save Changes” frequently to avoid losing data should the program time out unexpectedly. If you receive a “server error” message page, this indicates the program has timed out. If you see a “server error” message please close Internet Explorer, reopen it and login to OTIS.

Password Requests

Submit requests for new passwords, changes or deletions on company letterhead, signed by the administrator via fax or US mail to the appropriate HSS program desk clerical. Passwords will be mailed to the facility’s administrator within 5 workings days via certified mail.

Nursing Home:

Mary Sept, 225-342-3240, Mary.Sept@la.govFax: 225-342-0453

ICF/DD:

Gaynell Brand, 225-342-9406, Gaynell.Brand@la.govFax: 225-342-0157

Password Rules

Passwords will automatically expire after 180 days. If the user logs into OTIS within 14 days prior to the password’s expiration date, he will be prompted to change the password.

Rules:

Passwords will expire every 180 days. New password must be six characters including one numeric character. (No special

characters such as *, &, /, etc.) cannot reuse last 3 passwords User will be locked out after 3 incorrect attempts to login. OTIS user accounts will be automatically disabled after 180 days of inactivity

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Data Entry

Enter your assigned username & password in the appropriate fields. Left click “Logon” to enter OTIS. Note: Select “Reset password” to change password prior to entering OTIS. New passwords expire in 180 days.

Select Logon to open OTIS

Note: A blank report will only be displayed the first time a report is entered in OTIS. After the first report is created OTIS will display a previously entered report after login.

Create a New OTIS Report

1. Left click “New incident”

2. Left click “Save new incident” – these two actions will result in the creation of a new OTIS ID number.

Incident ID is a unique identification number that is automatically assigned to each OTIS record. It is displayed in the top, left corner of the OTIS form.

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3. Record the new OTIS ID number on all documents associated with this report. Select “OK” to close the Microsoft Internet Explorer warning message.

(The warning message will be revised. Incident Categories only applies to reports involving “injury of unknown origin” or “Death with restraints/seclusion”. All other reports associate the Allegation Type to a specific Accused person. The allegations are entered on the Accused page of the OTIS form. See instructions for entering an Accused for details.)

Note: If the network connection to the website is lost unexpectedly close the browser. Reopen Internet Explorer and logon to OTIS.

To Open a Previously Created OTIS Report

Enter the OTIS ID number in the empty box to the left of the “GO” button. Left click “GO”.

Or

Left click the arrow to display all OTIS ID numbers previously created for your facility. Select the desired OTIS ID number.

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Status Window

Status window is located at the top of the form and displays the report’s status.

1. Incomplete Report – further information required to complete report2. Pending Report – missing CEO finding and/or facility CEO finding3. Report Complete – All required information entered, report is locked and cannot be

edited.

Contacts

Enter “Reporter” and “Witnesses” in the “Contact Name” field. You will be asked to select either Reporter or Witness when adding the Contact information.

a. Reporter is name of person who completed the incident report. This may be different than the person who is actually entering the data in the OTIS system.b. Witness – person(s) who witnessed the incidentc. Other contacts may be entered if desired.

a. Enter the Contact’s last name. See example above. b. Left click “Find” to see if Contact name has been entered previously. If not in the list, left

click “New Contact”.

Enter New Contact Information:

Enter Contact information. First and Last Name are required fields. Do not enter Contact’s address, organization or Title if Contact is employed by the facility. Left click “Save new

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contact”.

If contact information was saved “Contact record added” will be displayed. Left click “Return” to return to the Incident form.

Contacts Continued:

Note the new contact will be displayed in the Contacts table. Left click “Edit” to select type and title for new contact.

Type Contact – Select “Reporter” or “Witness” or leave these fields blank if contact is not a Reporter or Witness.

Left click “Update” to save Type and Title.

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Contacts – Find Previously entered Contacts

Contacts entered on prior reports may be selected from the Contact list.1. Left click “Find” to display previously entered Contacts.

2. Left click desired Contact name from the list. Left click “Add” to add the desired Contact to the current report’s Contacts list.

3. This action will place the selected Contact name in the Contacts list.

4. Left click “Edit” to select Type and Title.

Left click “Update” to save Contact Type and Title.

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Events

The following events are entered in the Events table.

a. Entered – automatically entered by the OTIS system when the Incident ID is created. This is the date and time the report was submitted to DHH - OTIS. User cannot edit these fields.

b. Discovered – This is a required field. Enter the date and time the incident was discovered.c. Occurred – This is not required for this field. Enter the actual date and time the incident

occurred if known. Enter Shift Occurred: Day (7a-3p), Evening (3p-11p) or Night (11p-7a)

d. Reported in facility – nursing homes ignore this evente. Notified Adult Protective Services (APS)

Add an Event:

1. Left click the arrow in the right side of the Events column.

2. Left click the desired event. 3. Enter the date4. Enter the time of the event in the Time column. Time is required for all except

“Occurred”. Please enter “am” or “pm” as shown in example below. Do not enter leading zeros. (Example: do not enter “07”, enter “7”)

5. Left click “Add” to save event, date & time

Note: If incorrect characters are entered a question mark or asterisk will be displayed. Reenter the correct data in the field and left click “Add” hyperlink.

Shift Occurred:

1. Select the desired shift.

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2. Left click “Save Changes” button located at the top of the form to save this information.

Delete an Event

To Delete an event: Left click “Delete” to delete an event.

Reporting Facility – automatically displayed; this field cannot be edited

Incident Location

”Facility” is displayed by default, but the user may select desired location from the list.Left click the arrow on the right side of the field to display the list of selections available.

Left click “Save Changes” to save Incident Location.

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Incident Types

The following must be reported to Health Standards Section:

Injuries of Unknown OriginDeath Associated with RestraintsAbuse: Physical, Sexual, Emotional (Verbal)Neglect: Neglect by Care GiverExploitation: Financial (Misappropriation of Funds)

Incident CategoriesThere are two Incident Categories located on the first page of the OTIS data entry web form, “Injury of Unknown Origin” and “Death with restraints/seclusion”. Select one of these if appropriate. If neither category is appropriate SKIP “Incident Categories”. All other Incident Types are entered as Allegations on the Accused page of the web form.

Add Injury of Unknown Origin and/or Death Associated with Restraints/Seclusion

Locate Incident Categories. Box on the left contains selections. Move desired selections to box on the right side of the page.1. Left click desired category. 2. Left click the “greater than” symbol.

This action will move the selected item to the box on the right.

Remove Incident CategoryPerform reverse action to move Incident Category from box on right to box on left side of page. Select desired type incident, left click “less than” arrow. Incident category will no longer appear in right box.Important Note:If during the investigation you determine that an incident was NOT an “injury of unknown origin” you must remove “Injury of Unknown Origin” from the Incident Categories box on the right side of the page prior to adding an Accused.

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Left click “Save Changes” to save data entered up to this point.

Client/VictimEnter Client Name (Victim) using same method used to Find or Add Contact Name.

1. Enter Client’s last name, left click “Find”. If client has previously been entered, all clients with that last name will be displayed in the box located below Client name (last).

2. If no names displayed after selected “Find” left click “New Client” to add client’s name.3. The Current incident ID will be displayed. Enter the Client information.The following Client fields are required: Last name, First Name and SSN are required fields. Capitalize first letter of first & last name. Do not enter dashes in SSN field. Enter nine 0’s if SSN unknown.Please note that required fields have a pink colored background.

4. Left click “Save New Client”.

4. Left click “Return” to return to the form’s first page.5. The New Client’s name will be displayed in the Client table. 6. Left click “Edit” to select a type injury. If more than one injury, select most

severe type injury. Enter other type injuries in “Description” field. “Description” and “Summary” text boxes are located on the on the “Case Notes” page. See “Case Notes” hyperlink located at top of form.

7. Left click “Update” to save type injury.

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8. Successfully entered client data will be displayed as shown below:

Duplicate Client Entry

If the new client’s identifying information matches a previous client’s information the duplicate information is displayed. The user may “override” the warning and create a new client by left clicking in the “Override duplicate?” box. “Save new client” and “Return”.

Accused

In some cases the Accused will be “unknown”. For example, a victim may allege money was stolen, but does not know who actually took his/her money. In another example, a resident may report that he/she saw someone abuse another client, but cannot identify the accused.

In situations where the accused is “unknown” please create an Accused with first and last name “unknown”. Use this selection for all reports where the accused is unknown. If the accused is discovered during the course of the investigation, please delete “Unknown” from that record and enter the correct Accused name.

Locate “Accused” hyperlink located at the top of the form’s first page.

1. Left click the Accused hyperlink to open the Accused section of the form.2. Enter the Accused person’s last name in the field labeled “Accused name (last):”.3. Left click “Find”. If the name does not appear in the box you will need to add the

Accused name by selecting the “New accused” button.

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4. Add accused information using same method as adding new Clients.*It is not necessary to enter address or organization for persons who are employed by the facility.

5. Select “Save New Accused” after entering Accused information.6. Left click “Return” to enter Allegations/Protective Action information.7. The Accused entered will be displayed on the Accused page. 8. Left click “Edit” to select a Relationship. This is in optional field.9. Left click “Allegations/Protective actions” hyperlink to select an Incident Category

(Allegation) and Protective Action for each Accused name entered.

10. Enter the Relationship - “Client/Staff/Other”Relationship is required to complete the report.Left click “Edit” to enable the Relationship selection list. Left click “Update” to save the Relationship selection.

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Note:If “Relationship” is “Staff”, then the Accused SSN, Title and Address are required to complete the report. Left click “Open” to return to the Accused information page.

11. At least one Allegation must be selected for each Accused name entered.

12. Left click the “Allegations/Protective actions” hyperlink for desired Accused. The page will be refreshed to display two tables: an Allegations table and Protective actions table. Left click the arrow to the right of each column to display lists for each column heading.Select desired Allegation. You may enter the finding now or later.Left click “Add” to save the selected Allegation. More than one Allegation may be entered per Accused.

13. Allegation Finding - Select one of the items from pull down menu for each allegation.

a. Substantiated – facility investigation confirmed allegation of abuse.b. Unsubstantiated –facility investigation determined no abuse occurred.c. Unable to verify - facility investigation unable to determine abuse due to lack of

information.

14. Enter the Protective Action taken for each Accused if applicable. Left click “Add” to save Protective Action selected.

15. Left click the “Update” (found to left of the Accused name) hyperlink to save Allegations and Protective Actions entered.

16. Left click “Return” to return to the form’s first page.

Description and Summary

Practical tip: Type the Description and Summary on a Word document first. Proof document using spell check and other Word review features. Spell check is NOT available in OTIS.Copy and paste the text from Word into OTIS using Windows “Copy” and “Paste” commands. (Ctrl + c = copy, Ctrl + v = paste, or, select text, right click to view Copy and Paste commands)

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DescriptionLeft click the “Case Notes” hyperlink located at the top of the form’s first page.

This action will open a new page. Add Description1. Left click the word “Description”2. Left click the “greater than” symbol. This action will place the word Description in the

box on the right side of the page.3. Left click inside the text box located under the two boxes. 4. Type a description of the Incident in the text box.5. Left click “Save changes” when finished typing Description in text box.

Add Summary

1. Left click word “Summary”2. Left click the “greater than” symbol. This action will place the word Summary in the box

on the right side of the page.3. Left click inside the text box located under the two boxes.

4. Type a Summary of the Incident in the text box.5. Left click “Save Changes” when finished typing the Summary in the text box.

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Navigate between Description and Summary

When an item is selected from the right box, its corresponding text will be displayed in the associated text box location. There are actually two text boxes, Description and Summary, however, only one text box will be displayed at a time.

If you left click “Description” in the right box, the Description text will be displayed in the text box. See example below:

If you left click “Summary” in the right box, the Summary text will be displayed in the text box. See example below:

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*The highlighted word indicates which text is displayed in the text box. In above example the word “Summary” is highlighted, therefore the text displayed, “Summary Text box” is the text that was entered for “Summary”. To view text entered for “Description”, left click the word “Description”. Text in the box will be text entered under Description. View Summary or Description text by left clicking either word.

Remember to select “Save Changes” if any changes made to text entered into either text box.Left click “Return” to return to the first page of the form.

Investigation Page

Enter Referrals, CEO Finding/Determination Date, and CEO Findings on this page.These fields are found on the “Investigation” page of the form.Left click the “Investigation” hyperlink. This will open the Investigation page of the form.

ReferralsSelect one or more agencies or boards that Incident report was referred to.1. Locate the Referrals section of the page. 2. Left click the desired item in the left box.3. To move the selected item to the right box, left click the “greater than” symbol.

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4. After performing step 3 the desired item will be displayed in the box on the right.

5. Left click the “Save Changes” button located at the top of the form to save Referral information.

6. To remove a referral from the right box, reverse the steps and select the “less than” symbol. Remember to “Save Changes”.

Complete Report“CEO Finding Determination date & Facility/CEO finding” are required to Complete a report.

Left click the arrow in the right side of the column. Select desired Event. Enter date/time for each event. Left click “Add”. Left click “save changes.

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Facility/CEO finding:

Prior to July 2006 a finding was entered for each OTIS report. After July 2006 an outcome is entered for each Allegation. The Facility/CEO finding is still required to “Complete” the report, though this feature will eventually be removed.

If any of the Allegations were “Substantiated”, select “Substantiated” from the finding list.If all were “Unsubstantiated” or all were “Unable to Verify”, then select the either one.If none were substantiated, and any of the remaining allegations were “Unsubstantiated”, select “Unsubstantiated”.

Note: The Incident report status will be “Complete” after the Facility/CEO Finding is entered. No changes may be made to a “Complete” report.

Left click “Save Changes”. This action will lock the report. No further changes may be made to the report. Report considered complete (or final) when Facility Finding entered and changes saved.

Re-Open a Locked ReportIf a change is required on a locked report, fax the request to unlock the report on company letterhead, signed by the administrator to the appropriate HSS contact. Please include the OTIS ID number, facility contact name, phone number and/or email address and reason for the request.

A member of the OTIS Support team will remove the “CEO finding/determination date” from the Events list. This action will change the status of the report from “Complete” to “Incomplete”. The “Facility/CEO finding” result will also be removed.

Please make the appropriate change, re-enter “CEO finding/determination date” and “Facility/CEO finding”. Save changes. This action will re-lock the report and change the status to “Complete”.

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Print Report

Click on “Print” button to obtain “printer friendly” copy of the report.

Extension and Due Dates

Extension and Due dates are displayed on the “Investigation” page and cannot be changed by the provider.

“Report due:” – Indicates the dates the OTIS record should be completed according to HSS and Adult Protective Service (APS) reporting requirements.

Report due dates are automatically generated when the “Discovered Date” is added on the first page of the web form. HSS requires OTIS reports to be completed within 5 work days.APS required OTIS reports to be completed within 30 calendar days.

“Extension Dates” – OTIS Program Manager can grant an extension by entering a number in the “Days extended” column. Requests for extensions must be submitted on company letterhead, signed by the facility’s administrator. Please explain why an extension should be granted.

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Email Notification

Effective July 2010 Health Standards implemented automatic email notification to nursing home providers for late reports. An OTIS report is considered late when the current date is after the HSS report due date and the report’s status is Incomplete.

Providers will receive an email notification to the email address listed with Health Standards. It is the provider’s responsibility to notify HSS of changes to the email address.

The email will be sent daily until the report is completed and contains the following information:--------------------------------------------------------------To: (facility email address)

From: Health Standards (HSS.mail@la.gov)

Subject: Incomplete OTIS Report

Message:

(Facility Name)

The following OTIS Reports are "Incomplete" and have exceeded the allowed 5 work days to complete: OTIS ID Number, Due: (Due Date)-------------------------------------------------------------Questions related to automatic email notifications should be directed to the HSS Nursing Home Abuse/Neglect Program Manager.

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