annual pre-archive & archive confirmation web form guide

Centers for Medicare & Medicaid Services

Annual Pre-Archive and Archive Confirmation

Web Form Guide

July 2020

Annual Archive Confirmation Web Form Guide

Table of Contents

Resources........................................................................................................................................ 1

1 Introduction .............................................................................................................................. 1

2 Pre‐Archive Confirmation ......................................................................................................... 2

2.1 EDGE Activities Tab .......................................................................................................... 2

2.2 Welcome Page ................................................................................................................. 3

2.3 2019 Pre‐Archive Status Page.......................................................................................... 4

2.3.1 Pre‐Archive Phase Completed for All HIOS IDs .................................................. 5

2.3.2 Need Assistance Completing Pre‐Archive Phase................................................ 6

2.4 Expected Counts Submission Method Page .................................................................. 10

2.4.1 CSV Upload Page .............................................................................................. 11

2.4.2 Pre‐Archive Expected Counts Page .................................................................. 12

2.5 Summary Page ............................................................................................................... 14

2.6 Attestation Page ............................................................................................................ 17

2.7 Confirmation Page ......................................................................................................... 20

3 Archive Confirmation .............................................................................................................. 21

3.1 EDGE Activities Tab ........................................................................................................ 21

3.2 Welcome Page ............................................................................................................... 22

3.3 Actual Counts of Restored Records Page ...................................................................... 23

3.3.1 2020 Actual Medical Claim Counts Restored ................................................... 25

3.3.2 2020 Actual Medical Claim Family Counts Restored........................................ 29

3.3.3 2020 Actual Pharmacy Claim Counts Restored................................................ 33

3.3.4 2020 Actual Supplemental Record Counts Restored ....................................... 37

3.4 Summary Page ............................................................................................................... 41

3.5 2019 Archive Attestation Page ...................................................................................... 44

3.6 Confirmation Page ......................................................................................................... 46

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Resources

The following Annual Archive Confirmation resources are available for review or download:

EDGE Server Operations and Maintenance Manual (O&MM): https://www.regtap.info/reg_librarye.php?i=2699

EDGE 2020 Pre‐Archive Expected Counts Data File Layout: https://acapaymentoperations.secure.force.com/resource/1544025015000/Archive_Fil e_Layout

EDGE Server Annual Data Archive webinar training materials, located in the REGTAP Library: https://www.regtap.info

1 Introduction

The Centers for Medicare & Medicaid Services (CMS) requires issuers to complete an annual archive process of the data stored on their External Data Gathering Environment (EDGE) server at the end of the data collection period. CMS deploys a remote command to all issuer EDGE servers that moves all enrollment, claim, and supplemental data from the production tables to newly created archive tables. This activity clears the production tables of all data and restores data archived for the new benefit year to the production tables eliminating the need for issuer to re‐submit new benefit year data submitted prior to the archive.

CMS developed the Annual Pre‐Archive Confirmation Web Form and the Annual Archive Confirmation Web Form to allow issuers to confirm the completion of the pre‐archive and archive steps for each of their HIOS IDs. The Annual Pre‐Archive Confirmation Web Form also allows issuers to request assistance in the completion of pre‐archive steps.

Issuers must complete both pre‐archive and archive steps as outlined in the EDGE Server Operations and Maintenance Manual (O&MM). As a part of pre‐archive activities, issuers may use the EDGE 2020 Pre‐Archive Expected Counts Data File Layout to compile counts of records expected to be restored, which must be entered in the Annual Pre‐Archive Confirmation Web Form during the pre‐archive phase. During the archive phase, issuers must complete the Annual Archive Confirmation Web Form to confirm the actual number of records restored to the EDGE server.

This process includes two submission windows, one for the Annual Pre‐Archive Confirmation Web Form and another for the Annual Archive Confirmation Web Form. Issuers must complete these web forms within the following windows:

Pre‐archive completion: July 6, 2020 ‐ July 17, 2020

Archive completion: August 3, 2020 ‐ August 14, 2020

The Annual Pre‐Archive Confirmation Web Form and the Annual Archive Confirmation Web Form are available in the FM Community. CMS will send active FM Community users an email

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https://www.regtap.info

https://acapaymentoperations.secure.force.com/resource/1544025015000/Archive_Fil

https://www.regtap.info/reg_librarye.php?i=2699


that includes a link to the FM Community and instructions to access the web forms. FM Community users must complete and submit each web form in a single session. We recommend that you collect all necessary information before initiating the process.

This document is a step‐by‐step guide to complete and submit the Annual Pre‐Archive Confirmation Web Form and the Annual Archive Confirmation Web Form.

Note: The web forms are optimized for use with Google Chrome™ or Firefox®. Some web form features, such as error messaging, may not function properly in Internet Explorer®.

2 Pre-Archive Confirmation

All issuers are required to prepare their servers for archive by completing the pre‐archive steps provided in the EDGE Server O&MM (refer to Resources for a link). As part of the pre‐archive steps, issuers must collect counts of records expected to be restored during the Archive command. These counts are available from the pre‐archive Ad Hoc query commands deployed to issuers’ EDGE servers, or issuers can gather them using the appropriate queries in the EDGE Server O&MM. Issuers may use the EDGE 2020 Pre‐Archive Expected Counts Data File Layout to generate a .csv file of the counts of records expected to be restored, or enter those expected counts directly in the web form as part of pre‐archive activities. Issuers also use the web form to confirm completion of the pre‐archive steps or request technical assistance for the pre‐archive steps prior to the archive command execution.

2.1 EDGE Activities Tab FM users access the 2019 Annual Pre‐Archive Confirmation Web Form by logging in to the FM Community and selecting the EDGE Activities tab.

Select the Pre‐Archive button to navigate to the Welcome page (refer to Section 2.2).

Figure 1: EDGE Activities Tab

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2.2 Welcome Page The Welcome page provides critical information and recommendations for completing the pre‐archive steps, including links to the EDGE Server O&MM and the Annual Archive File Layout. Review the information, using the links as necessary, and select the Continue button to continue. The system navigates to the 2019 Pre‐Archive Status page.

Figure 2: Welcome Page

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Then

You have completed the pre‐archive phase Continue to Section 2.3.1 for all HIOS IDs,

You require assistance in completion of the Continue to Section 2.3.2 pre‐archive phase for any HIOS IDs,


2.3 2019 Pre-Archive Status Page The 2019 Pre‐Archive Status page allows you to report completion of pre‐archive phase for each of your company’s HIOS IDs or request assistance with the pre‐archive phase. Review Table 1 to select the option that best fits your situation for each HIOS ID listed in the 2019 Pre‐Archive Status table.

Table 1: 2019 Pre-Archive Status Page

Figure 3: 2019 Pre-Archive Status Page

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If


2.3.1 Pre-Archive Phase Completed for All HIOS IDs

Complete these steps in the 2019 Pre‐Archive Status table to confirm completion of the pre‐archive phase for all HIOS IDs:

1. Select the Select Yes for All button in the Steps Complete? column of the 2019 Pre‐Archive Status table.

Figure 4: Select Yes for All Button

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2. Select the Continue button. The system navigates to the Expected Counts Submission Method page.

Figure 5: Continue Button

2.3.2 Need Assistance Completing Pre-Archive Phase

Complete these steps in the 2019 Pre‐Archive Status table to confirm completion of the pre‐archive phase for applicable HIOS IDs and request assistance for other HIOS IDs:

1. Select Yes from the dropdown menu in the Steps Complete? column of the 2019 Pre‐Archive Status table for each HIOS ID for which the pre‐archive phase is complete.

Figure 6: Selection Example

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2. Select No, I need help from the dropdown menu in the Steps Complete? column of the 2019 Pre‐Archive Status table for each HIOS ID for which the pre‐archive phase is not complete because you need assistance.

Figure 7: Help Selection Example

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3. Select the step number or Other from the dropdown menu in the Step Where Issue Occurred? column.

Figure 8: Step Issue Selection Example

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4. Enter an explanation of the issue and assistance requested in the Help Explanation column.

Figure 9: Enter Explanation Example

5. Select the Continue button. The system navigates to the Summary page. Refer to Section 2.5.

Warning: If you request assistance with any HIOS ID, you will need to return to the Annual Pre‐Archive Confirmation Web Form after the issue is resolved to complete confirmation for that HIOS ID.


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2.4 Expected Counts Submission Method Page As part of the pre‐archive phase, issuers must submit expected counts for medical, pharmacy, and supplemental claims. Obtain the expected count of current benefit year records to be restored after the archive is complete using the data returned from the pre‐archive Ad Hoc commands deployed to issuers’ EDGE servers or by using the queries provided in the EDGE Server O&MM (refer to Resources for a link). Issuers may submit their expected counts using a .csv file or using online entry. If you have more than 10 HIOS IDs to submit expected counts for, CMS recommends using the .csv file upload method. The EDGE 2020 Pre‐Archive Expected Counts Data File Layout includes guidance on how to create an acceptable .csv file.

To choose a submission method, select the radio button next to your choice, then select the Continue button. Refer to Section 2.4.1 for .csv upload, or refer to Section 2.4.2 for online entry.

Figure 11: Expected Counts Submission Method Selection

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2.4.1 CSV Upload Page

Follow these steps to upload a .csv file with the expected counts for your HIOS IDs (refer to Figure 12):

Warning: Uploaded files must NOT contain any protected health information (PHI) or personally identifiable information (PII). Files containing PHI or PII will be deleted and not considered as part of the pre‐archive process.

1. Select the Browse button and choose the file you wish to upload.

2. Select the Upload CSV File button. The system navigates to the Summary page.

Figure 12: CSV Upload Page

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2.4.2 Pre-Archive Expected Counts Page

The Pre‐Archive Expected Counts page allows you to enter the counts of records you expect to be restored to your EDGE server after the archive is complete. Follow these steps to enter you pre‐archive expected counts using the online entry method:

1. Enter the following expected counts in the Pre‐Archive Expected Counts tables.

Expected Medical Claim Count

Expected Active Medical Claim Count

Expected Inactive Medical Claim Count

Expected Medical Claim Family Count

Expected Active Medical Claim Family Count

Expected Inactive Medical Claim Family Count

Expected Pharmacy Claim Count

Expected Active Pharmacy Claim Count

Expected Inactive Pharmacy Claim Count

Expected Supplemental Record Count

Warning: Expected Claim Counts must be equal to the sum of the Expected Active Claim Counts and Expected Inactive Claim Counts.

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Figure 13: Pre-Archive Expected Counts Page

Note: Only HIOS IDs for which the pre‐archive phase is complete will appear in the Pre‐Archive Expected Counts tables.

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2. Select the Continue button. The system navigates to the Summary page.


2.5 Summary Page Follow these steps to complete the Summary page, and continue the pre‐archive process:

1. Review the 2019 Pre‐Archive Status table, which contains the confirmation details and/or request(s) for assistance in completion of the pre‐archive phase. If needed, select the Edit Pre‐Archive Status button to return to the 2019 Pre‐Archive Status page to make updates to the information (Section 2.3).

Figure 15: Edit Pre-Archive Status Table

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2. Review the Expected Counts of Records to be Restored tables. If needed, select the Edit Expected Counts button to return to the Expected Counts Submission Method page to make updates to the information (Section 2.4).

Figure 16: Edit Expected Counts of Records to be Restored Tables

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3. Review the Submitter Contact Information summary.

Note: To edit Submitter Contact Information, you must exit the form, select the Maintenance tab, and select the Modify User List button.

Figure 17: Submitter Contact Information Summary

Table 2: Pre-Archive Summary Page

If Then To Navigate To

You confirmed pre‐archive completion for all HIOS IDs

The Continue button appears on the Summary page.

Attestation page, refer to Section 2.6

You stated that you need help with one or more available HIOS IDs

The Submit button appears on the Summary page. (No attestation is required.)

Confirmation page, refer to Section 2.7

Figure 18: Submit Button

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Warning: The archive confirmation process is not complete until a confirmation has been entered for all HIOS IDs for both archive phases on the Annual Pre‐Archive Confirmation Web Form and the Annual Archive Confirmation Web Form.

2.6 Attestation Page Follow these steps to complete the Attestation page, and continue the pre‐archive process:

1. Select the check box next to each statement to attest the information submitted for each HIOS ID for the pre‐archive phase.

Figure 20: Attestation Statements

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2. Complete the Attester Details section with the following information for the person attesting to the information entered:

First Name

Last Name

Email Address

Job Title

Phone Number

Phone Extension (optional)

Note: The individual providing the attestation must be someone who can legally and financially bind the company. This person is not required to be the Submitter.

Figure 21: Attester Details

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3. Select the Submit button.


4. Select the OK button in the dialog box to confirm you are ready to submit the form. The system navigates to the Confirmation page of the form.

Figure 23: OK Button

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2.7 Confirmation Page After you submit your Annual Pre‐Archive Confirmation Web Form for the pre‐archive phase, an acknowledgement email will be sent to the FM Community user(s), Submitter, and Attester. The Confirmation page provides you the opportunity to print a PDF of your submission confirmation. This PDF will not be attached to your acknowledgement email. This will be your only chance to print/save your PDF confirmation.

Follow these steps to print out your confirmation PDF and exit the form:

1. Select the PDF button to save/print the confirmation for your records.

2. Once you have saved and/or printed your confirmation, select the Exit button to exit the web form.

Figure 24: Confirmation Page

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3 Archive Confirmation

All issuers are required to complete the archive steps included in the EDGE Server O&MM and successfully execute the archive command. You must verify the actual counts of records restored using the Annual Archive Confirmation Web Form.

3.1 EDGE Activities Tab FM users access the 2019 Annual Pre‐Archive Confirmation Web Form by logging in to the FM Community and selecting the EDGE Activities tab.

Select the Archive button to navigate to the Welcome page (refer to Section 3.2).

Figure 25: EDGE Activities Tab

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3.2 Welcome Page The Welcome page provides critical information and recommendations for completing the archive phase. Review the information and select the Continue button to continue. The system navigates to the Actual Counts of Restored Records page.

Figure 26: Welcome Page

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3.3 Actual Counts of Restored Records Page The Actual Counts of Restored Records page gives issuers the opportunity to review the counts of records restored to their EDGE server and confirm that those counts are correct. Follow these steps to review the counts of records restored to your EDGE server:

1. Select the Expected Counts PDF button to generate a PDF of the expected counts that were previously submitted. It is recommended that you print and save the Expected Counts PDF for your records so you can compare to the actual counts that were restored.

Figure 27: Expected Counts PDF Button

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2. Review actual counts for each actual count category. Refer to Section 3.3.1 through Section 3.3.4.

Figure 28: Actual Claims Counts Table

3. Once you have completed review and verification of all of the tables at the corresponding hyperlinks, select the Continue button. The system navigates to the Summary page (Section 3.4).


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3.3.1 2020 Actual Medical Claim Counts Restored

Follow these steps to review and confirm the 2020 actual medical claim counts restored to your EDGE server:

1. Select the Actual Medical Claim Counts link.

Figure 30: Actual Medical Claim Counts Link

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2. Review the claim counts in the Actual Medical Claim Counts table and compare the restored counts to the counts submitted in the pre‐archive phase.

Figure 31: Actual Medical Claim Counts Table

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3. If all Active Medical Claim Counts are correct for all HIOS IDs, select the Yes for All button.

Figure 32: Yes for All Button

4. If all Active Medical Claim Counts are not correct, select Yes for each HIOS ID with a correct count. Then select No for each HIOS ID with an incorrect count.

Figure 33: Count is Correct? Picklist

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5. For any HIOS ID with a No selection, enter a corrected count in the Corrected Count column.

Figure 34: Corrected Count Column

6. Repeat steps 2‐5 for Inactive Medical Claim Counts and Total Medical Claim Counts.

7. After validating restored counts for all HIOS IDs, select the Save & Return button.

Figure 35: Save & Return Button

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3.3.2 2020 Actual Medical Claim Family Counts Restored

Follow these steps to review and confirm the 2020 actual medical claim family counts restored to your EDGE server:

1. Select the Actual Medical Claim Family Counts link.

Figure 36: Actual Medical Claim Family Counts Link

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2. Review the claim counts in the Actual Medical Claim Family Counts table and compare the restored counts to the counts submitted in the pre‐archive phase.

Figure 37: Actual Medical Claim Family Counts Table

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3. If all Active Medical Claim Family Counts are correct for all HIOS IDs, select the Yes for All button.


4. If all Active Medical Claim Family Counts are not correct, select Yes for each HIOS ID with a correct count. Then select No for each HIOS ID with an incorrect count.


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6. Repeat steps 2‐5 for Inactive Medical Claim Family Counts and Total Medical Claim Family Counts.



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3.3.3 2020 Actual Pharmacy Claim Counts Restored

Follow these steps to review and confirm the 2020 actual pharmacy claim counts restored to your EDGE server:

1. Select the Actual Pharmacy Claim Counts link.

Figure 42: Actual Pharmacy Claim Counts Link

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2. Review the claim counts in the Actual Pharmacy Claim Counts table and compare the restored counts to the counts submitted in the pre‐archive phase.

Figure 43: Actual Pharmacy Claim Counts Table

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3. If all Active Pharmacy Claim Counts are correct for all HIOS IDs, select the Yes for All button.


4. If all Active Pharmacy Claim Counts are not correct, select Yes for each HIOS ID with a correct count. Then select No for each HIOS ID with an incorrect count.


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6. Repeat steps 2‐5 for Inactive Pharmacy Claim Counts and Total Pharmacy Claim Counts.



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3.3.4 2020 Actual Supplemental Record Counts Restored

Follow these steps to review and confirm the 2020 actual supplemental record counts restored to your EDGE server:

1. Select the Actual Supplemental Record Counts link.

Figure 48: Actual Supplemental Record Counts Link

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2. Review the record counts in the Actual Supplemental Record Counts table and compare the restored counts to the counts submitted in the pre‐archive phase.

Figure 49: Actual Supplemental Record Counts Table

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3. If all Actual Supplemental Record Counts are correct for all HIOS IDs, select the Yes for All button.


4. If all Actual Supplemental Record Counts are not correct, select Yes for each HIOS ID with a correct count. Then select No for each HIOS ID with an incorrect count.


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3.4 Summary Page Follow these steps to complete the Summary page, and continue the archive process:

1. Select the Expected Counts PDF button to generate a PDF of the expected counts submitted during the pre‐archive phase. You will use this PDF to compare to the actual counts on the Summary page.

Figure 54: Expected Counts PDF Button

2. Review the following 2020 Archive Actual Counts tables, and select the Edit button to edit individual tables as necessary.

Actual Medical Claims Counts

Actual Medical Claim Family Counts

Actual Pharmacy Claim Counts

Actual Supplemental Record Counts

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Figure 55: 2020 Archive Actual Counts Tables

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3. Review the Submitter Contact Information summary.

Note: To edit Submitter Contact Information, you must exit the form, select the Maintenance tab, and select the Modify User List button.

Figure 56: Submitter Contact Information Summary

4. Select the Continue button. The system navigates to the 2019 Archive Attestation page.


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3.5 2019 Archive Attestation Page Follow these steps to complete the 2019 Archive Attestation page, and continue the archive process:

1. Select the check box next to each statement to attest the information submitted for each HIOS ID for the archive phase.

Figure 58: Attestation Statements

2. Complete the Attester Details section with the following information for the person attesting to the information entered:

First Name

Last Name

Email Address

Job Title

Phone Number

Phone Extension (optional)

Note: The individual providing the attestation must be someone who can legally and financially bind the company. This person is not required to be the Submitter.

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Figure 59: Attester Details

3. Select the Submit button.


4. Select the OK button in the dialog box to confirm you are ready to submit the form. The system navigates to the Confirmation page of the form.

Figure 61: OK Button

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3.6 Confirmation Page After you submit your Annual Archive Confirmation Web Form for the archive phase, an acknowledgement email will be sent to the FM Community user(s), Submitter, and Attester. The Confirmation page provides you the opportunity to print a PDF of your submission confirmation. This PDF will not be attached to your acknowledgement email. This will be your only chance to print/save your PDF confirmation.

Follow these steps to print out your confirmation PDF and exit the form:

1. Select the PDF button to save/print the confirmation for your records.

2. Once your confirmation has been saved and/or printed, select the Exit button to exit the web form.

Figure 62: Confirmation Page

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annual pre-archive & archive confirmation web form guide

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