To: All UAS-NY Long-Term Care Users...Nov 12, 2019 · The UAS-NY Interface Version: November 2019 Introduction This quick reference guide will describe the screen layout of the UAS-NY

To: All UAS-NY Long-Term Care Users

From: UAS-NY Project Team

Date: November 12, 2019

Re: UAS-NY Upgrade to Version 1.7 & Associated Release Notes

Software Upgrade to Version 1.7

The purpose of this memorandum is to notify you of the upcoming release of the UAS-NY software to version 1.7. The online upgrade will begin on Wednesday, December 4, 2019 at 5:00 PM and will be completed no later than Thursday, December 5 at 8:00 AM. (The system may be available sooner.) During this time, both the Online and Offline Applications will be unavailable; we apologize for any inconvenience this may cause.

Software Changes 1. The UAS-NY Developer Team has worked very hard to bring an exciting modernization to the UAS-NY.

There will be a complete framework upgrade and interface revamp associated with this release. • There will be no loss in functionality, however, some features may have an updated look or

location. For more information, see the new training courses outlined in the New Required Courses section below.

2. The 2020 ICD-10-CM Codes will be integrated into the UAS-NY.

New Required Courses Due to the interface revamp, all users will be required to complete two new interface courses:

• 1100 – Working in the UAS-NY Interface o Replaces previous 1100 course UAS-NY Interface o Available Today – November 12, 2019

• 1200 – Searching the Case List in the UAS-NY o Replaces previous 1200 course Managing Your Organization’s Case List o Available November 20, 2019

The new courses will be required for all users whether or not the previous courses were required for that user.

The New Course 1100 is available today, Tuesday, November 12, 2019. The New Course 1200 will be made available on Wednesday, November 20, 2019. At these times, the new courses will be placed under the Recommended Courses header. This will allow any user who has previously completed the old version of the courses to temporarily access the UAS-NY without completing the two new courses.

During this transition period of November 12 – December 4, the old versions of the courses will still be available in your course sequence at the organizational role confirmation page. This means that new users, who are being onboarded during this three-week period, will need to take both the old and new interface courses in order to prepare themselves for working immediately in the UAS-NY, as well as to conduct future work after December 4th.

The two new courses will be officially placed under the Required Courses header at close of business on Wednesday, December 4th. At that time, users who have not completed these two new courses will not be allowed access to the UAS-NY without first completing both new courses. The old versions of courses 1100 and 1200 will be removed at this time.

Please see the included Quick Reference Guides for the new 1100 and 1200 courses for your reference.

Course Timeline All users will be required to take both new courses for UAS-NY access.

Course Number

Course Name Date Available Date Required On this date, users will not be able to access the UAS-NY

without first taking the course.

1100 Working in the UAS-NY Interface Tuesday, November 12 Close of Business Wednesday, December 4

1200 Searching the Case List in the UAS-NY Wednesday, November 20 Close of Business Wednesday, December 4

UAS-NY Offline Users

In addition to the Online upgrades related to release v.1.7, we are also releasing v.1.7 of the UAS-NY Offline Application. This is a required upgrade for all Offline Application users.

Complete instructions for upgrading the UAS-NY Offline Application to v.1.7 will be available in the UAS-NY Training Environment Course 8500 References and Resources Online and Offline Application by close of business Wednesday, November 20, 2019. We ask that you read the instructions in their entirety before installing v.1.7.

• Do not upgrade to Offline v.1.7 before close of business December 4th, as it will not work until the Online upgrade is complete.

Contact If you have any questions or require additional information, please contact the UAS-NY Project Team.

Please be prepared to provide your Health Commerce System (HCS) User ID when you call us at 518-408-1021. If you email your questions to [email protected], please include your HCS User ID in all email communication.

© 2019 New York State Department of Health. Text, graphics and HTML code are protected by US and International Copyright Laws, and may not be copied, reprinted, published, translated, hosted, or otherwise distributed by any means without explicit permission.

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The UAS-NY Interface Version: November 2019

Introduction This quick reference guide will describe the screen layout of the UAS-NY interface, define interface terminology, and outline common data-entry elements.

Accessing the UAS-NY After logging into the UAS-NY, the system displays the Organization/Role Selector page. This menu lists your assigned organizations and corresponding “role names.” Each “role name” has two parts: an assessment instrument abbreviation and a 2-digit role number. This combined “role name” will control your access to case lists (and related case files), assessment instruments, and secure health data. NOTE: The table below lists four common role numbers, but not the full list of roles used by UAS-NY.

Assessment Instrument Abbreviation Role

Community Mental Health Assessment CMHA 15

Child and Adolescent Needs and Strengths for New York CANS-NY 50

Coordinated Assessment Services CAS 41

Community Health Assessment UAS 40

1. After logging in the HCS, click on the UAS-NY

link on your applications list.

2. Verify your credentials through Multi-Factor Authentication.

3. At the Organization/Role Selector Page, click the radio button for the correct user role.

4. Click the “Continue” button.

The Case List Search Window By default, you are brought to the Case List Search window, also known as the landing page. In the top, left-hand corner, you will find your HCS user-name, role name and your organization.


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The Case List Search window displays three panels: 1) Main Menu, 2) Case List Search, and 3) Search Results.

The Main Menu Panel The “Main Menu” panel is standard across the entire UAS.

Main Menu Commands

Search will link to various search options

Reports will provide access to data reports

Tools will display any offline synchronizer conflicts and other forms

Help will provide UAS-NY Support Desk contact information and links to UAS training

Logout will log you out of the current UAS organization and role, and return you to the Organization/Role selector page

The Case List Search Panel The Case List Search Panel includes “Search By” fields, and “Search Value” keyword entry. The nuances of case file searches are beyond the scope of this reference guide and are covered in another document.

Main Menu Panel

Case List Search Panel

Search Results Panel


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The Search Results Panel The Search Results Panel includes the search results table, custom sort fields, and command buttons. Depending upon your role name, you may see additional control buttons, such as “Remove Case File” or “Withdraw Authorization. Clicking the “Open Case File” command button will open the selected case file into the “Case Fist Window.”

The Case File Window The Case File Window displays four panels: 1) Main Menu, 2) Navigation, 3) Data, and 4) Command.

Main Menu Panel

Command Panel

Navigation Panel

Data Panel

Custom Sort Fields

Command Buttons

Search Results Table


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The Navigation Panel All data within a person’s case file is organized into a series of data nodes listed in the Navigation Panel. Clicking each node will display the corresponding information within the data panel.

The data nodes displayed in the navigation panel are tied directly to the organization’s chosen assessment instrument. Each assessment instrument will have its own unique set of data nodes, as well as common nodes shared across the system. Nodes that include a “plus” icon indicate subsections are present.

“Reference Date” Node

“Reference Date” Data


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The Data Panel Within the Data Panel, information that is “read-only” will appear as “greyed-out.” Editable fields appear in white.

To add or edit data, select the editable field and enter data as directed (see below). The UAS-NY saves data in real-time, indicated by a blue bar displayed to the left of the data field.

Editable Fields in the Data Panel

Editable Read-Only

Text-Entry Accepts both text or numeric data

Radio Button Sets the value for a data item

Calendar Icon Opens the pop-up calendar tool to select a specific date

Set Button Will automatically toggle several radio buttons to a specified default setting

Sample text Sample text

Read-Only Field

Editable Field

Saved Data


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Editable Read-Only

Pull-Down Menu

Opens a pop-up menu to select a data element

Comments-Entry

Accepts both text or numeric data up to 255 characters

Each data element may require specific data entry patterns. Information is available as context sensitive help, indicated by a blue, question-mark icon. Clicking this icon will open a new window in your browser. This window opens to the specific section of the UAS Reference Manual that addresses the data element. Once open, you can view documentation for other parts of the UAS-NY interface. Aside from help with coding, the UAS-NY Reference Manual supports data elements with definitions and process descriptions.

The Command Panel Command buttons effect only data displayed in the data panel. Like the command buttons in the Case List Search window, the command buttons in the Case File will vary by user role. Greyed-out buttons indicate use is read-only. Other buttons will appear only on certain nodes for specific organizations.

Back Button

Navigates the data panel backward through the history of previously viewed screens.

Forward Button

Navigates the data panel forward through the history of previously viewed screens.

History Button

The history button will toggle history icons to the right of the items in the data panel. When enabled, the history button turns green.

History Icon

Clicking on a history icon to the right of a data item will display a table detailing the history of all the changes made for that data item, including the date and time, HCS User ID, and the new/old data value.

Comments Button

Opens a comments panel to enter/update information to the comments field on the page.

Sample text up to 255 characters.

Sample text up to 255 characters.

Organization which conducted this assessment

• Coding Automatically populates with the name of the organization of the staff person who is completing the UAS-NY Community Assessment

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Searching Case Lists

Key Concepts The table below outlines key terms related to working with case files in the UAS-NY. These terms are used throughout this document and related training modules. Key Terms

Term Description

Case File Demographic and assessment data for a person.

Statewide Database The data storage area where all case files are stored.

Case List All case files that are part of the Organization’s Case List.

Case List Search Window The window used to search for case files in the Organization’s Case List

Statewide Search Window The window used to locate a case file that is part of the Statewide Database

Attestation The action of affirming the legitimate business need to access a case file.

Consent The person’s consent for adding their case file to the Statewide Database.

Introduction Before a person’s case file can be viewed, edited, or an assessment added, it must be part of the Organizations Case List. This quick reference document will outline the steps necessary for searching the Organizations Case List and adding case files to the Case List.

Accessing Case Files in the Uniform Assessment System (UAS-NY) The Statewide Database The UAS-NY Statewide Database contains all case files used by all users. Each case file consists of a person’s demographic, health care and assessment information. Anyone accessing a person’s case file is personally responsible for understanding all rules and policies to protect Personally Identifying Information (PII) and Protected Health Information (PHI).

The Organizations Case List The Organizations Case List consists of those case files an organization has selected from the Statewide Database. Before the case file can be added, you must verify consent and affirm attestation. While consent is always required, the form used for consent varies by domain. Attestation confirms the legitimate business need to access a case file. Consent and attestation together determine whether the case file will be part of the Organizations Case List. These will be discussed in more detail later in this guide.

Case List Search Window The Case List search window is used to search for case files that are part of the Organizations Case List. Once the case file is retrieved, the search results table displays important information about the person. Additional information, such as Medicaid ID, Date of Birth, TABS ID (where appropriate) and last four digits of the Social Security Number, is displayed to help to identify the correct case file. Managed Long-Term care users will also see information pertaining to the last finalized and next assessment due dates, program enrollment, and close date (if applicable).

Statewide Search Window The statewide search window is used to search for case files that are part of the Statewide Database. Since the Statewide Database contains all case files for the UAS-NY, users attempting to access a case file must have more details about the person. As with the Case List search, the search results will display additional information about the person such as, Medicaid ID, Medicare ID, address, and closed status.

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Data Requirements for Accessing a Case File Before you can search for a case file, you must have specific information about the person. Depending on where you are conducting the search (Case List search or statewide search), you may be required to have more demographic data to locate the person’s record.

• Case List Search: Non-supervisory users must have all or part of the person’s last name (primary

search field) and at least one other piece of demographic information (secondary search field).

• Statewide Search: All users must have the person’s full last name, all or part of the person’s

first name (primary search fields) and at least one other piece of demographic information (secondary search field).

Search Criteria for the Case List and Statewide Search Windows The table below outlines the primary and secondary search fields and how they can be used. Search Criteria – Case List Search

Search Field Description

Last Name The person’s last name

• Case List Search - All or part of last name required.

• Statewide Search - Full last name required for statewide search.

First Name and MI All or part of the person’s first name

• Case List Search – optional secondary sort field – all or part of the name.

• Statewide Search - Required – all or part of the name.

Date of Birth The person’s date of birth. This must use the format mm/dd/yyyy (four-digit year). Optionally, the *(asterisk) wildcard can be used for the month and day fields. (example: */*/1950)

• Case List Search – optional secondary sort field.

• Statewide Search – optional secondary sort field.

Last 4 SSN The last four digits of the person’s social security number (example: 1234)



Medicaid ID The person’s full Medicaid ID. (example: AA12345A)



PID CANS users only. This is the child’s Person ID (PID). It is a unique identifier for the tracked child that is generated from the CONNECTIONS application.



TABS ID CAS and CANS users only. This is the Tracking and Billing System (TABS) number that identifies a person in OPWDD's TABS.



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Searching for Case Files in the UAS-NY Typically, all case file searches begin at the Case List search window. If a case file is not part of the Organizations Case List, the next search effort is completed at the statewide search window.

Case List Search Window – The Landing Page The image below outlines the components of the Case List search page.

Statewide Search Window The image below outlines the components of the statewide search page.

Search Strategies for Locating a Case File When attempting to locate a case file on either the Organizations Case List or the Statewide Database, it is a best practice to conduct multiple searches using various search strategies to locate a case file.

• Precise criteria: When available, precise information will ensure you have the correct case file. The more precise information you can provide, the more refined your search results will be.

• Limited criteria: Using limited information will broaden the search for a case file.

1. Search menu and options 2. All or part of the last name (required) 3. Secondary Search by options 4. Secondary Search by Value criteria 5. Open or All case file option

1. Two required fields denoted by the red asterisk*

2. At least one secondary field denoted by the blue asterisk *

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• Date of Birth Wildcards: A wildcard is the asterisk symbol and can be used to represent any number in the month and day fields for the date of birth. The table below provides examples and a special note pertaining to the use of wildcards.

Description Example

Full DOB 03/13/1955

Any day 03/*/1955

Any month or any day */*/1955

Special Note on the date of birth field:

• Wildcards can only be used the month and day

• The year of birth must be a 4-digit year

Search Filter: By default, only open case files are included in the search process. If you think the case file may be closed, change the search filter to All.

Example Search Strategies:

• Entering only part of a person’s first name will yield more results.

• You may enter the complete Social Security Number or the last 4-digits.

• Use wildcards in the month and/or day fields in the date of birth.

• Change the search filter to include all case files; open or closed. A person’s case file may have been closed inadvertently. Note: If the case file is closed you must call the UAS-NY support desk to request the case file be reopened.

Special Search Strategies for Only CAS and CANS-NY Users As noted, CAS and CANS-NY users also have the unique data items TABS ID and PID. These fields can be used to search for case files specific to the Children’s Behavioral Health domain and the OPWDD Domain. From within the Case List search page, these items appear as part of the list of Search By criteria options.

CAS users can search by TABS ID. In addition, CAS users have an additional search option and can exclusively search by the TABS ID. This CAS only option displays a statewide search page that requires the user enter only the TABS ID.

CAS Users

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Similarly, CANS-NY users have additional secondary search field options at the statewide search window. CANS-NY users can search by TABS ID or by PID.

CANS-NY Users

Conducting a Case List Search As noted, after logging in to the UAS-NY, the Case List Search page is the landing page. Users are encouraged to begin their search here to determine if the case file is already part of the Organizations Case List.

Searching the Case List:

1. Enter the person’s full last name in the Last Name Search By

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Searching the Case List (cont.):

2. Use the Search By drop down arrow to select the secondary search criteria. Note: By default, this is set to Date of Birth.

3. Enter the secondary search by value. 4. Click the Search command button.

Viewing Search Results and Opening a Case File If the person is part of your Organizations Case List, the search results table will display one or more case files that meet your search criteria. It is important to carefully review the case results table and select the appropriate case file before adding an assessment or changing a person’s case file data.

Sorting Options Typically, when searching the Organizations Case List or the Statewide Database, the search results will only include a few records. When multiple records are displayed, the sort options can be used to organize how to view the results.

The search results can be sorted by a first and second sort field. By default, the first sort field is set to Last Name. This can be changed to any one of the other fields that are part of the search results. The image shown below provides an example of some of the sorting options that are found at the search results table.

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Viewing Search Results and Opening a Case File

1. Locate the person’s case file in the search results table. 2. Click on the row that contains the person’s case file. The selected row will turn blue.

3. Carefully review the person’s case file to be sure you have the correct case file. 4. Click the Open Case File command button.

Note: In this image there are 3 case files for persons whose last name is Anderson and the first initial are A. It is essential you carefully review the search results and select the correct case file.

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Searching the Statewide Database If you conduct multiple searches of the Organizations Case List and cannot find the person, the case file may exist in the Statewide Database. If you locate the file in the Statewide Database, it can be added to the Organizations Case List. Before it can be added to the Organizations Case List you must:

• verify the person has completed the proper consent form that pertains to sharing health information.

• attest to the legitimate business need to access the person’s case file (CANS-NY Users do not have to affirm attestation).

Note: If it is not part of the Statewide Database, you will have to request the file be added by a user who is provisioned to add case files to the Statewide Database.

Consent and Attestation Consent Before a case file is added to the UAS-NY Statewide Database, consent must be captured. Further, you must verify that consent was captured before the case file can be added to the Organizations Case List. The table below outlines the consent form for each domain.

Domain Form for Consent

Managed Long-Term Care Medicaid Application DOH-4220B or DOH-5032

Adult Behavioral Health DOH-5055 (Health Home enrolled) DOH-5032 (non-Health Home enrolled)

Children’s Behavioral Health DOH-5230

Office for People with Developmental Disabilities Programmatic edibility prompt

Attestation Attestation confirms the Organizations legitimate business need to access the person’s case file. By affirming the attestation, the case file becomes part of the Organizations Case List. Typically, the attestation remains valid for an organization for at least 18 months from the date the original attestation occurred. Depending on the domain, the attestation may be extended for another 18 months. The table below outlines the domain and the rules on attestation.

Domain Rules on Attestation

Managed Long-Term Care Extended 18 months from the date of the most recent assessment for the assessing organization and the organization for whom the assessment was conducted.

Adult Behavioral Health. Extended for 18 months for all organizations with the case file on their Case List at the time of reassessment.

Children’s Behavioral Health. Good for only 18 months.

Office for People with Developmental Disabilities.

Good for only 18 months.

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Once an attestation expires, the person’s case file will no longer appear in the Organizations Case List. If the organization needs to access the case again, a user within the organization can re-attest to a business need to see the case file.

Important Notes Regarding Attestation:

• Once a case file is added to the Organizations Case List it can only be removed by a supervisor, administrative support, or manager. If a case file is added in error, it must be reported to a supervisor.

• Attesting to a case file confirms the attestation for the entire organization. All users have access to the case file.

Searching the Statewide Database – Confirming Consent and Attestation

1. Click the Search menu. 2. Select the Statewide Search menu option.

3. When the page is refreshed, the search panel changes to require additional search criteria.

• Last Name and the First Name or Initial must BOTH be entered (red asterisk).

• At least one other demogrpahic item must be entered (blue asterisk).

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Searching the Statewide Database – Confirming Consent and Attestation (cont.)

4. Locate the person’s case file in the search results table. 5. Click on the row that contains the person’s case file. The selected row will turn blue. 6. Click the Open Case File command button.

Note: It is essential you carefully review the search results and select the correct case file.

1. Required items denoted with a red asterisk, both are required.

2. Secondary items denoted with a blue asterisk, at least one is required.

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Searching the Statewide Database – Confirming Consent and Attestation (cont.)

7. Carefully read the consent message (see examples below) presented at the pop-up. 8. As appropriate, click the Yes command button to affirm consent has been verified.

Click No or Cancel to abort adding the case file to the Organizations Case List. Examples of consent messages:

9. After confirming consent, you are prompted for attestation. 10. Carefully read the message at the Attest to Access Case File window. 11. To attest for your organizaiton, click the Attest for your organization command button.

Documents

To: All UAS-NY Long-Term Care Users...Nov 12, 2019 · The UAS-NY Interface Version: November 2019 Introduction This quick reference guide will describe the screen layout of the UAS-NY