2005 CFR Appendices

Adaptive Equipment: Devices, aids, controls, appliances or supplies of either a communication or adaptive type, determined necessary to enable the person to increase his or her ability to function in a home and community based setting with independence and safety.

Affiliate: An associate with respect to a partnership - each partner within the partnership; a corporation - each officer, director, principal stockholder and controlling person within the corporation; a natural person - each member of the person's immediate family; each partnership; and each partner of the person; each corporation in which the person or any affiliate of the person is an officer, director, principal stockholder, or controlling person.

Agency Administration: Those expenses which are not directly attributable to a specific program but rather to the overall administration of all the programs, or a support function for the agency, such as personnel, that is not specific to any particular program, service, or contract.

Amortization: The process of writing off a regular portion of the cost of an intangible asset over a fixed period of time. Refer to Appendix O - Guidelines for Depreciation and Amortization.

Arm's Length Transaction: A transaction entered into by unrelated parties, each acting in their own best interest. It is assumed that in this type of transaction, the prices used are the fair market values of the property or services being transferred in the transaction.

Asset: Property and service rights, measurable in terms of money, which the entity acquires for their economic benefit or value.

Building: The basic structure, shell and additions. The remainder is identified as fixed equipment. Land costs are not depreciable and should be excluded from building costs.

Capital Expenditure: The acquisition of both property and equipment having a useful life which extends over more than one accounting period. A capital expenditure either adds a fixed asset unit or increases the value of an existing fixed asset. Expenditures benefiting only the current year should be treated as an operating expense.

Closely allied entities (CAEs): Closely allied entities include corporations, partnerships, unincorporated associations or other bodies that have been formed or are organized to provide financial assistance and aid for the benefit of the service provider or receive financial assistance and aid from the service provider. Financial assistance and aid include engaging in fund raising activities, administering funds, holding title to real property, having an interest in personal property of any nature, and engaging in any other activities for the benefit of the service provider or the closely allied entity.

Community Support Programs (CSP revenue): Medicaid revenue that is added to the Medicaid rate of certain OMH outpatient programs in proportion to the amount of community support program state and local net deficit funding that has previously been replaced by CSP. This Medicaid revenue is regulated in law 14NYCRR Part 588.

Comprehensive Outpatient Programs (COPS revenue): Medicaid revenue that is added to the Medicaid rate of certain OMH outpatient programs in proportion to the amount of state and local net deficit funding that has previously been replaced by COPS . This Medicaid revenue is regulated in law 14NYCRR parts 592.

Controlling Party: Any person or organization who by reason of a direct or indirect ownership interest or designated responsibility (whether of record or beneficial) has the ability, acting either alone or in concert with others with ownership interest or designated responsibility, to direct or cause the direction of the management or policies of a corporation, partnership or other entity. Neither the commissioner nor any employee of DMH, SED nor any member of a local legislative body of a county or municipality, nor any county or municipal official except when acting as the administrator of a program shall, by reason of his or her official position, be deemed a controlling party of any corporation, partnership or other entity. For SED purposes, "Controlling Party" shall have the same meaning as "less-than-arm's-length relationship" as defined in Section 200.9 of the SED Commissioner's Regulations.

Department of Mental Hygiene (DMH): The agency in New York State charged with the responsibility for providing services for the care and treatment of mental illness, mental retardation and developmental disabilities, alcoholism and substance abuse as well as the prevention of such conditions.

Depreciation: The process of writing off the acquisition cost of a fixed asset over the estimated useful life. Depreciation is the decline in economic potential of limited life assets originating from wear and tear, natural deterioration through interaction of the elements, and technical obsolescence. Refer to Appendix O - Guidelines for Depreciation and Amortization.

Disproportionate Share Income (DSH): Disproportionate Share Income (DSH) Legislation (Bill #5550-A, 1997-98 Budget initiative) signed by the Governor in 1997 allows for the Office of Mental Health and the Office of Alcohol and Substance Abuse Services to replace net deficit financing with Disproportionate Share Funding in Article 28 voluntary non-profit general hospitals. Payments shall not exceed such general hospital’s cost of providing services to uninsured and Medicaid patients after taking into consideration all other Medical Assistance received, including disproportionate share payments made to general hospital and payments from and on behalf of such uninsured patients and shall also not exceed the amount of State Aid and Local Aid Grants for which the hospital or its successor would have been eligible pursuant to Articles 25 & 41 of the Mental hygiene Law for fiscal year 1996-97.

Expensed Adaptive Equipment: Includes the costs of all adaptive equipment purchased during the CFR reporting period with a value of less than $1,000 or a useful life of less than two years.

Expensed Equipment: Includes the costs of all equipment purchased during the CFR reporting period with a value of less than $1,000 or a useful life of less than two years.

Federal Grants: Sources of revenue in the form of grants received directly from the federal government to support service provider programs.

Federal Medicaid Salary Sharing: A Medicaid revenue. Through the Federal Medicaid Salary Sharing program, counties can be reimbursed for part of the cost of county staff time related to the management of certain aspects of mental health or mental retardation Medicaid Programs. (Costs associated with staff who operate medical programs or who provide direct care are, however, not included).

Fixed Equipment: Includes attachments to buildings, such as wiring, electrical fixtures, plumbing, elevators, heating and air conditioning systems, etc. The general characteristics of this equipment are: a) affixed to the building and not subject to transfer; and b) minimum useful life of two years, but shorter than the life of the building to which affixed.

Fund Raising: All expenses associated with the activities a service provider may use to supplement its revenues in obtaining contributions, gifts, grants, etc. All fund raising and special events expenses (personal services, leave accruals, fringe benefits, OTPS, equipment and property) are to be included as "other programs" (column 7) on Schedule CFR-2 and the appropriate operating expenses (personal services, leave accruals, fringe benefits and OTPS) included on Schedule CFR-3, line 48.

Historical Cost: The cost at date of acquisition of an asset, less discounts plus all normal incidental costs necessary to bring the asset into existing use and location.

Immediate Family: A relationship including brother, sister, grandparent, grandchild, first cousin, aunt or uncle, spouse, parent, or child of such person, whether such relationship arises by reason of birth, marriage or adoption.

Improvement(s): A capital expenditure which extends or improves the useful life of an asset or improves it in some manner over and above the original asset. Thus, if an expenditure adds years to an asset's useful life or improves its rate of output, it would be considered an improvement. In contrast, a maintenance or repair expense is not capitalized.

In-Contract vs. Out of Contract: Programs that are approved to receive Aid to Localities net deficit funding on the Consolidated Budget Report (CBR) are designated as in-contract (i.e., utilizing one of the funding codes listed in Appendix N, except for the non-funded code 090), while programs not receiving Aid to Localities net deficit funding (i.e., utilizing funding code 090) are regarded on the CBR as out-of-contract. See Appendix Z for Policy Statement and Procedures.

Leasehold: An agreement between the lessee and the lessor specifying the lessee's rights to use the leased property for a given time at a specified rental payment.

Leasehold Improvements: Modifications or upgrades made by a lessee to leased property which revert to the lessor at the expiration of the lease term. See Appendix O for amortization rules.

Local Governmental Unit (LGU) Administration: A program category which includes all local government costs related to administering services for the mentally ill, mentally retarded and developmentally disabled, alcohol and/or substance abuser. These costs should not include agency and program administration costs, but should include community service board costs.

Maintenance in Lieu of Rent: Expenditures should include the rent of premises or the cost to own and maintain the premises. If the building is occupied jointly with other tenants, this cost should be allocated on the basis of the service provider's proportionate share of the total usable square footage of the building.

Medicaid: A revenue category representing payments received for services to eligible participants under the combined Federal/State program which pays for medical care for those who cannot afford it, regardless of age.

Medicare: A revenue category representing payments received for services to eligible participants under the Federal programs which pay for medical care for those 65 years old or over and/or disabled under Title II and in receipt of Social Security disability benefits for 24 months.

Moveable Equipment: The general characteristics of this equipment are:

a. capable of being moved as distinguished from fixed equipment;

b. a unit cost sufficient to justify ledger control;

c. sufficient size and identity to make control feasible by means of identification tags; and

d. a minimum useful life of approximately two years.

Refer to Appendix O - Guidelines for Depreciation and Amortization.

Net Deficit Funding: All revenues resulting from:

a. direct contract with New York State Department of Mental Hygiene (DMH);

b. contract with Local Government Unit (LGU) (State and County Share);

Not-for-Profit Organization: A group, institution, or corporation formed for the purpose of providing goods and services under a policy where no individual (e.g., trustee) will share in any profits or losses of the organization. Profit is not the primary goal of not-for-profit entities. Profit may develop, however, under a different name (e.g., surplus, increase in fund balance). Assets are typically provided by sources that do not expect repayment or economic return. Usually, there are restrictions on resources obtained. All income and earnings will be used exclusively for the purpose of the corporation and no part shall inure to the benefit or profit of any private individual firm or corporation.

Organizational Expense: Expenditures incurred in starting a business. They include attorney's fees and various registration fees paid to State governments. The total of all the expenditures is considered to be an intangible asset. Theoretically, these expenditures may benefit the company throughout its operating life, but must be amortized. Refer to Appendix O for amortization rules.

Principal Stockholder: A person who beneficially owns, holds or has the power to vote, ten percent (10%) or more of any class of securities issued by said corporation.

Program Administration Expense: Administrative expenses directly attributable to a specific program which may include but are not limited to personal services and fringe benefits of Program Director, Billing Personnel, etc.

Related Party Transaction: A transaction between the reporting entity, its affiliates, principal owners, management and members of their immediate families and any other party with which the reporting entity may deal when one party has the ability to significantly influence management or operating policies of the other to the extent that one of the transacting parties might be prevented from fully pursuing its own separate interests.

Salvage Value: The amount expected to be realized upon the sale or other disposition of the asset when it is no longer useful to the program.

Site Specific Methodology: An accepted cost development and reporting methodology in which costs of programs are related to specific sites where services are provided, as opposed to aggregating and averaging costs for all sites (cost averaging).

State Grant: A revenue category which represents income from State agencies other than OASAS, OMH, OMRDD and SED.

Third Party: A revenue category which includes payments received for services to participants from private health insurance coverage such as Blue Cross, etc.

Unit of Service: The workload measure by which programs are evaluated. Units of service vary with the type of program provided.

The following lists commonly used acronyms:

Appendix B - Table of Acronyms

Acronym

Translation

ACD

Agency for Child Development

ACT

Assertive Community Treatment

CAE

Closely Allied Entity

CBR

Consolidated Budget Report

CCR

Consolidated Claiming Report

CDT

Continuing Day Treatment

CEO

Chief Executive Officer

CFDA

Catalog of Federal Domestic Assistance

CFR

Consolidated Fiscal Report

CFRS

Consolidated Fiscal Reporting System

CFO

Chief Fiscal Officer

CMHS

Federal Community Mental Health Services Block Grant

COPs

Comprehensive Outpatient Providers

CPA

Certified Public Accountant

CPEP

Comprehensive Psychiatric Emergency Program

CPSE

Committee for Preschool Special Education

CQR

Claiming Quarterly Report

CSE

Committee for Special Education

CSP

Community Support Program

CSS

Community Support Services

DA

Dormitory Authority

DCJS

Division of Criminal Justice Services

DCN

Document Control Number

DDSO

Developmental Disabilities Service Office

DHHS

Federal Department of Health and Human Services

DMH

Department of Mental Hygiene

DMV

Department of Motor Vehicles

DOH

Department of Health

DOL

Department of Labor

FBTP

Family-Based Treatment Program

FTE

Full Time Equivalent

GAAP

Generally Accepted Accounting Principles

HCBS

Home and Community Based Services

HUD

Federal Department of Housing and Urban Development

ICF

Intermediate Care Facility

ICM

Intensive Case Management

IDEA

Federal Individuals with Disabilities Education Act Funds

IPRT

Intensive Psychiatric Rehabilitation Treatment

IRA

Individual Residential Alternative

ISO

Information Services Office

ISP

Individual Service Plan

JAIBG

Federal Juvenile Accountability Incentive Block Grant

JCAHO

Joint Commission on the Accreditation of Health Care Organizations

LA

Local Assistance

LGU

Local Governmental Unit

LTSE

Long Term Sheltered Employment

MATS

Managed Addiction Treatment Services

MCFFA

Medical Care Facilities Finance Agency

MHL

Mental Hygiene Law

MICA

Mentally Ill Chemical Abusers

NDF

Net Deficit Funding

NYCDOHMH

New York City Department of Health and Mental Hygiene

NYCRO

New York City Regional Office

OASAS

Office of Alcoholism and Substance Abuse Services

OCFS

Office of Children and Family Services

OMH

Office of Mental Health

OMRDD

Office of Mental Retardation and Developmental Disabilities

OSC

Office of the State Comptroller

OTPS

Other Than Personal Services

PDG

Program Development Grant

PHP

Permanent Housing Program

PRU

Program Reporting Unit

RCCA

Residential Care Center for Adults

RIV

Reinvestment

RRSY

Residential Rehabilitation Services for Youth

RTF

Residential Treatment Facility

RV

Ratio Value

SCM

Supportive Case Management

SED

State Education Department

SEIT

Special Education Itinerant Teacher

SPMI

Seriously and Persistently Mentally Ill

SRO

Single Room Occupancy

SSA

Social Security Administration

SSI

Supplemental Security Income

TANF

Temporary Assistance for Needy Families

TPUR

Targeted Provider Utilization Review

TUBS

Temporary Use Beds

UPK

Universal Pre-K

VESID

Vocational and Educational Services for Individuals with Disabilities

Appendix C - County Codes

New York State Counties:

County Code County Code

Albany 01 Niagara 32

Allegany 02 Oneida 33

Bronx 03 Onondaga 34

Broome 04 Ontario 35

Cattaraugus 05 Orange 36

Cayuga 06 Orleans 37

Chautauqua 07 Oswego 38

Chemung 08 Otsego 39

Chenango 09 Putnam 40

Clinton 10 Queens 41

Columbia 11 Rensselaer 42

Cortland 12 Richmond 43

Delaware 13 Rockland 44

Dutchess 14 St. Lawrence 45

Erie 15 Saratoga 46

Essex 16 Schenectady 47

Franklin 17 Schoharie 48

Fulton 18 Schuyler 49

Genesee 19 Seneca 50

Greene 20 Steuben 51

Hamilton 21 Suffolk 52

Herkimer 22 Sullivan 53

Jefferson 23 Tioga 54

Kings 24 Tompkins 55

Lewis 25 Ulster 56

Livingston 26 Warren 57

Madison 27 Washington 58

Monroe 28 Wayne 59

Montgomery 29 Westchester 60

Nassau 30 Wyoming 61

New York 31 Yates 62

Statewide – OMH Budgets and Claims Only

OMH Statewide Contracts (OMH Only) – Use County Code 63

OMH Legislative Special Projects (OMH Only) - Use County Code 64

Non-New York State Counties:

All Non-New York State Counties – Use County Code 80

Appendix D - General CFR Rejection Criteria

Listed below are reasons why a Consolidated Fiscal Report (CFR) may be rejected. Reasons for rejection include but are not limited to the following:

All required programs have not been reported.

A separate CFR was submitted for each State Agency instead of submitting a single consolidated CFR.

Schedule CFR-i is not signed and dated by the Executive Director.

Schedule CFRii/iiA, if required, is not signed and dated by an independent licensed or independent certified public accountant.

Schedule CFR-ii/iiA is altered to an unacceptable format.

The letter submitted by your independent accountant in lieu of CFR-ii/iiA differs significantly from the wording on Schedule CFR-ii/iiA.

A review was performed by your independent accountant when an audit is required.

The left-hand portion of Schedule CFR-iii (for service providers receiving Aid to Localities funding only) is not signed by the voluntary local service provider director or, if county-operated, the LGU’s chief fiscal officer.

Areas of non-compliance addressed on desk reviews of prior period CFRs are not addressed by the service provider on their current CFR submission.

Programs site indexes are incorrect.

Fundraising expenses and revenues are not reported in accordance with the CFR manual.

When reporting periods coincide, total expenses and revenues reported on the service provider’s certified financial statements differ materially from the total expenses and revenues reported on the CFR and the service provider did not submit a reconciliation of the differences.

All required schedules have not been completed for all funding CFR State Agencies.

Required financial statements are not submitted.

CFRs submitted using non-approved CFR software, computer generated facsimiles or pre-printed CFR schedules.

CFRs which have not been transmitted electronically via the Internet.

The Document Control Number (DCN) of the Internet CFR submission does not match the DCN that appears on the certification schedules CFR-i, CFR-ii/CFR-iiA and CFR-iii.

Software approved for a prior period is used to prepare the current CFR document.

The wrong type of CFR submission was submitted (for example, an abbreviated CFR was submitted instead of a full CFR)

Management services contracts are not reported in accordance with the CFR Manual.

For manually prepared CFR submissions (for OMRDD abbreviated and mini-abbreviated filers with prior written approval):

Submission is not legible.

Submission prepared on CFR forms for a prior period.

The identifying program/site codes or program codes are either left blank or are invalid codes.

Agency administration costs are not allocated using the ratio value methodology.

Submission type is full and service provider is funded by OASAS, OMH, OMRDD and/or SED.

Appendix E - OASAS Program Types, Definitions and Codes

Below is an alphabetical listing of program types and the corresponding codes grouped by service type. Following this alphabetic list is a numeric list of program definitions and the corresponding codes.

Service providers who operate more than one certified chemical dependence site must report each site separately (in accordance with the approved budget) by indexing the appropriate program code as indicated in the examples below:

Example: A service provider operating an outpatient medically supervised chemical dependence clinic with three certified sites would report program codes 3520-00, 3520-01, 3520-02.

Program Name	Service Type	Program Code
CRISIS
Primary Care Alcoholism (Alcohol Crisis Center)	Crisis	2020
Medically Supervised Withdrawal Services – Inpatient/Residential	Crisis	3039
Medically Supervised Withdrawal Services – Outpatient	Crisis	3059
Medically Managed Detoxification	Crisis	3500
Medically Monitored Withdrawal	Crisis	3510
INPATIENT
Chemical Dependence Inpatient Rehabilitation Services	Inpatient	3550
Residential Chemical Dependency Program for Youth (Short-Term)	Inpatient	4030
METHADONE
Methadone Maintenance – Outpatient	Methadone	2050
Methadone-to-Abstinence – Outpatient	Methadone	0605
Methadone Maintenance – Residential	Methadone	2030
KEEP Units – Prison – Methadone	Methadone	2110
KEEP Units – Outpatient - Methadone	Methadone	2150
Methadone-to-Abstinence – Residential	Methadone	6030
Methadone-to-Abstinence – Day Service	Methadone	6040
Enhanced Methadone Maintenance – Outpatient	Methadone	2058
OUTPATIENT
Outpatient Chemical Dependence for Youth	Outpatient	0140
Innovative Outpatient Treatment Services	Outpatient	0940
Compulsive Gambling Treatment	Outpatient	2780
Medically Supervised Outpatient	Outpatient	3520
Outpatient Rehabilitation Services	Outpatient	3530
Non-Medically Supervised Chemical Dependence Outpatient	Outpatient	3540
Enhanced Medically Supervised Outpatient	Outpatient	3528
Enhanced Outpatient Rehabilitation Services	Outpatient	3538
Enhanced Non-Medically Supervised Chemical Dependence Outpatient	Outpatient	3548
Managed Addiction Treatment Services (MATS)	Outpatient	3810
PREVENTION
DAPC (Drug Abuse Prevention Council)	Prevention	0407
Prevention – Outpatient	Prevention	0505
Underage Drinking Prevention (eff. July 2004)	Prevention	0507
Criminal Justice Intervention/ DWI	Prevention	0830
Innovative Prevention & Intervention Services	Prevention	0970
Risk Protection Framework Prevention Services	Prevention	0975
Compulsive Gambling Education, Assessment and Referral Services	Prevention	2790
Community Mobilization	Prevention	3001
Prevention – School Based	Prevention	5060
Community Education & Intervention	Prevention	0710
Youth Education & Intervention	Prevention	0720
PROGRAM SUPPORT
Local Governmental Unit (LGU) Administration	Program Support	0890
Road to Recovery Supplemental Payments	Program Support	0893
Intake, Outreach & Referral Units	Program Support	4071
Support Services - Medical/Legal/Psychological	Program Support	4073
Support Services - Educational	Program Support	4074
Community Services	Program Support	4075
Resource	Program Support	4077
Program Administration	Program Support	4078
COSA (Children of Substance Abusers)	Program Support	4175
AIDS Resource	Program Support	4470
Legislative Member Item	Program Support	4778
RESIDENTIAL
Intensive Residential	Residential	3560
Community Residential	Residential	3570
Supportive Living	Residential	3580
Residential Chemical Dependency Program for Youth (Long-Term)	Residential	4060
Residential Rehabilitation Services for Youth (RRSY)	Residential	3551
TREATMENT SUPPORT
Job Placement Initiative	Treatment Support	0465
Case Management	Treatment Support	0810
Shelter Plus Care Housing	Treatment Support	3070
Vocational Rehabilitation	Treatment Support	4072
MICA Network	Treatment Support	5990

0140 - Outpatient Chemical Dependence for Youth

Such programs serve youth between the ages 12 and 18 by providing a drug-free setting supporting abstinence from alcohol and/or other substances of abuse. Active treatment is rendered through multi-disciplinary clinical services designed to assist the youth in achieving and maintaining an abstinent lifestyle and to serve youth whose normal adolescent development, in one or more major life areas, has been impaired as a result of the use of alcohol and/or other substances by a parent or significant other.

Units of Service:

Visit 30 minutes-less than two hours: A period of scheduled participation by a client which includes the receipt of one or more types of treatment services for at least 30 minutes but less than two hours in duration.

Visit two hours-less than four hours: A period of scheduled participation by a client which includes the receipt of one or more types of treatment services for at least two hours but less than four hours in duration.

Visit of four or more hours: A period of scheduled participation by a client which includes the receipt of one or more types of treatment services for at least four hours in duration.

Off-Premises Treatment Visits: A period of direct evaluation, therapy or counseling provided by an ambulatory alcoholism treatment program to a client in his or her home or convenient place thereto when the client is temporarily or intermittently unable to be served at the alcoholism treatment program premises. Visits should extend at least 30 minutes.

Socialization/Recreation Visit: A period of attendance in an alcoholism program or on the premises thereof during which only companionship, social activity, recreation or a combination thereof is received by the client.

0301 - Drug Free – Prison

0407 - DAPC (Drug Abuse Prevention Council)

0465 – Job Placement Initiative

0505 - Prevention – Outpatient

0507 –Underage Drinking Prevention (eff. July 2004)

0605 - Methadone-to-Abstinence – Outpatient

0710 - Community Education & Intervention

A program providing services limited to dissemination of information about alcohol abuse and alcoholism studies to groups, organizations or individuals suffering from alcoholism and their significant others. Referrals to service providers and short-term counseling incidental to the provision of information and/or referral may also be provided. Intensive prevention/educational services may be provided to persons evaluated by a qualified evaluator, and not diagnosed to be suffering from alcoholism or found to be in need of treatment. This may include staff support and assistance for family-based, planned interventions.

Units of Service: Not applicable.

0720 - Youth Education & Intervention

A program providing alcohol and drug abuse education and intervention services for young people with problems. Additional intensive program activities are also offered for high risk persons, including children of alcoholic families in order to eliminate the high risk status of these groups, if evaluated not to be in need of alcoholism treatment. Linkage for persons in need of treatment to appropriate services is also a function of these programs. These programs may be based in schools or community based youth agencies.

Units of Service: Not applicable.

0810 - Case Management

Activities aimed at linking the client to the service system and at coordinating the various services in order to achieve a successful outcome. The objective of case management in a mental health system is continuity of care and service. Services may include linking, monitoring and case-specific advocacy.

Linking: The process of referring or transferring a client to all required internal and external services that include the identification and acquisition of appropriate service resources.

Monitoring: Observation to assure the continuity of service in accordance with the client's treatment plan.

Case-Specific Advocacy: Interceding on the behalf of a client to assure access to services required in the individual service plan. Case management activities are expediting and coordinative in nature rather than the primary treatment services ordinarily provided by a therapist.

Case management services are provided to enrolled clients for whom staff are assigned a continuing case management responsibility. Thus, routine referral would not be included unless the staff member making the referral retains a continuing active responsibility for the client throughout the system of service.

Units of Service:

Direct staff hours: The number of staff hours spent by staff in providing case management services face-to-face or by telephone directly to clients or collaterals.

Indirect staff hours: The number of staff hours spent by staff in providing case management services on behalf of clients other than face-to-face or by telephone directly with clients or collaterals.

0830 - Criminal Justice Intervention/ DWI

A program consisting of organized activities designed to ensure that persons who are charged with an alcohol-related driving or other criminal offense are screened and evaluated for the need for alcoholism treatment. Some activities are carried out directly by criminal justice agencies, and others by the staff of a local governmental unit (LGU) to ensure that appropriate treatment services are made available to persons identified to be in need. Included in this category are LGU coordination activities related to alternatives to incarceration and non-treatment interventions. This category does not include DMV-certified programs for drinking drivers often operated by local councils on alcoholism, which may also be used for intervention purpose.

Units of Service: Not applicable.

0893 – Road to Recovery Supplemental Payments

0890 – Local Governmental Unit (LGU) Administration

The Local Governmental Unit is defined in Article 41 of the Mental Hygiene Law. This program category includes all local government costs related to administering mental hygiene services that are provided by a local government or by a voluntary agency pursuant to a contract with a local governmental unit. LGU Administration is funded cooperatively by OASAS, OMH and/or OMRDD. As such, this program is reported as a shared program on the core schedules (CFR-1 through CFR-6) of the CFR. LGU Administration expenses and revenues related to each State Agency are reported on State Agency specific claiming schedules (DMH-2 and DMH-3). Note: This program type is exempt from the Ratio Value allocation of agency administration.

Units of Service: Not applicable.

0940 - Innovative Outpatient Treatment Services

These programs are authorized to operate either as separate entities or as units within existing Office of Alcoholism and Substance Abuse Services (OASAS) certified settings in order to provide innovative treatment models to a specified target population. Innovative treatment programs operate within the existing regulatory framework pursuant to an OASAS operating certificate. However, these programs or units are required to report their administrative and service activities under a separate code so that the innovative model may be monitored separately. Treatment programs formerly funded through the Task Force on Integrated Projects (TFIP) should report such continuing activities under this program code.

Units of Service: Services should be reported consistent with the regulatory class of program under which the innovative treatment service is certified.

0970 - Innovative Prevention and Intervention Services

School and community based alcohol and other drug abuse programs which provide innovative prevention, education and intervention programs to a specified target population. Such programs should be innovative with comprehensive approaches to establish and use linkages with a variety of service providers in the area served. Components of such programs may include:

Accurate alcohol and drug information;

Development of social competency skills;

Promotion of positive alternatives;

Impact on public policy;

Training of teachers, parents, peers and others;

Identification of an alcohol and/or substance abuse problem and intervention services for high risk population, where appropriate; and information on stress reduction.

Prevention and Intervention programs formerly funded through the Task Force on Integrated Projects (TFIP) should report such continuing activities under this program code.

Units of Service: Not applicable.

0975 - Risk Protection Framework Prevention Services (1997-98 New Initiative)

A specialized prevention services program component initially funded in 1997-98 with new initiative award monies from OASAS.

Units of Service: Services should be reported consistent with approved OASAS Workscope Objectives established for this specialized program component.

2020 - Primary Care Alcoholism Program (Alcohol Crisis Center)

A program providing inpatient care in a medically supported environment until clients are safely alcohol-free and can be referred to an appropriate treatment program. Persons admitted to this program may present a need for withdrawal from alcohol but will not require medical services at the time of admission. Length of stay is generally 3 to 14 days. Supportive services are provided by the program during the time necessary to link clients with needed treatment and rehabilitation services. Continued stay beyond three to five days is based on the availability of a suitable alternative environment in which effective treatment can be continued. When operated in an alcoholism treatment center, these programs may provide medical detoxification which is not provided in a freestanding program based in an alcohol crisis center.

2030 – Methadone Maintenance – Residential

2050 – Methadone Maintenance – Outpatient

2058 – Enhanced Methadone Maintenance – Outpatient

2110 - KEEP Units – Prison - Methadone

2150 - KEEP Units – Outpatient – Methadone

2780 – Compulsive Gambling Treatment

To provide outpatient treatment to compulsive gamblers designed to reduce symptoms, improve functioning and provide ongoing support. A compulsive gambling treatment program shall provide assessment and treatment planning specific to compulsive gambling, screening and referral for other problems, financial management planning, connection to self help groups for compulsive gamblers, individual, group and family therapy specific to this diagnosis and crisis intervention.

2790 – Compulsive Gambling Education, Assessment and Referral Services

To participate in the statewide public information campaign, assess the existence of compulsive gambling and make referrals and linkages to compulsive gambling treatment programs, other human services, and self help groups for compulsive gamblers.

3001 – Community Mobilization

3039 – Medically Supervised Withdrawal Services – Inpatient/Residential

As defined in Part 816 of OASAS’ regulations, medically supervised withdrawal services provided in an inpatient or residential setting must be provided under the supervision and direction of a licensed physician, and shall include medical supervision of persons undergoing moderate withdrawal or who are at risk of moderate withdrawal, as well as persons experiencing non-acute physical or psychiatric complications associated with their chemical dependence.

Such services are appropriate for persons who are intoxicated by alcohol and/or substances, who are suffering from mild withdrawal, coupled with situational crisis, or who are unable to abstain with an absence of past withdrawal complications.

3059 – Medically Supervised Withdrawal Services – Outpatient

As defined in Part 816 of OASAS’ regulations, medically supervised withdrawal services provided in an outpatient setting must be provided under the supervision and direction of a licensed physician, and shall include medical supervision of persons undergoing moderate withdrawal or who are at risk of moderate withdrawal, as well as persons experiencing non-acute physical or psychiatric complications associated with their chemical dependence.

Such services are appropriate for persons who are intoxicated by alcohol and/or substances, who are suffering from mild withdrawal, coupled with situational crisis, or who are unable to abstain with an absence of past withdrawal complications.

3070 - Shelter Plus Care Housing

A federally funded program of housing assistance specifically targeted to homeless persons with disabilities and their families. For programs administered by OASAS and/or OMH, "persons with disabilities" are "persons who are seriously mentally ill and/or have chronic problems with alcohol, drugs or both". Funds may be used for the payment of rent stipends up to the federally-established Fair Market rent, and associated administrative expenses. OASAS and OMH require any not-for-profit agency in receipt of these funds to report the funds in a separate program column, indexed if necessary on the CBR and CCR. Shelter Plus Care Grants are made for five or ten years at a time. This program code is used in cases where the federal funds flow through OASAS or OMH.

Units of Service: Not applicable.

3500 - Medically Managed Detoxification

As defined in Part 816 of OASAS’ regulations, medically managed detoxification services are designed for patients who are acutely ill from alcohol-related and/or substance-related addictions or dependence, including the need for medical management of persons with severe withdrawal or risk of severe withdrawal symptoms, and may include individuals with or at risk of acute physical or psychiatric comorbid condition. Individuals who are incapacitated to a degree which requires emergency admission may be admitted to such facility in accordance with Section 21.09 or 23.02 of the Mental Hygiene Law. Such services shall not be provided on an ambulatory basis.

3510 – Medically Monitored Withdrawal

As defined in Part 816 of OASAS’ regulations, medically monitored withdrawal services can be provided by any provider of services certified by OASAS to provide inpatient or residential chemical dependence services and are designed for persons intoxicated by alcohol and/or substances, or who are suffering from mild withdrawal coupled with situational crisis, or who are unable to abstain with an absence of past withdrawal complications, or who are individuals in danger of relapse. Such services do not require physician direction or direct supervision by a physician, and are designed to provide a safe environment in which a person may complete withdrawal and secure a referral to the next level of care.

3520 - Medically Supervised Outpatient

3528 – Enhanced Medically Supervised Outpatient

3530 - Outpatient Rehabilitation Services

3538 – Enhanced Outpatient Rehabilitation Services

3540 – Non-Medically Supervised Chemical Dependence Outpatient

3548 – Enhanced Non-Medically Supervised Chemical Dependence Outpatient

3550 – Chemical Dependence Inpatient Rehabilitation Services

An intensive program for clients requiring evaluation and treatment services in a highly structured setting. The length of stay is determined on the basis of client characteristics and usually ranges from 21 to 60 days. The program is medically supported and should also provide chemical dependence education and counseling services for significant others of chemical dependence clients. This type of program is appropriate for clients who need concentrated, therapeutic service prior to community residence, or as their sole form of residential care. Generally, inpatient rehabilitation programs should be freestanding facilities. They may also be operated as special discrete units in a general hospital or hospital for mental illness, organized separately from acute care services.

3551 – Residential Rehabilitation Services for Youth (RRSY)

As defined in Part 817 of OASAS’ regulations, residential rehabilitation services for youth is an inpatient treatment program which provides active treatment to adolescents in need of chemical dependence services. Active treatment is provided through a multi-disciplinary team. In an RRSY program, the multi-disciplinary team defined in Part 800 of OASAS’ regulations is expanded to include (1) a psychiatrist, or a physician and a clinical psychologist and (2) a CSW or an RN or an Occupational Therapist.

Admission to an RRSY is based on a Pre-Admission Certification by an Independent Pre-Admission Certification team.

Units of Service: Patient Day.

3560 – Intensive Residential

3570 – Community Residential

3580 - Supportive Living