2007 CFR MANUAL APPENDICES

Appendix A Glossary 34.0

Appendix B Table of Acronyms 35.0

Appendix C County Codes 36.0

Appendix D General CFR Rejection Criteria 37.0

Appendix E OASAS Program Types, Definitions and Codes 38.0

Appendix F OMH Program Types, Definitions and Codes 39.0

Appendix G OMRDD Program Types, Definitions and Codes 40.0

Appendix H SED Program Types, Definitions and Codes 41.0

Appendix I Agency Administration 42.0

Appendix J Allocating Expenses for Shared Program/Site 43.0

Appendix K LGU Administration Allocation and Percentage Splits 44.0

Appendix L Acceptable Time Studies 45.0

Appendix M Rules for Counting Visits and Days 46.0

Appendix N DMH Funding Source Codes 47.0

Appendix O Guidelines for Depreciation and Amortization 48.0

Appendix P Program Development Grants (PDGs) and Start-up for OMH & OMRDD 49.0

Appendix Q Guidelines for OMH Residential Exempt Income 50.0

Appendix R Position Titles and Codes 51.0

Appendix S Revenue Codes for Federal and State Grants 52.0

Appendix T Abbreviated Consolidated Fiscal Reports - General Instructions 53.0

Appendix U Splits for Counties with Populations of Less Than 200,000 54.0

Appendix V Guidelines for Federal Medicaid Salary(OMH Budgeting and Claiming Only) 55.0

Appendix W Prompt Contracting 56.0

Appendix X Adjustments to Reported Costs 57.0

Appendix Y Procedures for Hospitals 58.0

Appendix Z In-Contract vs. Out-of-Contract (DMH) 59.0

Appendix AA Audit Guidelines 60.0

Appendix BB Reserved for Future Use 61.0

Appendix CC Compliance Review (LGU Only) 62.0

Appendix DD COPS and CSP Medicaid Revenue (OMH Only) 63.0

Appendix EE OMRDD Reimbursement Principles (OMRDD Only) 64.0

Go to 2006-07 CFR Manual Section

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.

Long Term Sheltered Employment (LTSE):  New York State’s long-term sheltered employment appropriation funds sheltered employment services and related vocational services to eligible people with disabilities who are unable, at this time, to work in fully integrated settings.  Funding is used in OMRDD and OMH funded programs.

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:

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

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

1. All required programs have not been reported.
2. A separate CFR was submitted for each State Agency instead of submitting a single consolidated CFR.
3. Schedule CFR-i is not signed and dated by the Executive Director.
4. Schedule CFRii/iiA, if required, is not signed and dated by an independent licensed or independent certified public accountant.
5. Schedule CFR-ii/iiA is altered to an unacceptable format.
6. The letter submitted by your independent accountant in lieu of CFR-ii/iiA differs significantly from the wording on Schedule CFR-ii/iiA.
7. A review was performed by your independent accountant when an audit is required.
8. 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.
9. Areas of non-compliance addressed on desk reviews of prior period CFRs are not addressed by the service provider on their current CFR submission.
10. Programs site indexes are incorrect.
11. Fundraising expenses and revenues are not reported in accordance with the CFR manual.
12. 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.
13. All required schedules have not been completed for all funding CFR State Agencies.
14. Required financial statements are not submitted.
15. CFRs submitted using non-approved CFR software, computer generated facsimiles or pre-printed CFR schedules.
16. CFRs which have not been transmitted electronically via the Internet.
17. 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.
18. Software approved for a prior period is used to prepare the current CFR document.
19. The wrong type of CFR submission was submitted (for example, an abbreviated CFR was submitted instead of a Full CFR)
20. 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.

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.

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.

0407 - DAPC (Drug Abuse Prevention Council)

0465 - Job Placement Initiative

Vocational rehabilitation focusing on job referrals and placement.

0505 - Prevention – Outpatient

Prevention and intervention strategies including the provision of accurate and age‑appropriate and culturally competent information, personal and social skill development, alternative choice making, training of those who are in a position to influence others (i.e., community leaders, parents, teachers, peer groups, and others), public policy development around alcoholism and substance abuse issues, community networking, and the identification of and intervention with those at high risk.

0507 - Underage Drinking Prevention

Activities designed to decrease underage drinking.

0605 - Methadone-to-Abstinence – Outpatient

Methadone treatment delivered on an ambulatory basis in gradually decreasing doses to the point of abstinence, followed by continued drug-free treatment.

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. 

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.

0893 - Road to Recovery Supplemental Payments

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.

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

Methadone treatment programs (MTPs) that administer methadone by prescription, in conjunction with a variety of other rehabilitative assistance in a residential setting, to control the physical problems associated with heroin dependence and to provide the opportunity for patients to make major life‑style changes over time.

2050 - Methadone Maintenance – Outpatient

Methadone treatment delivered primarily on an ambulatory basis, with most programs located in either a community or hospital setting. Methadone is administered daily at a stabilized dose over an extended period of time.

2058 - Enhanced Methadone Maintenance – Outpatient

2110 - KEEP Units – Prison – Methadone

Methadone treatment delivered in a prison setting. KEEP is an interim (not more than 180 days) protocol that provides intensive medical and support services in order to evaluate the long-term treatment needs of patients

2150 - KEEP Units – Outpatient – Methadone

Methadone treatment delivered on an ambulatory basis. KEEP is an interim (not more than 180 days) protocol that provides intensive medical and support services in order to evaluate the long-term treatment needs of patients

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 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

      Promising prevention programs, activities and strategies that are targeted to decrease risk factors and increase protective factors related to problem gambling behaviors.

3001 - Community Mobilization

To bring science/evidence-based prevention strategies to locally identified risks and protective factors through local coalitions that develop strategic action plans. OASAS supports this initiative with a six-phase training process, using certified trainers and provision of technical assistance.

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.

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

These programs assist individuals who suffer from chemical abuse or dependence and their family members and/or significant others through group and individual counseling; education about, orientation to, and opportunity for participation in, relevant and available self‑help groups; alcohol and substance abuse disease awareness and relapse prevention; HIV and other communicable diseases, education, risk assessment, supportive counseling and referral; and family treatment. In addition, social and health care services, skill development in accessing community services, activity therapies, information and education about nutritional requirements, and vocational and educational evaluation must be available either directly or through written agreements. Procedures are provided according to an individualized assessment and treatment plan. This service mandates that medical staff be part of the multi-disciplinary team and the designation of a Medical Director, which provides for medical oversight and involvement in the provision of outpatient services. These services are Medicaid eligible providing other standards pertaining to fee‑for‑service Medicaid are met.

3528 - Enhanced Medically Supervised Outpatient

3530 - Outpatient Rehabilitation Services

This service level is designed to serve more chronic individuals who have inadequate support systems, and either have substantial deficits in functional skills or have health care needs requiring attention or monitoring by health care staff. These programs provide social and health care services, skill development in accessing community services, activity therapies, information and education about nutritional requirements, and vocational and educational evaluation.  Clients initially receive these procedures five days a week for at least four hours per day. There is a richer staff to client ratio for these services compared to other outpatient levels and these services are required to have a half‑time staff person qualified in providing recreation and/or occupational services as assistant or registered nurse. Like=half‑time nurse practitioner, physician medically supervised outpatient, outpatient rehabilitation services, mandate that medical staff be part of the multi-disciplinary team and the designation of a Medical Director, which provides for medical oversight and involvement in the provision of outpatient services. These services are Medicaid eligible providing other standards pertaining to fee‑for‑service Medicaid are met.

3538 - Enhanced Outpatient Rehabilitation Services

3540 - Non-Medically Supervised Chemical Dependence Outpatient

These services do not require that medical staff be part of the multi-disciplinary team or the designation of a Medical Director. Medical oversight or involvement in the provision of services is not required. Services may be provided in a more or less intensive manner as determined by client need. 

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

These programs assist individuals who suffer from chemical dependence, who are unable to maintain abstinence or participate in treatment without the structure of a 24-hour/day, 7 day/week residential setting and who are not in need of acute hospital or psychiatric care or chemical dependence inpatient services. In addition to counseling, peer group counseling, supportive services, educational services, structured activity and recreation and orientation to community services, intensive residential programs provide the following, either directly or by referral: vocational procedures such as vocational assessment, job skills training and employment readiness training; parenting, personal, social and community living skills training including personal hygiene and leisure activities.  These services provide a minimum of 40 hours/week of procedures within a therapeutic milieu.
3570 - Community Residential

These services provide a structural therapeutic milieu while residents are concurrently enrolled in an outpatient chemical dependence service which provides addiction counseling. Community residential services provide the following procedures either directly or by referral: vocational procedures such as vocational assessment, job skills training and employment readiness training; parenting, personal, social and community living skills training including personal hygiene and leisure activities. Individuals appropriate for this level of care include persons who are homeless or whose living environment is not conducive to recovery and maintaining abstinence.

3580 - Supportive Living

A community residence program providing continued congregate living to chronic alcoholic persons with a poor prognosis for independent living.  Clients will be referred from halfway houses or recovery homes.  The facility will consist of a group home or apartment without regular on-site staffing.  This type of setting provides fellowship and peer group support for the maintenance of recovery for clients who do not otherwise have the opportunity to live in an environment supportive of recovery.  Length of stay is long term and can be indefinite.

3810 - Managed Addiction Treatment Services (MATS)

Managed Addiction Treatment Services (MATS) is a program that provides case management services to Medicaid eligible recipients of chemical dependence services. The goal of MATS is to assure effective and appropriate access to needed treatment services and positive treatment outcomes for Medicaid recipients. Services may include linking recipients with appropriate services, case-specific advocacy and monitoring access to and utilization of services to avoid duplicative services. Case management services will be provided by the Local Governmental Unit through a partnership between the local mental hygiene agency and the local department of social services (LDSS).

Units of Service:  To be determined.

4030 - Residential Chemical Dependency Program for Youth (Short-Term)

A voluntary intensive inpatient rehabilitation program for youthful clients who require concentrated therapeutic services in a drug-free setting. It provides active treatment through multi-disciplinary clinical services designed to achieve dependence-free discharge to non-residential settings. The program is part of a continuum of care for chemically dependent youth and may be operated by public, private not-for-profit or proprietary sponsors. The planned length of stay is 45 to 60 days.

4060 - Residential Chemically Dependency Program for Youth (Long-Term)

A voluntary residential recovery home program for youthful clients in a drug-free setting. It provides residential therapeutic care to those youths with a history of chronic chemical dependency. The program is part of a continuum of care for chemically dependent youths and may be operated by public, private not-for-profit or proprietary sponsors. The planned length of stay is more than 60 days but does not exceed 15 months.

4071 - Intake, Outreach & Referral Units

Specialized chemical dependence related support services to provide intake, outreach, and referral.

4072 - Vocational Rehabilitation

Vocational rehabilitation is a process that prepares people for employment by helping them choose a vocational role and function that is consistent with their abilities, achievements, interests, and functioning capacity. The specific goals of a vocational rehabilitation program vary with the needs of the target population. The process includes the following services: vocational testing, assessment, counseling, pre-vocational activities, training, educational services, life skills/employability referrals, job referrals and placement, and post-placement counseling and follow-up. Programs provide these vocational rehabilitation services directly or by referring the client to an appropriate resource.

4073 - Support Services – Medical/Legal/Psychological

Specialized chemical dependence related support services of medical, legal, and psychological activities.

4074 - Support Services – Educational

Specialized chemical dependence related support services to provide educational services.

4075 - Community Services

Specialized chemical dependence related support services to provide community services by program staff, such as telephone crisis counseling.

4077 - Resource

Specialized chemical dependence related support services to provide resource support, such as training.

4078 - Program Administration

Specialized chemical dependence related support services to provide program administration.

4175 - COSA (Children of Substance Abusers)

Prevention and intervention strategies focused on Children of Substance Abusers (COSAs),

4470 - AIDS Resource

Programs that provide AIDS/HIV resource services (e.g., AIDS/HIV Coordinators, staff training in AIDS/HIV issues, informational materials, intake, outreach and referral services, medical, legal and psychological services, etc.) to substance abuse programs and substance abuse program clients.

4778 - Legislative Member Item

Programs that provide chemical dependence projects and services funded by General Fund, Local Assistance Account Member Item appropriations.

5060 - Prevention – School Based

Prevention and intervention strategies implemented in a school setting.

5550 - Chemical Dependence Prevention Services

Activities designed to decrease risk factors and increase protective factors for substance use and abuse.

5990 - Dual Diagnosis Coordinator

Specialized chemical dependence related support services to provide coordination of care for dually diagnosed patients.

6030 - Methadone-to-Abstinence – Residential

Methadone treatment delivered in a residential setting in gradually decreasing doses to the point of abstinence, followed by continued drug‑free treatment.

6040 - Methadone-to-Abstinence – Day Service

Methadone treatment delivered in a day service setting in gradually decreasing doses to the point of abstinence, followed by continued drug-free treatment.

General OMH Reporting Requirements

OMH service providers are required to report expenses and revenues for each program/site on the core and supplemental schedules of the CFR.  In most cases, program/sites of the same program type are then aggregated on Schedules DMH-1, DMH-2 and DMH-3.  The general program/site and program type reporting requirements are:

• Program/Site reporting on Schedules CFR-1, CFR-4, CFR-4A, OMH-1, OMH-2 and OMH-3.
• Program Type reporting on Schedules DMH-1, DMH-2, and DMH-3.

Exceptions to Program/Site Reporting (on CFR-1, CFR-4, CFR-4A, OMH-1, OMH-2 and OMH-3):

OMH Satellites

A satellite is defined as a physical extension of a program under that program’s operating certificate.   Do not report these satellite programs on a site specific basis.  The expenses, revenues, and units of service will be included in the certified program.

OMH Start-up

OMH programs having a start-up component (as approved on their budget) will treat the start-up as a separate program and report revenue and expenses in the column adjacent to the program column that received the start-up funds.  For OMH start-ups, enter “A0” as the program code index.  Example:  6070 A0.   If there are two or more start-ups for a particular program type, enter “A1” for the first occurrence, “A2” for the second occurrence, etc.

OMH Programs with multiple sites under the same license

Licensed programs are reported by program/site as designated under a specific operating certificate (i.e., for Treatment/Apartment programs (Program Code 7070), all apartments operating under a specific license must be reported together).

Exceptions to Program Type Reporting (on DMH-1, DMH-2 and DMH-3):

• The following programs must be reported by program/site throughout the CFR (including the claiming schedules):  Permanent Housing Program (Program Code 1070), Family Based Treatment (Program Code 2040), Transient Housing (Program Code 2070), Treatment/Congregate (Program Code 6070), Support/Congregate (Program Code 6080), Community Residence, Children & Youth (Program Code 7050) and Community Residence, Single Room Occupancy (Program Code 8050), supported SRO (Program Code 5070).

• The following OMH licensed programs must be reported by program/site on Schedules CFR-1, CFR-4 and CFR-4A and can be reported by program type on Schedules DMH-2 and DMH-3:  Treatment/Apartment (Program Code 7070) and Support/Apartment (Program Code 7080).

CBR vs. CFR reporting
Programs should only be reported discretely if they are operated as individual programs and are not part of a larger program.  Additionally, a program reported discretely on the approved CBR must also be reported discretely on all other fiscal documents submitted to OMH and the Health Department.  For example, providers may not report a case management program’s expenses and revenues as a discrete program on one document, but include those expenses and revenues as part of a clinic treatment program on a different document.  Refer to the next item if a program/site is reported by funding source on the CBR.

When to report program/sites by funding source

OMH program/sites may be split by funding source (i.e., reinvestment versus non-reinvestment funding) ONLY on the claiming schedules (DMH-2 and DMH-3) NOT on the cost reporting schedules (CFR-1 through CFR-6).  Please refer to the software instructions on the creation of additional sites on schedules DMH-2 and DMH-3 to accommodate these multiple occurrences.

When to Index Program Codes

OMH program codes may need to be indexed in certain situations when using software.  If a service provider operates more than one program/site of the same program type (i.e., two treatment/ congregate facilities), which are not aggregated by program type on the claiming schedules, the program codes must be indexed.

The program codes are indexed on approved CFR software by the use of a two digit field following the four digit program code.

Example:  A service provider operates three treatment/congregate facilities (6070).  These program/sites are reported in three separate columns on the core schedules.  This program type is not aggregated by program type on the claiming schedules, so these program/sites are also reported in three separate columns on Schedules DMH-1, DMH-2 and DMH-3.  The program codes are indexed throughout the CFR document as 6070 01, 6070 02, and 6070 03. 

      Note:  A person in crisis is an adult, child or adolescent who needs immediate intervention for the purpose                 of reducing acute and/or escalating psychiatric symptoms.  The individual may be experiencing                           serious deterioration of social, personal and/or medical conditions that put him/her at risk for                               requiring hospitalizations and may be at risk of harming himself/herself or others.

There have been a significant number of changes to the OMH listing of program codes and definitions for periods beginning 7/1/05 for NYC; 1/1/06 Upstate and Long Island.  The following crosswalk is provided to identify changes you may need to accommodate on your CFR submission.

Codes with Changes Effective 7/1/05 for NYC; 1/1/06 Upstate and Long Island

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

ALPHABETICAL LISTING OF PROGRAM CODES