Guidelines for submitting Private In State (4402) approvals electronically

NYS Department of Education
02/22/22

The file Service-Trans, described in the attached file layout, must be used for all data transfer with SED concerning approval of all special education services for students with disabilities. No particular service will require the use of all the data fields. Below you will find a list of the data fields necessary for SED to process Private service approvals.

Record Information:

  1. SRV-TR-STAC-ID – Required if you are sending a STAC-1, sending a STAC-3 amendment, withdrawing a record, or sending a reapplication. This is the six-character unique identification number for all children on the STAC system. If the child has not appeared on the STAC system before, request a new STAC ID via a DKIDS/EFH616 submission prior to submitting the claim in a Service-Trans file.
  2. SRV-TR-YEAR – Required. Two consecutive two digit years. For example, the 2021-22 school year would be represented by 2122.
  3. SRV-TR-REC-NO – Required for STAC-3 amendments, withdraws. (Optional for reapplications). This two digit field uniquely identifies the child’s service.

Student Information:

  1. SRV-TR-LNAME – Required. Child’s last name. Last names with imbedded spaces or special characters will be rejected. For example, send O’RILEY as ORILEY. Send VAN SCHAIK as VANSCHAIK. Send JONES-SMITH as JONESSMITH. Do not include any suffixes such as JR. or III.
  2. SRV-TR-FNAME – Required. Child’s first name. First names with imbedded spaces or special characters will be rejected. For example, send BILLY BOB as BILLYBOB.
  3. SRV-TR-MI – Optional. Child’s middle initial. If entered, must be an alpha character.
  4. SRV-TR-DOB – Required. Child’s date of birth in CCYYMMDD format. For example a student born on 07/04/2013 would be reported as 20130704.
  5. SRV-TR-SEX – Required. Student's gender identity.
    Value Description
    F Female
    M Male
    X Non-Binary
  6. SRV-TR-RAC-ETH – Required. Racial-Ethnic indicator
    Value Description
    A American Native
    B Black
    A Asian
    H Hispanic
    C Caucasian
    U Unknown

Aide Percentage:

  1. SRV-TR-AID-PCT – Optional. Aide Percentage. If the CSE has recommended a 1:1 aide for the student, enter the percentage of the student's education that that the 1:1 aide is working with the student. Same calculation as the Student-Specific Aide Calculation Worksheet. SRV-TR-AID-PCT must be either three blank spaces or right-adjusted with leading spaces (not leading zeroes) and integer occupying 1, 2, or 3 characters. If not all spaces, integer must be greater than or equal to 1 and less than or equal to 100.

New York City Student Identification:

  1. SRV-TR-OUTSIDE-ID – Optional. Child’s unique ID number on your system. Must be left-justified and between 5 and 9 characters in length. We may have the child’s ID from your system on the STAC file. If so, we can use it to match the child’s transaction record to the child’s record on the STAC file.

Placement Information:

  1. SRV-TR-REC-TYP – Required. For STAC-1s, enter a "1" in this field. For STAC-3 amendments, enter a "3" in this field. For withdraws, enter a "W" in this field. For reapplications, enter an "R" in this field.
  2. * SRV-TR-HC-COND – Required. Child’s handicapping condition or disability.                                          
    AUAutistic DF Deaf
    DBDeaf-Blind
    EDEmotional Disability
    HHHard of Hearing
    IDIntellectual Disability
    LDLearning Disabled
    MDMultiply Disabled
    OHOther Health Impaired
    OIOrthopedically Impaired
    SISpeech Impaired
    BITraumatic Brain Injured
    VIVision Impaired
    NDNon-Disabled
    PDPre-Schooler with a disability
  3. SRV-TR-PROG-TYPE – Required. Enter "HSPRV" for private programs. This field is used by SED to determine the type of service.
  4. SRV-TR-HALF-FULL – Required. Half time indicator. Enter "Y" if program is Half-Time else enter "N".
  5. SRV-TR-CSE – Required. Committee on Special Education. The District code of the committee that placed the child into Service. This Code can be found on the STAC-Agency file.
  6. SRV-TR-CPLGR – Required. District of Residence. This code can be found on the STAC-Agency file.
  7. SRV-TR-AGY-PD – Required. This is the district receiving the reimbursement from SED. This code must = SRV-TR-CSE or SRV-TR-CPLGR.
  8. SRV-TR-CNTY-PD – Required. This is also known as the County-Of-Residence.
  9. SRV-TR-USERID – Required. This eight character field must be a valid Usercode established with the STAC unit as the user responsible for this record. Most Usercodes are comprised of the first initial of the first name followed by the next seven characters of the last name. The corresponding SRV-TR-CPLGR on this record must match the CPLGR-Code that the STAC unit has recorded for this Usercode.
  10. SRV-TR-ED-PROV – Required. This is the code for the agency providing education services. This code along with the program code and STAC code define the program. This code can be obtained from the Agency Provider Information link below.
  11. SRV-TR-ED-PROG – Required. This is the education program code. This code along with the Agency (Education Provider) code and STAC code define the program. This code can be obtained from the Agency Provider Information link below.
  12. SRV-TR-ED-STAC-CD – Required. This the education program STAC code. This code along with the Agency (Education Provider) code and the education program code define the program. This code can be obtained from the Agency Provider Information link below.
  13. * SRV-TR-ED-DT-BEG – Required. Begin date of service in CC, YY, MM, DD order.
  14. * SRV-TR-ED-DT-END – Required. End date of Service in CC, YY, MM, DD order.
  15. SRV-TR-MA-PROV – Optional. This is the code for the agency providing maintenance services. Only entered if there is maintenance. This code along with the program code and STAC code define the program. This code can be obtained from the Agency Provider Information link below.
  16. SRV-TR-MA-PROG – Optional. This is the maintenance program code. Only entered if there is maintenance. This code along with the Agency (Maintenance Provider) code and STAC code define the program. This code can be obtained from the Agency Provider Information link below.
  17. SRV-TR-MA-STAC-CD – Optional. This the Maintenance program STAC code. Only entered if there is maintenance. This code along with the Agency (Maintenance Provider) code and the maintenance program code define the program. This code can be obtained from the Agency Provider Information link below.
  18. * SRV-TR-MA-DT-BEG – Optional. Begin date of service in CC, YY, MM, DD order.
  19. * SRV-TR-MA-DT-END – Optional. End date of Service in CC, YY, MM, DD order.
  20. SRV-TR-MA-YN-1TO1-AIDE – Must =  an ‘N’ if you are claiming maintenance data. Leave this field a space if there is no Maintenace Data.

Note: If one of the six maintenance fields described here is entered then they all must be otherwise the record will be rejected. Otherwise make all Maintenance fields = spaces.

Note: At this time, the automated OSES approval piece has not been completed. Until that piece is in place, we cannot accept first time placements. For the time being, the services you submit automatically will require existing STAC service approvals as follows:

  1. Summer Residential Placement. There must be an existing school-year (10 month) placement for this child for the same CSE, school year and program with a begin date in September.

    Or there must be an existing school-year (10 month) placement for this child for the same CSE, prior school year and same program with an end date in June.
  2. School Year (10 month) Residential Placement. There must be an existing summer (2 month) placement for this child for the same CSE, school year and program with an end date in August.

    Or there must be an existing school-year (10 month) placement for this child for the same CSE, prior school year and same program with an end date in June.
  3. Summer Day Placements. No other placements required.
  4. School Year (10 month) Day Placements. There must be an existing school-year (10 month) placement for this child for the same CSE, prior school year and same program with an end date in June.

Agency Provider Information Link

* Indicates that the field is amendable (Amendments are indicated by SRV-TR-REC-TYP = "3")

Last Updated: November 3, 2022