Guidelines for Submitting 4410 Evaluation Approvals Electronically

NYS Department of Education
03/14/2000

The file Eval-Trans, described in the attached file layout, must be used for all data transfer with SED concerning approval of Evaluations beginning with the 1999-00 school year. Below is a list of the data fields necessary for SED to process 4410 Evaluation approvals.

1) EVL-TR-STAC-ID – Optional if you are sending a STAC-5. Required if you are sending a STAC-5A amendment or a withdraw. This is the six digit unique identification number for all children on the STAC system. If you are sending a STAC-5 and you know the value of this field for this child, please include it on your transaction. This will save SED from having to match the child by name and DOB. If the child has not appeared on the STAC system before, SED will create a new and unique STAC-ID for the child.

2) EVL-TR-NUM-EVL – Required for STAC-5A amendments and withdraws. For STAC-5 adds, this field must be blank. Any record with a unique combination of CPSE (EVL-TR-CPSE), County (EVL-TR-CNTY-PD) and Evaluator (EVL-TR-EVALUATOR) will have a unique EVL-TR-NUM-EVL. SED will fill this field in for you for STAC-5 adds on the return file.

3) EVL-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.

4) EVL-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.

5) EVL-TR-MI - Optional. Child’s middle initial. If entered, must be an alpha character.

6) EVL-TR-DOB - Required. Child’s date of birth in Century (IE 19 until year 2000 when it will be 20), year, month, day order. The child’s age must be valid for rules of 4410 programs.

7) EVL-TR-SEX - Required. "M" or "F".

8) EVL-TR-RAC-ETH - Required. Racial-Ethnic indicator.

        I American Native.

        B Black

        A Asian

        H Hispanic

        C Caucasian

        U Unknown. 

9) EVL-TR-SSN - Optional. Child’s Social Security Number. If the STAC-ID is not
included this may be used to match a child to an existing child record on the STAC system.

10) EVL-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.

11) EVL-TR-REC-STATUS – You will enter nothing in this field. It is for SED use only. When the file is returned to you, the field will be filled in with 00 (meaning transaction was accepted), or some other value indicating the reason for rejection. (see error-code-table)

12) EVL-TR-REC-TYP – Required. For STAC-5s, enter a "1" in this field. For STAC-5A amendments, enter a "3" in this field. For withdraws, enter a "W" in this field. If doing withdraws of individual components, put a "3" here and a "W" in the EVL-TR-ACT field.

NOTE: IF YOU WISH TO ADD A NEW EVALUATION COMPONENT TO AN EXISTING EVALUATION RECORD, ENTER A "3" IN THIS FIELD, AND ENTER AN "A" INTO THE "EVL-TR-ACT " FIELD (# 21 BELOW)

13) EVL-TR-CPSE - Required. Preschool Committee on Special Education. The District code of the committee that initiated the Child’s Evaluation. This Code can be found on the HC-Agency file

14) EVL-TR-EVALUATOR – Required. This is the code for the agency performing the evaluation. This can be obtained from the Program file.

15) EVL-TR-CNTY-PD - Required. County providing services.

16) * EVL-TR-CNTY-FC - Optional. This is the Foster Care County if applicable. Updates allowed only from Spaces to a valid value.

17) * EVL-TR-TRANSL-COST – Optional. A 4 digit numeric cost with no decimals. The cost may never exceed 1000

18) * EVL-DISTYPE – Required. Must = ND (non disabled) or PD ( preschooler with a disability) .

19) EVL-TR-USERID – optional. Not used at this point, but SED plans to use it in the future to track the source of STAC-5s and STAC-5As.

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20) EVL-TR-COMP-SRV OCCURS 20. The final seven data items repeat themselves 20 times. You must fill in at least one occurrence when adding the STAC-5. For all transactions, please include all occurrences, even if the occurrences are not being updated. Leave unused occurrences blank, but do not enter blank occurrences in between valid entries.

21) EVL-TR-ACT – Required. The Action field. Enter "A" if a new add and "C" for a change. Enter "W" for a withdraw. If adding a new evaluation component to an existing Evaluation record, enter a "3" in the EVL-TR-REC-TYP field (# 12 above) and enter an "A" in this field.

23) EVL-TR-NUM-SQ – Leave blank for Adds. Required for changes. This is the Sequence-Number field, and it makes each component unique. SED will return this field to you for successful STAC5 adds.

24) EVL-TR-TYP-COMP – Required. May not be changed. Component Type. A 3 character alpha field. Allowable values are:        

  • Physical Medical = PHY Physician Rate (P)
  • Social = SOC Social Rate ( )
  • Psychological = PSY Psychological Rate ( )
  • Speech/lang = SPT Non Physician Rate (N)
  • Physical Therapy = PHT Non Physician Rate (N)
  • Occupational Therapy = OCT Non Physician Rate (N)
  • Education = EDU Non Physician Rate (N)
  • Audiological = AUD Non Physician Rate (N)
  • Psychiatric = PYC Physician Rate (P)
  • Neurological = NEU Physician Rate (P)
  • Neuropsychological = NPY Physician Rate (P)
  • Physiatric = PHS Physician Rate (P)
  • Orthopedic = ORT Physician Rate (P)
  • Optometric = OPT Physician Rate (P)
  • Counseling = CSL Non Physician Rate (N)
  • Developmental = DEV May be N or P
  • Music = MUS Non Physician Rate (N)
  • Teacher Visually Impaired = TVI Non Physician Rate (N)
  • Functional Vision = FUV Non Physician Rate (N)
  • Other = OTH May be N or P
  • For Social (SOC) and Psychological (PSY), only one component per school year is allowed.
    For all other components (except Audiological -AUD), evaluation dates for same component must
    be at least 3 months apart. (AUD evaluations are allowed 1 month apart)
  • Developmental - (DEV),  Counseling - (CSL), Physiatric -(PHS), and Other - (OTH) evaluations
    are not allowed after June, 2002 [ie GSD-CMP-DAT1 > (200206) not allowed]

25) EVL-TR-DT-EVAL – Required. Century, year and month of the Evaluation. For example, an evaluation performed on October 15, 1999 would be entered 199910. An evaluation performed on March 10, 2000 would be entered 200003.

26) EVL-TR-COST-EVAL – Do not enter. For SED use only. Evaluation Cost. SED will return this cost to you for successful transactions.

27) * EVL-TR-FG-EVL-PH – Required if EVL-TR-TYP-COMP = "DEV" or "OTH". Enter either "P" for Physician Rate, or "N" for Non- Physician Rate.

            For EVL-TR-TYP-COMP = SOC or PSY value must = SPACES

            For EVL-TR-TYP-COMP = PHY, PYC, NEU, NPY, PHS, ORT, or OPT value must = P

            For EVL-TR-TYP-COMP = SPT, PHT, OCT, EDU, AUD, or CSL value must = N

28) * EVL-TR-YN-EVL-BIL- Required. Must be Y or N. If Y is indicated the rate for Bilingual will be applied.

29) EVL-TR-OUTSIDE-IDENTIFIER. Optional. This field is for use by the county and SED will never alter the value in this field and will always return the value. The purpose is to uniquely identify the record, so that if SED changes the STAC-ID or name, the county can identify the record when it is returned.

 

* Indicates that the field is amendable (EVL-TR-REC-TYPE = "3")

 

FILE NAMING PROTOCOL

Files sent to SED will always follow this protocol.

  • The first node is always STAC.
  • The second node signifies the school year of the records in the file. (if you have multiple school years, choose the one that is most prevalent) (examples.. 9697, 9798, 9899)
  • The third node tells us what types of transactions you’re sending, Evaluations or Services. Enter EVAL or SERVICE here respectively
  • The fourth node tells us the source of the file, for example C14 (Erie) means County 14 and C31 means NYC.
  • The fifth node is the date of the transmission in CCYYMMDD order.
  • The sixth node, SED, is only present when SED is returning the file

For example, if county 14 sends SED a file 1999-2000 Evaluations on 04/01/2000, then you would call the file:

        STAC/9900/EVAL/C14/20000401

 

 

INTERNAL FILE NAME PROTOCOL

When we load our zipped files onto the FTP site from our C drive or a LAN drive somewhere, the name of the file that is zipped will eventually unzip into its original name. For example, if Erie zips a files called C140401.txt, then places it on SED’s FTP site as STAC/9900/EVAL/C14/20000401, and SED then downloads that file from the FTP and upzips it, it will unzip into C140401.txt.

We would like a naming convention for these files that get zipped and unzipped as well. We want to keep the file to 7 characters followed by a .txt extension. The first of the seven characters would be either be a "C" for county, an "R" for RIC or a "D" for district The next two of the seven characters would be either the county code, RIC number or the first two characters of the district. The last four of the seven characters would be the month and day from the date that is used in the last node of the above FTP Site File naming convention. For instance, if the file is sent on April 01, 2000, then the last node of the file on the FTP site would be 20000401 (See File Naming Protocol above). If the file that is zipped is sent from County 14, then the file would be named C140401.txt. SED would know this beforehand based on the information in the FTP site file name.

When SED returns the file, the file that gets zipped will have the exact same name that you sent.

Last Updated: January 19, 2016