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Office of Mental Health

New York State Consolidated Budget and Claiming Manual Subject: OASAS Requirements for the Preparation and Submission of State Aid Claims Section: 17
For the Periods:
January 1, 2009 to December 31, 2009
July 1, 2009 to June 30, 2010
Issued: September 9, 2009

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The instructions contained in this section of the Consolidated Budget and Claiming (CBR) Manual describe Local Governmental Unit (LGU) and direct contract service provider responsibilities associated with the preparation and submission of intra-year mid-year and final State Aid claims to the Office of Alcoholism Abuse and Substance Abuse Services (OASAS).

The specific instructions provided are broken into two main (2) sections:

OASAS LGU General Instructions

For each fiscal reporting period, LGUs are required to submit two (2) State Aid claim packages to OASAS. The first is the mid-year claim package covering the first six (6) months of the fiscal reporting period. The second is the final claim package covering the complete 12 month fiscal reporting period.

Intra-year claims are completed on the Agency Quarterly Fiscal Summary (CQR-1). Final claims consist of the Consolidated Claim Report (CCR). The OASAS CCR is comprised of the CFR-i, CFR-iii, DMH-2, DMH-2A and DMH-3 of the year-end Consolidated Fiscal Report (CFR).

Instructions for completing CQR-1s are included in this manual. Instructions for completing and submitting CFRSs and CCRs are described in the Consolidated Fiscal Reporting and Claiming (CFR) Manual. LGUs should ensure that all county operated and not-for-profit service providers complete and submit their CFRSs and associated CFR-i, CFR-iii, DMH-2, DMH-2A and DMH-3 claim schedules in accordance with the instructions provided in the CFR Manual issued for the correct fiscal reporting period.

For each fiscal reporting period, LGUs are expected to ensure that all county operated and not-for-profit service providers funded and/or certified to provide mental health services in the county have used approved Consolidated Fiscal Reporting System (CFRS) software to complete and electronically submit their Claiming documents. Please see section 4.0 of this manual and Section 5.0 of the CFR Manual for more information regarding CFRS software.

Both of the required LGU claim packages include schedules for the LGU as well as OASAS funded county operated and not-for profit providers of chemical dependence services.

“Revised” State Aid claims should be submitted in the following instances:

OASAS reserves the right to reject and return all or part of any State Aid claim package that does not comply with the procedures and policies outlined in this manual and/or any other expressed instructions, policies and/or procedures set forth by OASAS.

OASAS LGUsubmission Requirements

In addition to the electronic submission, OASAS currently requires that LGUs submit paper copies of intra-year and final State Aid claim packages to the following address:

NYS Office of Alcoholism and Substance Abuse Services
Bureau of Financial Management
1450 Western Avenue
Albany, NY 12203-3526

At their discretion, OASAS Field Offices may require that LGUs send them copies of all intra-year and/or final claim packages submitted. Please check with your Field Office Program Representative for more information on their specific policies in this area.

OASAS LGU Due Dates

LGUs State Aid claims are due for submission by the following dates:

Submission Counties NYC LGU *
Mid-Year Claim August 15th February 15th
Final Claim May 1st November 1st

* The NYC LGU is the NYC Department of Health and Mental Hygiene (NYC DOHMH)

OASAS LGU Intra-year Claims

OASAS intra-year LGUstate Aid claim packages consist of the following documents:

Counties

NYC DOHMH

To the extent possible, submission of OASAS intra-year State Aid claims should not be delayed beyond the submission due date because one or more county operated or not-for-profit service providers have not submitted CQR-1s to the LGU. Once received, the delinquent CQR-1s should be submitted as a supplemental State Aid claim.

Instructions for completing CQR-1s, CQR-2s and CQR-3s can be found elsewhere in this manual.

OASAS LGU Final Claims

OASAS final LGUstate Aid claim packages consist of the following documents:

Counties

NYC DOHMH

CCRs for both non-NYC LGUs and the NYC DOHMH consist of the CFR-i, CFR-iii, DMH-2, DMH-2A and DMH-3 schedules of the year-end CFR.

Note: Incomplete final claim packages will not be accepted or processed.

In the event that one or more county operated or not-for-profit service provider's CFR has not been completed or finalized in time for the LGU to meet the submission due date, the LGUshould not delay in submitting the claim to OASAS. Instead, preliminary (“estimated”) CCRs (CFR-i, CFR-iii, DMH-2 and DMH-3) should be submitted for the delinquent service providers.

If preliminary (”estimated”) claim schedules are submitted to OASAS the LGU must ensure that it:

OASAS will consider the fiscal information submitted on any service provider's preliminary (“estimated”) claim schedules to be final if final claim schedules derived from the affected service provider's(s') completed CFR(s) are not submitted to OASAS within 60 days of the final claim submission due date (May 1st for the January - December fiscal reporting period and November 1st for the July - June fiscal reporting period).

All requests for budget changes must be submitted to the appropriate OASAS Field Office with sufficient time for OASAS review and approval by August 1st for January - December claims and March 1st for July - June claims.

Late submissions that require an additional State aid payment to the LGU may not be honored or processed after the September 15th lapse date of State appropriations.

OASAS Direct Contract Service Provider General Instructions

For each fiscal reporting period, OASAS direct contract funded service providers are required to submit intra-year and final State Aid claim packages.

The standard intra-year State Aid claim is the mid-year claim covering the first six (6) months of the fiscal reporting period. However, at its discretion, OASAS may require direct contract service providers to submit three (3) quarterly State Aid claim packages. Intra-year claims are completed on the Agency Quarterly Fiscal Summary (CQR-1).

The final State Aid claim package covers the complete 12 month fiscal reporting period. Final claims consist of the Consolidated Claim Report (CCR). The CCR is comprised of the CFR-iii, DMH-2, DMH-2A and DMH-3 of the year-end Consolidated Fiscal Report (CFR).

Instructions for completing CQR-1s are included in this manual. Instructions for completing and submitting CFRSs are described in the Consolidated Fiscal Reporting and Claiming (CFR) Manual.

For each fiscal reporting period, contractors are expected to use approved Consolidated Fiscal Reporting System (CFRS) software to complete and electronically submit their Claiming Documents. Please see section 4.0 of this manual and Section 5.0 of the CFR Manual for more information regarding CFRS software.

“Revised” State Aid claims should be submitted in the following instances:

OASAS reserves the right to reject and return all or part of any State Aid claim package that does not comply with the procedures and policies outlined in this manual and/or any other expressed instructions, policies and/or procedures set forth by OASAS.

OASAS Direct Contract Service Provider Submission Requirements

In addition to the electronic submission, OASAS currently, requires that direct contract service providers submit paper copies of mid-year, quarterly (if required) and final State Aid claim packages to the following address:

NYS Office of Alcoholism and Substance Abuse Services
Bureau of Financial Management
1450 Western Avenue
Albany, NY 12203-3526

At their discretion, OASAS Field Offices may require that direct contract funded service providers send them copies of all intra-year and/or final claim packages submitted. Please check with your OASAS Field Office Representative for more information on their specific policies in this area.

OASAS Direct Contract Service Provider Due Dates

OASAS direct contract service providers State Aid claims are due for submission by the following dates:

Submission Counties Service Providers NYC Service Providers
Quarterly Claim
(if required)
1st Quarter: May 15th
2nd Quarter: August 15th
3rd Quarter: November 15th
1st Quarter: November 15th
2nd Quarter: February 15th
3rd Quarter: May 15th
Mid-Year Claim August 15th February 15th
Final Claim May 1st November 1st

Due dates for OASAS direct contract service providers funded on a period other than January to December or July to June should submit mid-year, quarterly (if required) and final claims as follows:

Mid-Year Claims: 45 days after the end of the first six months of the twelve month contract period.

Quarterly Claims: 45 days after the last day of each three month period of the 12 month contract period.

Final Claims: 120 days after the end of the twelve month contract period.

OASAS Direct Contract Service Provider Intra-year Claims (Mid-year/Quarterly)

Intra-year claims for OASAS direct contract service providers consist of the following documents:

Quarterly Claims (if required)

Mid-Year Claims

OASAS Direct Contract Service Provider Final Claims

The OASAS direct contract service provider final State Aid claim package consists of the following documents:

OASAS direct contract service providers will prepare a final State Aid Voucher (AC-1171) in accordance with the instructions in this manual and will have it signed by the Executive Director or the designee.

Note: In the event that the CFR has not been completed in time to meet the direct contract submission due date, service providers should not delay in submitting this claim. Instead, preliminary (“estimated”) claim schedules should be submitted by the submission date.

In any instance where preliminary (“estimated”) claim schedules have been submitted, service providers must forward the final claim schedules derived from the completed CFR as soon as they are available. The CFR derived schedules will then be used to replace the preliminary schedules already processed.

Late submissions that require an additional State aid payment to the direct contract service provider may not be honored or processed after the September 15th lapse date of State appropriations.

Comments or questions about the information on this page can be directed to the Community Budget & Financial Management (CBFM) Group.