It is the responsibility <strong>of</strong> the LGU to ensure that correct funding codes, funding code indexes, site codes, and fundingamounts, including calculations <strong>of</strong> funding increases or reductions, for the current <strong>fiscal</strong> period are relayed to the serviceproviders. This may result in contract amendments at the county level.Direct Contracts are service contracts between NYS and a provider agency. LGU’s are not responsible for any actionsrelated to the contracts including: reviewing, informing, auditing, reporting, etc. <strong>of</strong> any Direct Contracts. Direct Contractscan usually be identified on the CFRS submissions with Contract #’s starting with C###### or T#######. DirectContracts include all <strong>of</strong> the reporting requirements as <strong>Local</strong> Contracts (funding flowing through the County <strong>State</strong> AidFunding letter), but all submission requirements are sent directly to the state.Resources:1. NYS Consolidated Budget & Claiming Manual, “<strong>Local</strong> Governmental Unit (LGU) Responsibilities”2. NYS Consolidating Fiscal Reporting Manual, “Introduction to <strong>State</strong> Aid Claiming in the CFRS” sections. The<strong>manual</strong>s can be accessed at http://www.oms.nysed.gov/rsu/Manuals_Forms/Manuals/CFR.html.3. Aid to <strong>Local</strong>ities Spending Plan Guidelines: http://www.omh.state.ny.us/omhweb/spguidelines/selectletter.aspDate: May 1, 2011OMH Review: 8/27/10OASAS Review: 2/9/11OPWDD Review: (none)
Business Process: (what is it?)FISCAL OFFICER TRAINING MANUALNYS STATE ADVANCE PAYMENTSEach disability, Office <strong>of</strong> Mental Health (OMH), Office <strong>of</strong> Alcoholism & Substance Abuse Services (OASAS), and Office <strong>of</strong>People with Developmental Disabilities (OPWDD), send payments for local service contracts to County’s <strong>Local</strong> GoverningUnits. The basis for the payments is the County’s <strong>State</strong> Aid Funding Letter for that disability.Brief Description <strong>of</strong> Process: (how does it work?)Each state disability will process payments based upon their determined frequency, month, or under special instructions.The county will receive the payments as either an “ACH” wire transfer to their County accounts or as a check mailed tothe county.Note: Counties differ in the payment procedures, Counties may make payments to providers (which may includethemselves as a provider <strong>of</strong> services) based upon contracts, provider vouchers, or state advances received (moneyreceived is paid out to providers).Frequency:Each state disability has its own advance payment frequency as described: OMH makes 4 quarterly payments withadditional supplemental as needed, OASAS makes 4 quarterly payments for <strong>State</strong> funding and 12 monthly payments forFederal funding with additional supplemental as needed, OPWDD makes 4 quarterly payments with a 10% withhold untilfinal payment upon closeout.Final Closeouts: Upon receipt <strong>of</strong> final prior year closeout, NYS disabilities will make any final corrections foroverpayments/ underpayments in a future <strong>State</strong> Advance payment to the county.Instructions:Notifications that payments have been received, ACH wire transfer or check, are usually sent to the Director <strong>of</strong>Community Services, the County Fiscal Officer, and/or Treasurer’s Office. After receiving notification/ receipt, the FiscalOfficer will follow the county procedures for processing the <strong>State</strong> Advances and depositing the payments into the properaccounts. Note: This process may initiate the Provider payment process.A tracking log should be setup to reconcile current <strong>State</strong> Aid Letter allocations and payments received for a given year. Itshould allow for prior year recoupments / recoveries to be identified. This document will assist in identifying balances,payment errors, and/or future payments.Note: OPWDD withholds 10% <strong>of</strong> the <strong>State</strong> Aid allocations from their payments and makes final payment upon closeout <strong>of</strong>the final county provider claims.It is the LGU’s responsibility to notify providers <strong>of</strong> any delay in anticipated payments. Providers may need to turn to otheroptions (i.e. lines <strong>of</strong> credit, restricted funding, etc) in the interim.For NYS closeouts that result in a recovery <strong>of</strong> state dollars, the recovery is taken out <strong>of</strong> a future state advance payment toa county. Any closeout recoveries are reflected in the <strong>State</strong> Advance Payment Remittance letter, which reflects theexpected advance payment minus the prior year recovery and the total state advance payment paid to the county.Note: OPWDD <strong>State</strong> Advance Payments Remittance letters do not provide as much detail, so it may be necessary tocontact NYS staff for additional information.Resources:
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