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New York State Accounting System User Procedures Manual

Volume Name
Encumbrances and Expenditures 		Volume
III		 Date
2/14/95
Section Name
Document Preparation - Contract Encumbrance Request		 Section
4.1301

 

FORM NUMBER:                       AC340

DOCUMENT TITLE: Contract Encumbrance Request

PURPOSE: To enter a new contract on the master file, to encumber
                      a contract or to change an existing contract, including
                      Land Claims contracts.

PREPARED BY:           Agency

COPIES:                        Original - OSC
                                        2nd Copy - OSC (returned to agency
                                                                        after audit)
                                        3rd Copy - OSC (returned to agency
                                                                       after audit)
                                        4th Copy - Agency Contract Copy
                                        5th Copy - Agency Voucher Payable Copy

                                         LENGTH                                         
REF     NAME                     /TYPE                                    DESCRIPTION

1 Amendment
/Supplemental		 ------- A check mark in this field indicates a change to an existing contract. (Required if this is an amendment or supplement to an existing contact)

 

2-6 Batch Header -------- See a.0200, Batching Procedures
7 Originating Agency -------- Name of the agency preparing the document.
8 Contact Number 7 AN If a new contract, this is an alpha prefixed number assigned by the agency from its Document Register, explained in A.0100.  When combined with the Originating Agency Code, it uniquely identifies a contract.  The alpha prefix designates the contract type.  (Prefixes are found in the Accounting Codes Manual, Volume VIII, Section 3.1150.)  If the AC 340 changes an existing contract, this is the existing Contract Number. (Required)
9 Action Code 1 AN A = Add a new contract
C = Change an existing contract
D = Delete an existing contract
      ('D' is for OSC use only )
      (Required )
10 Payee Id 9 AN Federal Employer ID Number, Social Security Number or Municipal ID.  If the AC340 changes an existing contract, enter this field only if changing the Payee ID.  (Required on new contracts)
Additional 5 AN If the payee is included on the Payee Name and Address File, this field also included the five position Payee Additional Code as assigned by OSC.  Entering an asterisk (*) in the first position of this field on a change transaction will replace previously posted data with blanks.  (Required on new contracts, if applicable.)
NOTES: If payee is a municipality, see Section 4.1409 for State Aid Voucher preparation. 

Changes to the payee ID/additional field are effective after audit approval, not after entry.

If Scheduled Contract Payments are attached and the payee ID / additional is entered on the AC340, this ID will be carried forward to the Scheduled Contract Payments and ultimately to the voucher.

11 Contractor Type 3 AN A three-position field in which up to three, one-position codes can be entered.  Codes are found in the Accounting Codes Manual, Volume VIII, Sections 3.1250 and 3.1255.(Required on new contracts and changes to existing contracts that do not contain a contractor type.)
12 Administering Agency Code 10 AN A code identifying the agency which let the contract.  (Required on new contracts if an Administering Agency is involved in a contract.)
13 Payee Name 30 AN The contractor's name.  If the contract record is the source of the payee name for a voucher (e.g. Scheduled Contract Payment vouchers), this will be the name that appears on the check. (Required)
14 Payee Name 30AN Additional space, if needed, for the contractor's name.  Entering an asterisk (*) in the first position of this field on a change transaction will replace previously posted data with blanks.
15 Address 30 AN Contractor's address.  If the contract record is the source of the address for a voucher (e.g. Scheduled Contract Payment Vouchers), this will be the address to which the check will be mailed.  (Required on new contracts)
16 Address 30 AN Continuation of the address, if needed.  Entering an asterixk (*) in the first position of this field on a change transaction will replace previously posted data with blanks.
17 City 20 AN Name of the city in the address.  If the contract record is the source of the address for the voucher (e.g. Scheduled Contract Payment vouchers), this will be part of the address to which the check will be mailed. (Required on new contracts.)
18 State 2 AN Abbreviation of the name of the state in the address.  Leave blank for foreign addresses.  Entering an asterisk (*) in the first position of this field on a change transaction for foreign addresses will replace previously posted data with blanks.  If the contract record is the source of the address for a voucher (e.g. Scheduled Contract Payment vouchers), this will be part of the address to which the check will be mailed.  (Required on new contracts unless address is foreign.)
19 Zip Code 9 AN Postal Code in the address.  Leave blank for foreign addresses.  Entering an asterisk (*) in the first position of this field on a change transaction will replace previously posted data with blanks.  If the contract record is the source of the address for a voucher (e.g. Scheduled Contract Payment voucher), this will be part of the address to which the check will be mailed.  (First 5 positions of the zip code required on new contract unless address is foreign.)
20 Interest Eligible 1 AN A code to indicate if the payment is interest eligible.  Enter an 'N' for no, 'Y' for yes.  (Required on new contracts and changes to existing contract that do no contain an interest eligible indicator.)
21 IRS Code 1 AN A letter code which indicates the type of IRS reporting for a payment.  Codes are found in the Accounting Codes Manual, Volume VIII, Sections 3.1240 and 3.1245.  Entering an asterisk (*) in this field on a change transaction will replace previously posted data with blanks.  (Required on new contacts if payments are 1099 reportable.)
22 Statistic Type 1 AN A code which indicate a specific category of information to be accumulated for the purpose of identifying Federal Fund recipients. Codes are found in the Accounting Codes Manual, Volume VIII, Section 3.1220.  Entering an asterisk (*) in this field on a change transaction will replace previously posted data with a blank.  (Required on new contracts where applicable.)
23 Indicator-Statewide 5 AN Field to be used by agencies to identify particular kinds of payments as instructed by OSC.  Up to five one-position codes can be entered.  Statewide indicators will be assigned by OSC.
24 Indicator-Department 5 AN Field to be used by agencies to identify particular kinds of payments for internal reporting.  Up to five one-position codes can be entered.
25 Contract Amount 18 N If a new contract, the maximum amount that can be expanded according to the terms of the contract.  If a change to an existing contract, the amount of increase or decrease to the existing contract amount.  If it is a decrease, precede the amount with a minus(-) sign. (Required on new contracts.)
26 Contract Period 12 N The month, day and year the contract came into effect and the month, day and year the contract expires. (Required on new contracts.  Contract End Date required on contact changes if Renewal/Amendment Beginning Date field is entered. )
27 Bid Date 6 N The date bids are opened, or for a contract not bid, the date a proposal is received.
28 Renewal/Amendment Beginning Date 6 N The first day of the period for which the contact is extended.
29 Description 50 AN A brief description of contract scope (Required on new contracts. )
30 Description 50 AN Additional space for description of contract scope.  For Land Claims, included coordinated from map matrix, lot number from map and claiment's name.
31 Provisions 63 AN Contract stipulations requiring special attention.  (Required on new contracts if there are special provision in the contract.) For Land Claims, included old land contract number, if applicable.
32 Preparer's Signature -------- Signature of the person filling out the document. (Required)
33 Preparer's Phone No. --------- The phone number, including area code, of the person who prepared the document. ( Required in case additional information is needed. )
34 Agency Finance Officer's Signature and date ---------- Signature of Agency's Finance Officer and the date he/she signed the document.  (Required)
35 Audit Status 1 AN OSC entered.
36 Category 4 AN OSC entered.
37 Method of Award -------- OSC entered.
38 Audit Class (MM/YY) 5 AN OSC entered.
39 Project Code 6 AN OSC entered.
40 Bids Solicited -------- OSC entered.
41 Number Rejected -------- OSC entered.
42 Declined -------- OSC entered.
43 No Reply -------- OSC entered.
44 Route Code 1 AN Enter an 'F' if the contractor's mailing address is foreign, otherwise leave blank.  Entering an asterisk (*) in this field on a change transaction will replace previously posted data with a blank.
45 Date Received --------- OSC entered.
46 Audit Group --------- OSC entered.
47  Date Approved --------- OSC entered.
48 Date Rejected --------- OSC entered.
49 Auditor's initials --------- OSC entered.
50 Line 3 N Sequential number which identified the line of encumbrance coding. (Required if encumbering.)
51 Act 1 AN Action code. (Required if encumbering.)
A = Add a new encumbrance
C = Change an existing encumbrance
D = Delete an existing encumbrance
52 Amount 18 N The dollars being encumbered.  If a change to an existing encumbrance, the amount of increase or decrease.  If it is a decrease, precede the amount with a minus (-) sign.  (Required if encumbering. )
53 Cost Center Code A cost center is a 12 position code and represents the lowest unit of State government at which accounting and reporting is performed. The cost center code consists of the following components:
            Cost
Dept Center Unit   Variable Year
_________________________
XX   XXXXXX            XX        XX
Dept 2 N The first 2 positions of the cost center, indicates the department charged with the expenditure. (Required if encumbering.)
Cost Center Unit 6 N The next 6 positions of the cost center code, identifies the unit charged with the expenditure. (Required if encumbering .)
Variable 2 AN The 9th and 10th positions of the cost center code, identifies cost center unit variables such as funding source, programs, and projects within the same organizational unit.  (Required if encumbering and the cost center code has a variable.)
Yr 2 N The fiscal year of the appropriations charged. ( Required if encumbering.)
NOTE:  Agencies should refer to their Cost Center Reporting Attributes Listing (ASC280).  This report provides the title of the Cost Center Code, Appropriation Internal number and Segregation Number.
54 Object 5 AN The expenditure object representing the goods or services purchased.  The object codes are in the Accounting Codes Manual, Volume VIII, Sections 3.1180 and 3.1185. (Required)
55 Check if Continuation Form is attached --------- Check this box if a continuation form is attached to the Contract Encumbrance Request (e.g. Scheduled Contract Payments form).