FUNDS CONTROL for FTA Grant Activity

1. FUNDS CONTROLfor FTA Grant Activity Presented by: Office of Financial Systems May 27, 2005

2. Funds control for FTA Grant Activity is maintained in the Transportation Electronic Award and Management (TEAM), Electronic Clearing House Operation (ECHO), Delphi Departmental Online Transaction System (DOTS) and the Delphi departmental accounting system. The Budget, Accounting and Financial Systems staffs have responsibility for the support and reconciliation of all financial data processed in these systems.

3. Financial Systems Applications • TEAM - Transportation Electronic Award and • Management System for obligation of program funds • to FTA’s grantees. • ECHO - Electronic Clearing House Operations • System for disbursement of program funds to FTA’s • grantees. • DOTS/SUN – Delphi Online Transaction System for • reports/data query and to send/receive financial • transactions for DELPHI. • DELPHI - Departmental Accounting System for the • processing of FTA's financial documents and • reporting fund status for financial activity.

4. CRITICAL FINANCIAL PROCESSES SF 132 REIMB AGRMT ADMIN ALLOT. PLANS WARRANTS SF 1151 BUDGET EXECUTION TREASURY ACCOUNTING SF 132 REIMB AGRMTS SF 1151/ WARRANTS ADMIN ALLOT. PLANS GRANTEES SUMMARY LEVEL COST CTR REPORTS ACH INFORMATION ECN ESTABLISH TREASURY ACH TO FTA STAFF DELPHI ECHO ECS TO TREASURY GENERAL LEDGER BALANCES SF 224 REPORTS ODF/BCF (DOC. STATUS PYMT CONFIRM ECN CHANGES) GENERICS FROM TEAM, ECHO, DOTS, PDTMS DISBS PAYROLL ACTUAL/ACCR CONTRACTS, GRANT REQUISITION PAYMENTS ECN CHANGES ODF, BCF, FSF AND TABLE EXT. (DOC STATUS/PROCESSED TRANS.) FTA STAFF QUERY DOTS TO FTA STAFF ACCOUNTS PAYABLE FPPS PROGRAM DISBS TRAVEL RECORDS, VOUCHERS AD HOC/ COST CTR REPORTS ALLOT, PLAN, OBLIG AUTH DISB SF 133 CFO STATEMENTS TFS 2108 PROG/ REGIONAL OFFICE PDTMS TEAM PROGRAM OBLIGATION BUDGET DIVISION PROG ALLOT

5. ECHO REPORTS to ACCOUNTING BUDGET PROG/REG Grant Obligation Process Error Suspense DELPHI Fund Control Records Grantee Execution Generic Interface DOTS Posted Fund Control Authorized Disbursements TEAM Reservations Obligations Allotments Operating Budgets Program Region Offices Budget Division

6. Error Suspense DELPHI Reports TEAM Grant Payment Process Request for Funds ECHO Approves/Rejects Grantees ECHO-WEB Treasury ACH PAYMENT FILE ECHO PROCESSOR PAYMENT RECORDS ECS Payment Records Generic Interface PAYMENT RECORDS Accomplished Payment Records DOTS Accomplished Payment Records

7. Quality Control in TEAM • Fund availability loaded by Urbanized Area Code (UZA) • Earmarks Codes identified by regional office • Fund availability loaded by Allotment and Operating Budget • Fund Availability loaded by account classification codes

8. Account Classification Codes • Funding Fiscal Year (FFY) – Year of Budget Authority • Appropriation – Program Funding Source • Section – Program Codification • Limitation – Program Activity • Type of Authority – Fund Usage • Financial Purpose Code – Fund Purpose • Refer to FTA 8011 Report for available account classification codes located on TEAM Web Reports site.

9. Financial Purpose Codes • 00 Capital • 01 Research & Training • 02 Planning • 03 Elderly and Disabled • 04 Operating Assistance • 05 Project Administration • 06 State Administration • 07 RTAP • 08 ADA Paratransit • 09 Multiple Types

10. Vendor Codes • 4 digit code to identify Grant Recipient • User ID to access Grantee’s Projects • Required to reserve and obligate project funds • Established by Accounting Office only • Tax Identification Number (TIN) required for Delphi Accounting System NOTE: Always query for existing (active or inactive) codes before requesting a new vendor code.

11. Payment Method Codes • ECHO System - Grants (6908nnnn) • Requisition – Procurements and Cooperative Agreements (REQU) • IPAC – Reimbursable Agreements (OPAC or WCF) • Volpe – General Working Agreements (TSC/GWA)

12. Reconciliation Adjustments • Obligations / Reverse De-obligations • Recoveries • Current year de-obligations (CYDEOB) • Prior year de-obligations (PYR) • Financial Purpose Code (FPC) transfers • Fund Substitutions (only for FFY) • Fund Adjustments • Disbursements (includes ECHO credits and cancelled checks) • Refunds (based on audit finding or overpayment) NOTE: TEAM obligations/unliquidated balance must agree with the Delphi accounting system.

13. TEAM YEAR END CLOSING (YEC) • End-of-Year (EOY) - Closeout • Effective date for FY closing (9-19-05) • Functions unavailable during Year-End-Closing cycle (next page) • Beginning-of-Year (BOY) - Reopening • System Availability for new FY cycle • Availability of Carryover Funds • Availability of New Budget Authority • Interim obligations and payment guidance

14. TEAM Financial Functions Unavailable during Year End Closing Process • Reservations • Obligations • Deobligations • Reverse Deobligations • UZA Transfers • FPC Transfers • Closeouts with Deobligations • Fund Substitutions

15. ECHO-Web System Process • Internet based access for grantees as of October 2004: • Up to three Users now have access to ECHO (2 can submit draw down requests and 1 can query). • Passwords are e-mailed to authorized users, no more registered letters with return receipts. • System accessible from numerous locations with no dial-up connectivity. • Payment request in by 2:00 pm EST is paid on next business day. • Other features include Payment History search • Year end closing on 9-29-05 @ Noon EST • Open for business on 10-3-05 @ 7:00 am EST

16. ECHO Project Draw down Rules • Project Number Section Codes in 3rd-4th position should replace “X” in 5th position as follows: Format – AA_ _ Xnnn • Section 90 use FPC = 0, 2, 4, 8 or 9 • Section 15 use FPC = 0, 2 or 4 • Section 17 use FPC = 0, 2 or 4 • Section 18 use FPC = 0, 2, 4, 5, 6 or 7 • Section 37 use FPC = 0 or 4 • Section 40 use FPC = 0, 1 or 4 • Section 70 use FPC = 0, 2 or 4 • Section 80,81 use FPC = 0 or 2

17. ECHO-Web access for grantees require following information: • Authorization and Certification Letter from organization’s authorizing official. • User Access Request and Rules of Conduct forms for each user designated in the letter. • FTA Payment Information Form for ACH Payments. • All forms should be submitted to the regional office who will then forward them to the accounting staff. • ECHO-Web access is set-up by the financial systems staff after the grantee’s ECN (ECHO Control Number) has been established by accounting.

18. Delphi Online Transaction System (DOTS) Process • Financial data interfaces from feeder systems: • Allotments and Obligations from TEAM • Authorized Disbursements and Closed Projects from TEAM • Payments from ECHO System • Payments (Contract, Cooperative Agreements, GWA, etc.) from Delphi • Other features include web reports for Cost Center Managers • Reconciliation between TEAM and Delphi. NOTE: Interfaced transactions are not transmitted on the last business day of the month.

19. Delphi Accounting System Process • Financial data interfaces from DOTS • TEAM allotments and obligations • ECHO payments and credits • PerDiemazing Travel authorizations and vouchers • Manual entry of financial data by accounting • Payments (Contract, Cooperative Agreements, GWA, etc.) • Month-end closing at noon on last business day of month and first day of following month • Other features include web reports for inquiry, document imaging for invoices and DASHboard for performance measures.

20. Frequently Asked Questions and Answers are contained in a separate document.