FUNDS CONTROL for FTA Grant Activity Presented by: Office of Financial Systems May 27, 2005

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.

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.

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

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

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

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

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.

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

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.

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)

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.

TEAM YEAR END CLOSING (YEC) End-of-Year (EOY) - Closeout Effective date for FY closing ( ) 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

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

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 ed 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 Noon EST Open for business on 7:00 am EST

ECHO Project Draw down Rules Project Number Section Codes in 3rd-4th position should replace “X” in 5 th 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

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.

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.

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.

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