FUNDS CONTROL for FTA Grant Activity

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FUNDS CONTROL for FTA Grant Activity
May 27, 2005

• Presented by
• Office of Financial Systems

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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.
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Financial Systems Applications

• TEAM - Transportation Electronic Award and
• Management System for obligation of program
  funds
• to FTAs grantees.
• ECHO - Electronic Clearing House Operations
  
• System for disbursement of program funds to
  FTAs
• 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.

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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
ECN ESTABLISH
ACH INFORMATION
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
FTA STAFF
ODF, BCF, FSF AND TABLE EXT. (DOC
STATUS/PROCESSED TRANS.)
CONTRACTS, GRANT REQUISITION PAYMENTS ECN CHANGES
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
BUDGET DIVISION
PROGRAM OBLIGATION
PROG ALLOT
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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
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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
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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

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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.

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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

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Vendor Codes

• 4 digit code to identify Grant Recipient
• User ID to access Grantees 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.

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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)

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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.

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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

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TEAM Financial Functions Unavailable during Year
End Closing Process

• Reservations
• Obligations
• Deobligations
• Reverse Deobligations
• UZA Transfers
• FPC Transfers
• Closeouts with Deobligations
• Fund Substitutions

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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 200 pm EST is paid on next
  business day.
• Other features include Payment History search
• Year end closing on 9-29-05 _at_ Noon EST
• Open for business on 10-3-05 _at_ 700 am EST

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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

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• ECHO-Web access for grantees require following
  information
• Authorization and Certification Letter from
  organizations 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 grantees ECN (ECHO
  Control Number) has been established by
  accounting.

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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.

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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.

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