Florida Department of
TRANSPORTATION
Work Program & Encumbrance Training
Work Program and Office of Comptroller
Wednesday, April 13, 2016
9:00am
Florida Department of Transportation
Work Program
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Outstanding Agreements
Unencumber
Deobligation
Roll Forward
UPWP 2017 & 2018
Florida Department of Transportation
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Office of Comptroller
• Process amendment for existing contracts
– Ensure there are enough funds remaining to pay for
services through June 30, 2016
– Unencumber remaining balance and update
expiration date
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Setting up New Contract
Processing Letters of Authorization
Processing Amendments vs. Modifications
Updating DOT FACTS
– Contract Information
– Images
Florida Department of Transportation
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Example Amendment for Existing Contracts
Florida Department of Transportation
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Process Amendment
• Contract Funds Management User Manual
• Demo two examples
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CFT No. 1 Amendment Decrease
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CFT No. 6 Amendment Decrease
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Additional Details
• Negative encumbrances require documentation
to be submitted to
ContractFunds.ManagementSection@dot.state.fl.
us
• Request that contract end date be changed to
June 30, 2016 with submittal
• Amendments should be processed as soon as
possible and no later than the week of May 16
• Must update DOT FACTS in order to complete the
FLAIR transaction
• Must upload contract image within 30 days
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Example of Agreement
Florida Department of Transportation
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New Contract
• Must add the contract to assign a contract
number
• New MPO Agreement will use Contract
Funding Term 4
• Budgetary Ceiling will be total amount of the
FHWA funds in the UPWP 2017 & 2018
• Fiscal year totals for FHWA funds will be
available on the budget summary tables
• Financial Project Nos are not required for this
step
Florida Department of Transportation
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CFT No. 4 New Contract
Florida Department of Transportation
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Required Fields
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Beginning Date July 1, 2016
Enter the Service Ending Date June 30, 2018
Enter the Ending Date June 30, 2018
Select Contract Funding Term 4
Select a Procurement Method G, Governmental Agency
Select a Contract Type GD, Grant Disbursement
Enter a Vendor ID See spreadsheet for correct FEID
Is Contract Renewable No
Enter Contract Total (the Budget Ceiling for LOA contracts) See
agreement (FHWA funding for 2017 and 2018 total)
• Enter the Maximum Per LOA (if LOA ceiling is specified, if not enter
zero) 0 is ok; it will allow LOAs up to the budget ceiling
• Enter the Annual Amounts See agreement for FHWA totals by year
• Enter Contract Description FHWA financial assistance for the
transportation planning activities of the MPO in the Unified
Planning Work Program
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Additional Details
• New contracts should be added to CFM the
week of May 16
• Must update DOT FACTS in order to complete
the FLAIR transaction
Florida Department of Transportation
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Enter Contract Details in DOT FACTS
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Required Contract Information
To enter a new contract into DOT FACTS, follow the steps below:
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Click on the Enter FDOT FACTS Contract Information link
Select No for the “Are you processing a modification to a pre-existing contract?”
Enter the Contract number from CFM and click the Search button
In the Search Results section, click on the Select link next to the Contract number
On Page 1, complete the required contract fields (with *’s):
o Contract Status
o Contract Type
o Contract Manager (DOT Computer ID)
o Contract Statutory Authority
o Advanced Payments on this Contract?
o Provide for Administrative Cost?
o Provide for Periodic Increase?
o Business Case Study Done?
o Legal Challenges to Procurement?
o Functions Considered Insourcing to State?
o Functions Previously Done by State?
o Capital Improvements of State Property (In excess of $1,000)?
Once all the required fields have been entered, click on the Page 2 button
Page two has additional required contract fields to enter below:
o Commodity Service Type
o Major Deliverable
o Method of Payment (DFS)
o Performance Metrics (1,000 character maximum)
o Financial Consequences (1,000 character maximum)
o After the above fields have been entered, click on the Add button
Repeat as needed for each Contract Deliverable
Continue entering the contract fields on the right side of page two:
o Procurement Method
o Contract Exemption Justification (1,000 character maximum)
o State Term Id (If Required)
Once all the required fields have been entered, click on the Update button
If no error messages are received, the Contract Details screen is displayed
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Example DOT FACTS Page 1
Florida Department of Transportation
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Example DOT FACTS Page 2
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Answers (screen 1)
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Answers (screen 2)
Florida Department of Transportation
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Additional Details
• No LOAs can be encumbered before the
contract is executed and the status of the
contract has been changed to 10 - Executed
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Upload Contract Image to DOT FACTS
Florida Department of Transportation
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Upload Contract Image to DOT FACTS
To upload a new FDOT FACTS contract image, follow the steps
below:
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Click on the FACTS Contract Images link
Enter the Contract number and click the Search button
The current Contract images in FDOT FACTS are displayed
Click on the Open For Edit button
Select the row(s) that you would like to associate the
document with in FDOT FACTS
6. Click browse and navigate to the Contract document that you
want upload into DFS FACTS
7. Then click on the Upload button to send the document to
FDOT FACTS
8. The updated Contract images in FDOT FACTS are displayed
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Upload Contract Image to DOT FACTS
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Additional Information
• Documents must be uploaded within 30 days
of execution
• Document type will always be CN, Contract or
Grant Disbursement Document (never use PC)
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Processing Letters of Authorization (LOA)
• LOA will be used to encumber the funds
available for use on the contract
• LOA cannot be processed prior to
authorization
• Request for first authorization should be
submitted the week of May 16
Florida Department of Transportation
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New Letter of Authorization
Florida Department of Transportation
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Required Fields
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Beginning Date
Ending Date
LOA/WO ID [also the User Assigned field]
Total LOA/WO Amount (you can have multiple FM Nos per LOA)
Financial Project Number
FLAIR Org Code
Work Activity Code 215, GRANTS TO OTHER GOV'T AGENCIES
(If not grayed out) Category 088854
FLAIR Object Code 780000, Federal Financial Assistance
(If not grayed out) Enter an OCA 00000
FLAIR Expansion Option See FLAIRify
General Ledger Code 71100
Catalog of Federal Domestic Ids: 20.205
Recipient Code: C – Local Government
Encumbrance Amount (you can have multiple lines per LOA) $
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Additional Details
• LOA for work to begin on July 1 must be added
to CFM prior to cut off date June 22
• Must update DOT FACTS in order to complete
the FLAIR transaction
• Must upload Letter of Authorization within 30
days
• Change type will be A-Amendment (E and R
do not apply to MPO agreements)
Florida Department of Transportation
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Enter LOA Details in DOT FACTS
Florida Department of Transportation
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Required LOA Information
To enter a new Amendment/Supplemental in DOT FACTS, follow the steps below:
1.
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Click on the Enter FDOT FACTS Contract Information link
Select Yes for the” Are you processing a modification to a pre-existing contract?”
Enter the Contract number from CFM and click the Search button
In the Search Results section, click on the Select link next to the Amendment ID to create a
DOT FACTS record
On Page 1, click on the Page 2 button
On Page 2, choose one of the Change types from the drop-down menu below:
 A – Amendment
 E – Extension
 R- Renewal
Then enter the reason for the CFM transaction in the Change description field
Once these two field have been completed, click on the Update button
If no error messages are received, the Contract Details screen is displayed and the new (or
Updated) Amendment record is displayed
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Example DOT FACTS Page 2
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Answers
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Upload LOA to DOT FACTS
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Upload LOA to DOT FACTS
• Insert Screen Shot
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Processing Amendments vs. Modifications
Amendment
• Changes in the scope of an approved work
task
• Addition or deletion of an approved work task
• Changes altering the total funding of an FHWA
approved UPWP
• Only changes increasing or decreasing funding
will require an amendment in CFM
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Processing Amendments vs. Modifications
Modification
• Cannot increase the FHWA approved UPWP
final total budget
• Cannot change the scope of the FHWA
approved work tasks
• Can shift money between budget categories
and budget line items
• No amendment in CFM required
Florida Department of Transportation
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CFT No. 4 Amendment Increase
Florida Department of Transportation
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Required Fields
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Enter the Beginning Date
Enter the Ending Date
Enter an Amend/Supp ID (Required)
Enter the Total Amendment Amount and click on the Continue to Step 3 – Add
Encumbrance Info button $
For Decrease Financial Project choose Yes or No as appropriate for your
amendment/supplemental $ (See decrease example on slide 6)
Enter a Financial Project Number
Enter a FLAIR Org Code and click on the Look Up button
Enter a Work Activity Code 215, GRANTS TO OTHER GOV'T AGENCIES
(If not grayed out) Enter a Category 088854
(If not grayed out) Enter a FLAIR Object Code 780000, Federal Financial Assistance
(If not grayed out) Enter an OCA 00000
(If not grayed out) Enter a General Ledger Code 71100
(If not grayed out) Enter a FLAIR Expansion Option See FLAIRify
Enter an Encumbrance Amount $
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Additional Details
• Must update DOT FACTS in order to complete
the FLAIR transaction
• Follows the same steps as LOA on slide 29
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Processing Amendments vs. Modifications
• ALL contract documents for
amendments or modifications
MUST be uploaded to DOT FACTS
• If you have not increased or
decreased funding, the contract
document is uploaded under
Upload Other
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Upload Amendment to DOT FACTS
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Upload Modification to DOT FACTS
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Financial Management Deadlines
Date
Requirement
Responsibility
As soon as possible
Request deobligation
Work Program/Federal Aid
As soon as possible
1. Process negative encumbrance
for contracts expiring June 30
2. Email executed amendment to
CFM and request contract end
date be changed to 6.30.16
3. Notify Work Program Staff
MPO Liaison
Week of May 16
Set up new agreement for contract
term beginning July 1
MPO Liaison
Week of May 16
Request first authorization of PL and
non PL funds no later than this date
Work Program
CFM cut off date (June 22)
Process Letter of Authorization for PL
and Non PL funds for work to begin
MPO Liaison
on July 1 prior to the cut off date
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Questions and Answers
• Invoice and Monitoring Training will be the
next training session
• This session will include MPOs, MPO Liaisons
and Financial Services Office
• Anticipated to be scheduled in May
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Questions and Answers
• Cost Analysis
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