FTA Reporting Requirements
• Reporting
R
ti
iis required
i db
by FTA
Circular 5010.1D “Grant
M
Management
t Requirements”
R
i
t ”
Chapter III, Section 3 – available
on FTA’s
FTA’ website
b it
http://www.fta.dot.gov/laws/circulars/leg_reg_8640.html
• Reporting is a Grantee
Grantee’s
s primary
way of communicating grant
activities to FTA
1
Reporting in TEAM Web
• Quarterly
Q
t l or A
Annuall Reports
R
t - due
d
30 days after the end of the
quarter
t iin which
hi h th
they are due
d
 Federal Financial Report
 Milestone Progress Report
• American Recovery and
Reinvestment Act (ARRA)
Reporting
2
Reporting Annual vs. Quarterly
•
•
•
•
Over 200,000 UZA: Quarterly
Construction Grants: Quarterly
ARRA Grants: Quarterly
Non const ction Grants
Non-construction
G ants in areas
a eas
with less than 200,000 UZA:
Ann all for
Annually
fo 4th Quarter
Q a te
3
Reporting Timeframes
f
• Quarters
Q
t
ffollow
ll
F
Federal
d
l Fi
Fiscall Year
Y




Q
Quarter
Quarter
Quarter
Q
Quarter
1:
2:
3:
4:
October 1st – December 31st
January 1 – March 31st
April
p 1st – June 30th
July 1st – September 30th
4
ARRA Reporting
•
•
•
•
Federal
F
d
l Financial
Fi
i lR
Reports
t d
due Q
Quarterly
t l
within 30 days after the quarter ends
Milestone Progress Reports due Quarterly
within 30 days after the quarter ends
1201c reports in TEAM due annually by
February 17th and at grant closeout
1512 reporting in
www.federalreporting.gov due 10 days
after the q
quarter ends
5
Section 1201(c) Reports
Section 1201(c) of the American Recovery
and Reinvestment Act (ARRA)
(
)
Requires U.S. Department of
T n po t tion (DOT) g
Transportation
grant
nt recipients
e ipient to
report on the progress they are making in
implementing their ARRA grants
6
Section 1512 Reports
SECTION 1512 requires
q
reports
p
on the use of ARRA
funds by all government agencies. Also referred to as
the ‘Jobs Accountability Act’.
Requires recipients of ARRA funds to report on:
(1) the total amount of recovery funds received
from that agency; (2) the amount of recovery funds
received that were expended or obligated (3) a
detailed list of all projects or activities for which
recovery funds were expended or obligated, including an
estimate of the number of jobs created and the
number of jobs retained by the project or activity.
7
1512 R
Reporting
ti
Timeframes
Ti
f
•
•
•
•
•
Recipient Submit Report (Days 1-10)
Prime Recipient Review (Days 11 and 12)
Direct recipients should review any data
reported by subrecipients during this time. You
y NOT submit a report
p
during
g this timeframe.
may
You can only review what was submitted during
the first 10 days.
Agency Review (Days 13-29)
FTA will review your report and comments on
potential errors.
Release (Day 30)
All data
d t from
f
the
th reportt is
i made
d available
il bl for
f
public review.
Continuous Correction (starts three days after the
end of the reporting period).
period)
8
Reporting Common Problems
• Reports
R
t nott submitted
b itt d on time
ti
• Milestone Progress Report
• Incomplete or Lacking Required Information
• Lapsed Milestone Dates
• Federal
F d
l Financial
Fi
i lR
Reportt
• Inconsistent with ECHO/ Funds
Disbursement Information
• Lacking required federal cash information
9
Milestone Progress Reports
Information required to be reported:
• Current status of each open Activity
Line Item (ALI)
• Narrative description of project status,
problems bids,
problems,
bids contract awards,
awards etc.
etc
Utilize “Project Status Overview” for
overall descriptions.
p
• Detailed discussion of all budget or
schedule changes
10
Milestone Progress Reports Cont.
•D
Dates
t off expected
t d or actual
t l requests
t
for bid, delivery, etc
• Actual completion dates for completed
milestones
• Revised estimated completion dates
when original estimated completion
dates a
are
e not
ot met
et with
t an
a explanation
e p a at o
of why dates are not met and how any
delays or problems will be resolved
11
Milestone Progress Reports Cont.
• Analysis of significant project cost
variances
• List
s of
o all
a outstanding
ou s a d g claims
a s exceeding
d g
$100,000, and all claims settled
p
of all p
potential and
• List and description
executed change orders exceeding
$100,000
• List of claims or litigation involving third
party contracts exceeding $100,000
• List
Li t off all
ll reall property
t acquisition
i iti
actions
ti
12
Milestone Progress Report
Summary Tab
Include:
Overall
Project Status
Update
13
Milestone Progress Reports
Milestone
Status Tab
Include:
Milestone
Progress
Description
14
Project Funds Status
•
Project Funding is second
tab under Project/Funds
Status located by clicking
on Project
o
oject Management
a age e t
link on left hand side of
TEAM. Shows current
ECHO drawdown status.
•
“Acc Class Cd” shows
year and type of funding
•
FP is the financial
purpose code under
which funds have been
reserved.
15
Federal Financial Report
Information required to be reported:
• Any Indirect Costs charged to grant
• Federal cash received & dispersed
• Federal funds expended on behalf of the
grant activities
• Unliquidated obligations (financial
commitments))
• Program Income
• Certification that information submitted
is true, complete and accurate
16
Federal Financial Report
Summary Tab
Include:
•Report Type
•Quarterly
•Annual
•Indirect
d ect Expenses
pe ses
Must be
preapproved
with
ith FTA
17
Federal Financial Report
Financial Status
•Include all
information
requested in boxes
with blue outlines
•Lines A-D
A D are on the
cash basis of
accounting and are
cumulative
•Lines F-P are on the
accrual basis of
accounting
18
Federal Financial Report
Remarks and
Certification
Include:
•Recipient Remarks
regarding any
financial issues or if
cash on hand
•Check the
certification box
when complete
19
Grant Closeout Process Step 1
In TEAM,
TEAM go to: Project Management Milestones/Progress - Milestones Status
Report
p
– Summary
y (first
(
tab)) - Project
j
Status Overview box and include the
following narratives.
 A statement that all funds, federal and
local, have been expended;
 A statement that (Grantee) requests FTA
action to close this grant;
p
of activities accomplished
p
 A description
under the grant.
20
Grant Closeout Process Step 2
IIn TEAM,
TEAM using
i
the
th paperclip
li
function, upload the following
d
documentation
t ti
where
h
applicable.
li bl
 Any study or report commissioned
with
ith grantt ffunds.
d (If th
the document
d
t is
i
too large to upload into TEAM,
uploading the title page and mailing a
CD with the full report to the Region
10 office is acceptable.)
p
)
21
Grant Closeout Process Step 3
Once final
O
fi l Federal
F d
l Financial
Fi
i l Report,
R
t
Milestone Progress Report, (1201c if
required) and the above documentation
required),
are entered, go to “New Closeout
Process” under Project
j
Management
g
and
submit closeout amendment.
Submitting closeout amendment will
populate “Closeout Requested” list in
TEAM and will trigger FTA review
22
Grant Closeout Reviewer
23