OMB Data Dictionary with FTA Comments and Examples This document is intended to assist recipients of ARRA from the Federal Transit Administration (FTA) in completing their Section 1512 reports. The document includes the required data elements and OMB definition from OMB’s Recipient Reporting Data Model along with FTA comments and FTA examples of the data elements. The FTA comments in Column D clarify whether or not (or what conditions) an FTA grantees need sto provide the OMB data element listed in Column A as well as additional explanation and instructions on reporting the data elements listed in Column B. The FTA example in Column E provides an example of the data element that is relevant to FTA grant recipients. FTA grantees with questions about the information in this document should contact their regional office. Data Elements Yellow – Input (user provided) Blue – System provided (e.g. CCR, Agency Code Reference Table) Column A OMB Data Element Column B OMB Definition Column C OMB Comments Column D FTA Comments Column E FTA Example Column F Validation and Business Rule(s) (Provided by OMB) RECIPIENT DATA ELEMENTS
Funding Agency Code Numeric code of Federal Agency that is responsible for funding/distributing the ARRA funds to Recipients. Federal Agency code is mandatory for Recipient Reporting. The Funding Agency is the agency that receives the ARRA funds through the ARRA funds appropriation. FTA funding code is 6955. Use this code for all FTA reports on all FTA grant programs and FTA grants using flex funds . If you use a code other than 6955, FTA may not be able to confirm that you have submitted your report. 6955 This is a mandatory field. Funding Agency Name The Federal Agency name corresponding to the Federal Agency Code used. Inferred given the Funding Agency Code Inferred the Funding Agency Code Federal Transit Administration This field is inferred given the Funding Agency Code provided Awarding Agency Code Numeric code of the agency that awarded and administering the award on behalf of the Funding Agency. The Awarding Agency is the agency that awards administers the ARRA on behalf of the Funding Agency. In many the Awarding Agency is the same as the Funding Agency. In some cases, such as some contracts Funding Agency (e.g. HHS) delegates the administration and awarding This is the same as the funding agency code - 6955. 6955 This is a mandatory field.
responsibilities to another agency like GSA. Awarding Agency Name The Federal Agency name corresponding to the Awarding Agency Code used. Inferred given the Awarding Agency Code Inferred the Awarding Agency Code Federal Transit Administration This field is inferred given the Awarding Agency Code provided Program Source (TAS) The Agency Treasury Account Symbol (TAS) that identifies the funding Program Source. This Program Source is based out of the OMB TAS list. Federal Contractors may find the TAS in contract or by calling the contracting officer. Assuming that Agencies will provide the code to Recipient Note: Program Source (TAS) is mandatory for Recipient Reporting. There are four codes for the FTA ARRA programs. One code is used for Section 5307, (i.e., PA-96-X055) Section 5311, (i.e. CA-86-X011) Tribal transit, (ie., AZ-86-X011) Transit Investments in Greenhouse Gas and Energy Reduction (TIGGER) grant programs, (i.e., MD-77-X001); a second code is used for Section 5309 Fixed Guideway Modernization programs (i.e., FL-56-X001); a third code is used for Section 5309 New Starts programs (i.e. NY-36-X001); and a fourth code has been established for grants funded under the Supplemental Discretionary Grants for a National Surface Transportation System (aka, the TIGER program, MI-78-X001). Transit Capital Assistance, Utbanized Areas Formula Program (Section 5307) =69-1101 Transit Capital Assistance, Nonurbanized Areas Formula Program, (Section 5311) = ARRA Tribal transit program =69-1101 Transit Investments in Greenhouse Gas and Energy Reduction Program (TIGGER) =69-1101 Fixed Gudeway Infrastructure Investment Program =69-1102 OMB TAS list. This is a mandatory field.
performance measures, and the ProjectStatus field is maked as “Fully Complete” (marked as 4). Award Type Type—Grant, Loan, or Federally Awarded Contract Other types of federal financial assistance not specifically identified above should be reported under the award type of Grant. This is a mandatory field. Almost all FTA ARRA fund recipients have received funds through a grant agreement and should enter “grant.” Cooperative agreement recipients should also enter “grant” as the award type. FTA is providing separate technical assistance for its contract recipients. If you submit your report by uploading the Excel template, make sure you use the Grants template, not the Contracts template. Grant This is a mandatory field. Award Date The date when the award is signed by the Awarding Agency Official. . This is a mandatory field. Enter the date that FTA awarded your grant in TEAM using only numerich characters. Do not enter the date the date that your award was executed 20090930 be entered for a grant awarded on September 30, 2009. This is a mandatory field. Description For Grants and Award title and description with purpose of each funding action if any. The description should capture the overall purpose of the award and if there are multiple funding actions, sufficient description to define the need for each funding action. For Federally Awarded Contracts: Provide a description of the overall purpose and expected outcomes, or results of the contract or action under the contract funded by the Recovery Act, This is a mandatory field. All FTA recipients should the phrase: “invest in public transportation” to capture the overall purpose of the funds awarded to them and then briefly describe each of the activities that will be funded by the grant. This description should be written in a way that members of the public can understand the purposes of the Invest in public transportation by purchasing new hybrid-electric buses, rehabilitating a bus maintenance garage, performing preventative maintenance on existing buses, and installing intelligent transportations This is a mandatory field.
construction, for which the prime contractor invoiced in this calendar quarter. Project Status Evaluation of completion status of the project, activity, or federally awarded contract action funded by the Recovery Act. The status of the work that has been completed. This evaluation should be on performance progress reports and other relevant non-financial performance information. Options for selection: Not started; Less than 50% completed; Completed 50% or more; Fully Completed. For awards funding multiple projects such as formula block grants, provide your best estimate of completion of all projects based on any aggregate data and information. This is a mandatory field. Options for selection: started; than 50% completed; 50% or more; Completed. Determine the completion status of the grant on the basis of the overall status of the projects funded by the grant. Report that the grant is fully completed only if all of the projects funded by the grant are fully completed and funds have been fully disbursed. Select that a grant is “less than 50% completed” or “completed 50% or more,” based on your assessment of the completion status. Select that a grant is “not started” if no activity has taken place on the grant or in the event that administrative activity to carry out the grant (such as executing the award or preparing a solicitation) has taken place but work has not begun on the projects funded by the grant. The status of the grant is not based strictly on percentage of funds expended, but the status should be consistent with your narrative descriptions and with the numbers you report for jobs and expenditures. You cannot indicate status as completed if funds received/invoiced equals zero. Less than 50% completed This is a mandatory field
Description of Jobs Created/Retained A narrative description of the employment impact of the Recovery Act funded work. This narrative is for each calendar quarter and at a minimum, will address the impact on the recipient’s or federal contractor’s workforce (for grants and loans, recipients shall also include the impact on the workforces of sub recipients and vendors). Provide a brief narrative description of the types of jobs created and jobs retained in the and outlying areas. This description may rely on job titles, broader labor categories, or the recipient’s existing practice for describing jobs as long as the terms used are widely understood and describe the general nature of the work. Provide information that highlights the impact of the ARRA grant on jobs that were directly created or maintained by the grant. Include a description of jobs created and retained by subrecipients of the grant. Types of jobs creaded and/or maintained by projects funded by FTA ARRA grants may include: mechanics, administrative support personnel, laborers, construction workers, vehicle operators, and engineers. If you have reported 0 jobs for the reporting period, you should still provide a description of the types of jobs that will be created under the grant, being clear that they will occur in the future If you describe indirect jobs (for example the drivers who will operate expansion vehicles) be clear that they are not included in the direct jobs reported in the numeric field. Identify any newly created jobs attributable to the ARRA grant. If you had to estimate job hours, describe your methodology for estimating. If you pro-rated FTE’s for positions only partially funded by your ARRA grant, explain the factors you used. This grant funded rehabilitation of the transit agency’s bus facility and additional preventive maintenance on its vehicle fleet. As a result of these funds, the agency’s contractor performing the facility rehabilitation was able to continue to employ 10 carpenters and 10 electricians that might otherwise had to have been laid off had work not been available. In addition, the agency was able to hire an additional 10 mechanics to perform vehicle maintenance.
operating assistance. FTA defines infrastructure to include all eligible capital activities. Infrastructure Purpose and Rationale This is for grants and loans only Purpose and rationale of funds received for infrastructure investment with funds made available under the Recovery Act. Identify the purpose and explain how the infrastructure investment will contribute to one or more purposes of the Recovery Act: Purposes: (1) To preserve and create jobs and promote economic recovery. (2) To assist those most impacted by the recession. (3) To provide investments needed to increase economic efficiency by spurring technological advances in science and health. (4) To invest in transportation, environmental protection, and infrastructure that will provide long-term economic benefits. (5) To stabilize State and local government budgets, in order to minimize and avoid reductions in essential services and counterproductive state and local tax increases. This is a conditional field. If reporting infrastructure investment, a rationale/explanation has to be provided. You must complete this field if you report infrastructure expendidures in the line above. All reports submitted by FTA grantees should include purpose #4, “to invest in transportation, environmental protection, and other infrastructure that will provide long-term economic benefits.” Reports may also include one or more of the other five purposes of the Recovery Act. . The transit agency’s Recovery Act grant was used to purchase six low-floor, hybrid electric buses, to modernize and expand two of its three bus depots, to conduct preventive maintenance on 40 existing buses, and to install automatic stop announcement systems on 50 of its buses. As such, the projects funded under this grant will invest in transportation, environmental protection, and other infrastructure that will provide long-term economic benefits. These investments will also contribute to preserving and maintaining jobs and promoting economic recovery in the vehicle manufacturing and construction industry. This is a conditional field. If reporting infrastructure investment, a has to be provided.
Infrastructure Contact Name This is for grants and loans only Name, phone number, address and email address of the appropriate contact. This field is a conditional requirement associated with infrastructure investment Provide an agency contact person who can respond to inquires from members of the press and/or the public concerning grant. Joan Transit Agency A Office of Public Relations. Bayview, CA, 12385 (415) 123-4567 X123 Infrastructure Address 1 Infrastructure Address 2 Infrastructure Address 3 Infrastructure State/Local Contact Zip Code + 4 Infrastructure Contact Email Infrastructure Contact Phone Infrastructure Contact Extn Primary of Performance – Street Address 1 Recipient of Performance (city, state, congressional district, and country) physical location of primary place of performance. This is optional. This field is optional. Primary Place of Performance – Street Address 2 This field is optional This field is optional Primary Place of Performance – State This is a mandatory field This is a mandatory field. Primary of Performance – Country This is a mandatory field This is the 2 letter code. This is a mandatory field Primary Place of Performance – Zip Code + 4 This is a mandatory field This is a mandatory field.
purchases, that will provide benefits to the region as a whole, enter the address and Congressional District associated with your office’s headquarters in lieu of the locations of the projects. Primary Place of Performance – City This is a mandatory field This is a mandatory Primary Place of Performance - Congressional District This is a mandatory field This is a mandatory field. Prime Recipient indication of reporting applicability Names and total compensation of each of the five most highly compensated officers of the recipient for the calendar year in which the award is awarded if— (i) In the recipient’s preceding fiscal year, the recipient received— (A) 80 percent or more of its annual gross revenues from Federal contracts (and subcontracts), loans, grants (and subgrants) and cooperative agreements; and (B) $25,000,000 or more in annual gross revenues from Federal contracts (and subcontracts), loans, grants (and subgrants) and cooperative agreements; and (ii) The public does not have access to information about the compensation of the senior executives through periodic reports filed under section 13(a) or 15(d) of the Securities Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of 1986. This is a Yes or No field Enter “no” in this field unless all of the conditions in the definitions field apply to your agency. Take into consideration that your gross revenue may include farebox revenue, state and local assistance, and other sources of funding in addition to Federal financial assistance. Your balance sheet from the prior fiscal year should indicate the amount and percentage of Funds that were from Federal grants versus non-Federal sources of funds. It is unlikely that must FTA grant recipients receive 80% of their gross revenue from Federal sources. Enter No or Yes If all of the conditions in the definition apply the recipient must report in the highly compensated fields
through the DUNS# look-up Sub recipient DBA Name The Doing-Business-As (DBA) name of sub recipient as registered in CCR or D&B Sub recipient Address 1 Sub recipient Location. Physical location as listed in the Central Contractor Registration. Sub recipient Address 2 Sub recipient Address 3 Sub recipient City Sub recipient State Sub recipient Zip+4 Sub recipient Country Sub recipient Congressional District This field is mandatory Enter the Congressional District in which the subrecipient’s headquarters is located. 01 This is a mandatory field Sub recipient Type This data element is inferred from CCR. The field inferred is “Business Type” in CCR. The System will pull this from CCR The System will pull this field from CCR The System will pull this field from CCR Fixed list from CCR Amount of Subaward The anticipated total amount of funds to be disbursed to the sub-awardee over the life of the award. Report the amount of funds that the will be disbused by the direct recipient to the subrecipient over the life of the 554321.00 This is a mandatory field
the address and congressional district of the subrecipient’s headquarters in lieu of the locations of the projects. Sub recipient of Performance – Street Address 2 This field is optional This field is optional Sub recipient Place of Performance - State VA This field is mandatory Sub recipient of Performance – Country This field is mandatory This is the 2 letter alpha code. US This field is mandatory Sub recipient Place of Performance – Zip Code + 4 222051615 This field is mandatory Sub recipient Place of Performance – City This field is mandatory Sub recipient Place of Performance - Congressional District This field is mandatory 01 This field is mandatory Sub Recipient indication of reporting applicability Names and total compensation of each of the five most highly compensated officers of the sub recipient for the calendar year in which the awarded is awarded if— (i) In the sub recipient’s preceding fiscal year, the sub recipient received— (A) 80 percent or more of its annual revenues from Federal contracts (and subcontracts), loans, grants (and subgrants) and cooperative agreements; and This is a Yes or No field Enter “no” in this field unless all of the conditions in the definitions field apply to the subrecipient. Take into consideration that the subrecipient’s gross revenue may include farebaox revenue, state and local assistance, and other sources of funding in addition to Federal financial assistance. The subrecipient’s balance sheet from the prior fiscal year should indicate the amount and percentage of No or Yes If all of the conditions in the definition apply the recipient or delegated sub recipient must report in the highly compensated fields
(B) $25,000,000 or more in annual gross revenues from Federal contracts (and subcontracts), loans, grants (and subgrants) and cooperative agreements; and (ii) The public does not have access to information the compensation of the senior executives through periodic reports filed under section 13(a) or 15(d) of the Securities Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of 1986. Funds that were from Federal grants versus non-Federal sources of funds. It is unlikely answer will be yes. Sub Recipient Highly Compensated Name(5) Names of each of the five most highly compensated officers of the sub recipient for the calendar year in which the award is awarded if— (i) In the sub recipient’s preceding fiscal year, the sub recipient received— (A) 80 percent or more of its annual revenues from Federal contracts (and subcontracts), loans, grants (and subgrants) and cooperative agreements; and (B) $25,000,000 or more in annual gross revenues from Federal contracts (and subcontracts), loans, grants (and subgrants) and cooperative agreements; and (ii) The public does not have access to information about the compensation of the senior executives through periodic reports filed under section 13(a) or 15(d) of the Securities Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of 1986. This is a conditional field based on the sub recipient indication of reporting applicability data element . This is a conditional field based on the sub recipient indication of reporting applicability data element. Do not report, if applicability is no. John Doe Jane Smith Helen Brown Jim White Sarah Johnson This is a conditional field based on the “Sub Recipient indication of reporting applicability” data element If all of the conditions in the definition apply the recipient or delegated sub recipient must report in the highly compensated fields