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DOT Response

DOT Response

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Published by: House Oversight Committee on Sep 07, 2011
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U.S.

Department of
Transportation
Office of the SecretofY
of Transportafion
The Honorable Darrell E. Issa
Chai rmall , Committee on Oversight and
Government Reform
2157 Rayburn 1·louse Office Building
U.S. I'{ouse of Representatives
Washington, DC 205 15-6143
Dear Mr. Chairman:
AS5.lSlanl S&c' e l;lfy
rOf Budgel and Prog,ams
and Chlel fonanc, al OllltCf
MAR 18 10il
1200 lIew Jersey Avcnue. Sf
\'/ash,nglon. DC 2(l590
In response to your requcst for informati on dated March 8, 20 11 , enclosed nrc our nnswcrs
rcgnrding thc Dcpartmcnt of Transportation's (DOT's) elcctronic systcms uscd for financial
mnnagclllcllt , grants, contract s, and govcnll11enHvidc reporting on spending. Within DOT, my
office is rcsponsiblc for account ing systcms, whil e·thc Officc of the Assistant Sccretary for
Administration is responsiblc for grants, contracts, and govcrnmellt-wide reporting on these
acti vities. The information we arc providing has been closely coordinatcd betwccn our two DOT
offi ces.
I am hopeful that these answers are fult y responsive and helpful in providing a bellcr
understanding of DOT' s systcms. I also have providcd a copy of thi s materi ailO Ranking
Member CUlllmings for hi s in fo rmation. I f your staff has any questi ons, they may contact our
Deputy Chief Financial Officcr, David Rivait, at 202-493-0476 or at da vid .ri \ all (a dot. i!(J\·.
Sincerely,
Cl)C
Chri stopher P. Bcrtmm
Enclosure
DOT Responses to Committee Questions on Electronic Systems
1. Identify and briefly describe each of your agency's business and accounting systems. If separate
divisions, bureaus, or offices of your agency use separate systems, identify which divisions,
bureaus or offices use each system.
The Department of Transportation (DOT) maintains Oracle's E-Business Suite (EBS) Version
11.5.10, also known as Delphi, as the Department-wide accounting system. A single database
instance supports all DOT Operating Administrations (OAs). DOT maintains Oracle Discoverer
109 as the agency-wide financial reporting solution. Discoverer is available to customers for
creating their own ad-hoc reports or customizing global reports. In addition to Discoverer
reports, DOT also develops custom financial reports, known as "Delphi Web Reports", available
to all OAs. The suite of tools identified above directly prepares or directly provides data for the
preparation of required government-wide reports.
2. Explain how the business and accounting systems identified in response to "Request No. 1 interact
with each other.
Delphi is one of the most broadly implemented accounting systems in the government and still
operates with only one production instance of the software. DOT uses seven applications of EBS;
Federal Financials, General Ledger, Purchasing, Accounts Payable, Accounts Receivable, Fixed
Assets and Project Accounting. All seven apP'lications are fully integrated with each other. The
Oracle Discoverer financial reporting tool is also an integrated application of Oracle's EBS. The
Delphi Web reports originate from a custom built reporting solution that directly queries the same
database which Discoverer reports query.
3. For each system identified in response to Request No.1, state whether information found in that
system is regularly or periodically submitted to any of the government-wide accounting systems
maintained by the Department of the Treasury, e.g., GFRS, FACTS I, FACTS II, IFCS, etc., and
explain how and at what intervals those submissions occur, including descriptions of both manual
and automated processes.
Information found in Delphi is periodically submitted to GFRS, FACTS I, FACTS II, IFCS, and
lRAS. Data from the Department's proprietary adjusted trial balance is manually entered in
GFRS on an annual basis. Proprietary Standard General Ledger (SGL) account balances are
submitted annually to FACTS I via an electronic bulk file from Delphi. Budgetary SGL account
balances are submitted quarterly to FACTS II via both an electronic bulk file and online manual
data entry. FACTS II automatic transmissions are routed through a modem at Treasury which
accommodates some of the data that must be entered by DOT. In addition, online manual data
entry is required for balances not transmitted automatically. Proprietary SGL balances obtained
from Delphi are manually entered into IFCS on a quarterly basis. The Department's proprietary
adjusted trial balance is submitted via email in a bulk file format for uploading into IRAS on a
quarterly basis.
2
4. For each system identified in response to Request No. I, state whether information found in that
system is regularly or periodically submitted to the Office of Management and Budget's
("OMB'') MAX Information System, and explain how and at what intervals those submissions
occur, including descriptions of both automated and manual processes.
Information found in Delphi is periodically submitted to the MAX Information System.
BudgetaJy SGL account balances are automatically uploaded into MAX from FACTS II on a
quarterly basis. Other data not found in FACTS II, such as Object Class, are manually entered
into MAX on an annual basis.
s. For each system identified in response to Request No. I, describe recent, current, and planned
migration or modernization projects.
Delphi was migrated from the HP Tru64 Operating System to the Red Hat Linux Operating
System in December 2010. DOT is currently planning two additional modernizations projects.
The first is to upgrade the Oracle 109 database to the Oracle Ilg database. The second is to
upgrade the Delphi from Version 11.5.10 to Version 12.1.3. Both upgrades are planned to
maintain software supportability with Oracle.
6. In addition to your agency's submissions to government-wide accounting systems maintained by
the Department of the Treasury and OMB, as described in response to Requests Nos. 3 and 4,
does your agency publish any of the same information online for public viewing? If so, describe
how and in what format that information is published.
The Agency Financial Report (AFR) is published on the DOT website in PDF format.
7. Identify and briefly describe each system that your agency uses to manage grants, direct loans,
and/or loan guarantees. If separate divisions, bureaus, or offices of your agency use separate
systems, identify which divisions, bureaus, or offices of your agency use each system.
Each OA utilizes a either paper process or electronic system to manage grants, direct loans and/or
loan guarantees. DOT's electronic grant processing/direct loan/loan guarantee systems are:
• System of Airports Reporting (SOAR) - SOAR is used by the Federal Aviation
Administration (FAA) to manage grants awarded to public agencies for the planning and
development of public-use airports through the Airport Improvement Program.
• Grants Solutions - This system is used by the Federal Railroad Administration (FRA)
and the Federal Motor Carrier Safety Administration (FMC SA) to manage their
respective grants programs. FMCSA awards grants primarily to State and local
government agencies to fund various safety initiatives. FRA uses Grants Solutions to
manage a number of their grant programs to include the high speed rail and the intercity
passenger rail programs.
3
• Financial Management Information System (FMIS) - The Federal Highway
Administration (FHW A) uses FMIS to manage Federal-Aid Highway projects funded
through the Highway Trust Fund.
• Transportation Electronic Award & Management (TEAM) - The Federal Transit
Administration (FT A) uses TEAM to manage grants issued to eligible recipients for
planning, vehicle purchases, facility construction, operations, and other purposes. FT A
awards and oversees formula and discretionary programs totaling more than $108 to
support a variety of locally planned, constructed, and operated public transportation
systems throughout the United States. Transportation systems typically include buses,
subways, light rail, commuter rail, streetcars, monorail, passenger ferry boats, inclined
railways, or people movers.
• Grants Tracking System (GTS) - GTS is used by the National Highway Traffic Safety
Administration (NHTSA) to manage formula grants awarded to reduce traffic crashes and
resulting deaths.
• Grants Information System (GIS) - GIS is used by all ONs for reporting on grant and
loan data to FAADS, FAADS PLUS, and USApending.gov.
• Rapid Approval and State Payment System (RASPS) - RASPS is used by States to
request reimbursements under the Federal Aid Highway Program.
• Electronic Clearing House Operation (ECHO) System - ECHO is a reimbursement
request system used by FT A which allows grantees to submit payment requests on-line.
8. For each system identified in response to Request No.7, explain how it interacts with any
business or accounting systems identified in response to Request No.1.
FMIS, TEAM, Grants Solutions and GTS have interfaces that populate Delphi with obligation
data automatically. SOAR is a stand-alone system. All data from SOAR is entered into Delphi
manually.
RASPS and ECHO are not interfaced with Delphi. Payments made from these two systems are
made outside of Delphi. A daily transaction file containing Treasury confirmations for
disbursements is extracted from Delphi and sent to the OAs to be uploaded into their respective
grants management systems.
9. For each system identified in response to Request No.7, state whether information found in that
system is regularly or periodically submitted to the Catalogue of Federal Domestic Assistance
(CFDA), and describe how and at what intervals those submissions occur, including descriptions
of both automated and manual processes.
4
DOT updates all its CFDA programs annually. DOT provides the requested information
according to the GSA designated timeline, usually in early spring. Data is entered manually into
CFDA.
10. For each system identified in response to Request No.7, state whether in information found in that
system is regularly or periodically submitted to any of the government-wide grants management
and reporting systems, e.g., FAADS, FAADS PLUS, etc., and describe how and at what intervals
those submissions occur, including descriptions of both automated and manual processes.
Each OA uploads its grants obligations into GIS. On a quarterly basis, an electronic file
containing grant$ obligations data is extracted from GIS and emaiIed to the Census Bureau to be
uploaded into FAADS and FAADS PLUS. On a monthly basis, an electronic file containing
grants obligations data is produced from GIS and is sent to USAspending.gov to be uploaded.
11. For each system identified in response to Request No.7, describe recent, current, and planned
migration or modernization projects.
In 2009 and 20 I 0, FRA and FMCSA migrated from a manual paper process to an automated
process utilizing the Grants Solutions system referenced in the answer to question 7 above.
SOAR, FMIS, TEAM, and GTS are near the end of their Iifecycles. With the exception of
SOAR, no modernization projects for these systems are currently under development.
12. In addition to your agency's submissions to government-wide grants management and reporting
systems, described in response to Requests Nos. 9 and 10, does your agency publish any of the
same information online for public viewing? If so, describe how and in what format that
information is published.
DOT does not publish any grant, direct loan, or loan guarantee information online for public
viewing in addition to government-wide grants management and reporting systems described in
the answer to questions 9 and 10 above.
13. IdentifY and briefly describe each system that your agency uses to manage contracts. If separate
divisions, bureaus, or offices of your agency use separate systems, identify which divisions,
bureaus, or offices of your agency use each system.
DOT maintains PRISM Version 6.5 as the agency-wide contracts management system. The
Department maintains 9 instances of PRISM 6.5. One instance is shared among the Office of the
Secretary of Transportation (OST), the Maritime Administration (MARAD), the Office of the
Inspector General (OIG), the Research and Innovative Technology Administration (ruT A), and
the Surface Transportation Board (STB). Each of the following OAs has their own instance of
PRISM: FAA, FHW A, FTA, FMCSA, FRA, NHTSA, the Pipeline and Hazardous Materials
Safety Administration (PHMSA), and the National Transportation Systems Center (VOLPE).
14. For each system identified in response to Request No. 13, explain how it interacts with any
business or accounting systems identified in response to Request No.1.
5
FAA's instance of PRISM is interfaced with Delphi for automated recording of procurement data
in the accounting system. All other OA's instances of PRISM are stand-alone systems.
Procurement data from the stand alone instances is manually entered into Delphi.
15. For each system identified in response to Request No. 13, state whether information found in that
system is regularly or periodically submitted to any of the government-wide contract management
and reporting systems, e.g., FPDS, FPDS-NG, FAPIIS, etc., and describe how and at what
intervals those submissions occur, including descriptions of both automated and manual
processes.
All of the Systems listed in response to question 13 are fully integrated with FPDS -NG. Data
submission is accomplished automatically every time a contract is awarded. Data is manually
entered into F APIIS when a contractor or vendor is determined to be non- responsible, suspended
or debarred. Solicitation data and award notices are manually entered into Fed Biz Ops as
required. Past performance data on vendors is manually entered into the Contractor Performance
Assessment Reporting System (CPARS) as required.
16. For each system identified in response to Request No. 13, describe recent, current, and planned
migration or modernization projects.
DOT is in the initial planning phases of a project to migrate the current instances of PRISM into a
single contract writing system that is either integrated or interfaced with Delphi. The detailed
project plan and time line is currently under development.
17. In addition to your agency's submissions to government-wide contract management and reporting
systems, described in response to Request No. 15, does your agency publish any ofthe same
information online for public viewing? If so, describe how and in what format that information is
published.
No contract data is submitted for public viewing other than to government-wide contract
management and reporting systems described in response to question 15.
18. Briefly describe your agency's efforts to comply with OMB's memorandum on the Open
Government Directive - Federal Spending Transparency, dated April 6, 2010. In particular,
describe whether and how your agency has begun to collect and report sub-award data, as
required by the memorandum, and describe how your agency's reports on OMB's data quality
metrics, as required by the memorandum, are generated.
In April 2010, DOT completed an Open Government Directive Data Quality Plan that provided a
framework for Federal Spending information and reporting requirements. The plan is a
comprehensive document that meets OMB award reporting and metrics standards. The plan
addressed uses of the revised department-wide GIS and how it assists the department in meeting
data quality metrics of timeliness, completeness and accuracy of data before it is submitted to
USASpending.gov. The software enables OST to record the date of information entry, to identify
6
DUNS numbers and the DUNS confidence codes as well as check addresses of the awardees. The
accurate, complete and timely submission of prime recipient data by the OAs ensures that the
appropriate reporting of sub-award data can be completed in FSRS.gov.
DOT's Office of the Senior Procurement Executive (OSPE) also sent out formal notification to
DOT OAs, which use the formal DOT-DASH notification system, communicating the policy and
guidelines for the sub-recipient reporting requirements.
The OSPE selected sub-recipient reporting representatives to act as liaisons to answer questions
and provide continuous guidance to OAs. Also on December 14, 20 I 0, OSPE provided training
to OA program and policy personnel concerning sub-award reporting requirements. The training
involved instruction on how to access FSRS.gov and discussions on the OA responsibility of
monitoring the system, timelines policies, the requirement to update terms and conditions, as well
as the need for Dun & Bradstreet verification and registration in CCR. Several of the OAs
conducted teleconferences with their prime recipients to provide guidance and ensure
understanding of the sub-award requirements.
19. If you agency interacts directly with USASpending.gov, in addition to SUbmitting information to
the systems that feed USASpending.gov, describe the nature, frequency, and purposes of that
interaction.
The Department interacts monthly with USASpending.gov when transmitting grant data. If grant
data contains errors, then the frequency increases until the data has been fully corrected.
20. Describe the data quality controls and procedures that your agency has implemented information
that is submitted to USASpending.gov, including information submitted directly and information
submitted to one ofthe systems that feeds USASpending.gov.
The Department's GIS has several data validation checks inherent in the system such as Dun and
Bradstreet number (D&B) and recipient address and zip code validations.
21. State whether all of your agency's current grants, contracts, and loans are accurately reflected on
USASpending.gov. and, if not, estimate the percentage of current grants, contracts, and loans that
are not accurately reflected, using both the number of transactions and dollar figures.
We are aware of potential issues with respect to how data from DOT systems is transferred,
consolidated and uploaded into USAspending.gov. We are working to ensure the accuracy of this
reporting and correct any disparities between automated systems.
22. State whether your agency incurs any reporting burdens or costs as a result of its obligations
under the Federal Financial Assistance Transparency Act ("FF A TA") that it does not incur as a
result of other reporting obligations, and estimate those burdens and costs in worker-hours and
dollars.
7
DOT provides direction and technical assistance on FF A T A compliance to staff and grantees and
troubleshoots problems associated with grants data integrity. DOT estimates approximately 20
full time equivalents (FTE) are supporting the FF A TA reporting requirements.
23. Identify the individual(s) who serve(s) as Senior Accountable Officials(s) ("SAO") over federal
spending data quality for your agency, as defined by OMB.
Christopher P. Bertram, Assistant Secretary for Budget and Programs, CFO.
Glossary of Acronyms
AFR A2ency Financial
CCR Central Contractor Registration
CFDA Catalogue of Federal Domestic Assistance
CPARS Contractor Performance Assessment Reportin2 System
D&B Dun and Bradstreet
DOT Department of Transportation
DUNS Data Universal Numbering System
EBS E-Business Suite
ECHO Electronic Clearing House Operation System
FAA Federal Aviation Administration
FAADS Federal Assistance Award Data System
FACTS I Federal Agencies' Centralized Trial-Balance System
FACTS II Federal Agencies' Centralized Trial-Balance System II
FAPIIS Federal Awardee Performance and Integrity Information System
FFATA Federal Financial Assistance Act
FHWA Federal Hi2hways Administration
FMCSA Federal Motor Carrier SafeJy Administration
FMIS Financial Management Information System
FPDS Federal Procurement Data System
FPDS-NG Federal Procurement Data System - Next Generation
FRA Federal Railroad Administration
FTA Federal Transit Administration
GFRS Government-wide Financial Report System
GIS Grants Information S--ystem
GSA General Services Administration
GTS Grants Tracking System
HP Hewlett Packard
IFCS Intragovemmental Fiduciary Confirmation System
8
IRAS Intragovemmental Reporting and Analysis System
MARAD Maritime Administration
NHTSA National Highway Traffic Safety Administration
OA Operating Administration
OIG Office of the Inspector General
OMB Office of Management and Budget
OSPE Office of the Senior Procurement Executive
OST Office of the Secretary of Transportation
PHMSA Pmeline and Hazardous Materials S a f ~ t y Administration
PRISM Procurement Infonnation System for Management
RASPS Rapid Approval and State Payment System
RITA Research and Innovative Technology Administration
SGL Standard General Ledger
SOAR System of Airports Reporting
STB Surface Transportation Board
TEAM Transportation Electronic Award & Management
VOLPE National Transportation Systems Center

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