collapse Title : 00 - INTRODUCTION ‎(3)
collapse Title : 001 - Communication ‎(1)
collapse Title : 002 - Required Documents, Plans, Policies and Reporting  ‎(2)
collapse Title : 003 - Postings ‎(1)
collapse Title : 0100 - Funding Applications ‎(4)
collapse Title : 0200 - Project Administration ‎(5)
collapse Title : 0300 - Finance ‎(3)
collapse Title : 0400 - Vehicles ‎(9)
collapse Title : 0500 - Transit Services ‎(3)
collapse Title : 0600 - Safety and Security ‎(1)
collapse Title : 0700 - Training ‎(1)
collapse Title : 0800 - Coordination, Regionalization, and Connectivity ‎(1)
collapse Title : 0900 - Reserved for Future Revisions ‎(1)
collapse Title : 1000 - Technology ‎(1)
collapse Title : 1100 - Planning ‎(1)
collapse Title : 1200 - Civil Rights ‎(5)
collapse Title : 1300 - Compliance ‎(7)
collapse Title : 1400 - Oversight ‎(1)
collapse Title : 1500 - Other ‎(1)
collapse Title : 2000 - Director Guidance ‎(1)
collapse Title : 2100 - Management Practices ‎(2)
collapse Title : 3000 - Doing Business ‎(4)
collapse Title : 4000 - ATTACHMENTS ‎(1)
collapse Title : 5000 - References ‎(1)
  • 002 - Required Documents, Plans, Policies and Reporting

  • Reporting Requirements

  • ​The focus is on data collection, on‐time reporting, and the utilization of the results to improve performance and compliance. Reports should be used as an opportunity to communicate and celebrate success with your sponsoring agency and as a means of identifying opportunities for better management and service. Required reports can be found on the NCDOT CONNECT website or contact the designated Regional Grant Specialist to receive a copy.

    The Integrated Mobility Division (IMD) collects a number of required reports through its IMD SmartSheet Links for Transit Systems webpage to make submission easier and more efficient.  This page utilizes SmartSheet software to capture and compile the needed documentation.  Eventually, most reporting data will be collected by this means.  Please visit https://connect.ncdot.gov/business/Transit/Pages/IMD-SmartSheet-Resources.aspx to become familar with the submission process for these reports.

    Due Dates: The Integrated Mobility Division (IMD) will manage and publish a consolidated list of due dates for all reporting requirements for the fiscal year. IMD is managing the receipt of all deliverables based on the date and time stamp in the drop box in the EBS portal. On-time submissions are a requirement to maintian full funding.  

    Late Penalties: There are stringent reporting timetables for recipients of IMD grant funding. The IMD is not exempt from Federal reporting requirements and must impose reporting deadlines on its subrecipients to provide adequate oversight as required by FTA. Subrecipients must meet IMD deadlines because subrecipient project activities and financial information are extracted from reports and included in IMD’s reports to FTA. When subrecipients fail to submit programmatic and financial reports to IMD as scheduled, the funding available to all subrecipients is affected, as it inhibits IMD’s ability to accurately comply with its Federal and state reporting requirements. Late penalties may be imposed as sanctions on subrecipients found to be delinquent in reporting is as follows:
    • 1st submission failure: subrecipients late one or more days submitting required reports receives a warning letter and issued a new deadline to submit delinquent reports.
    • 2nd submission failure: subrecipients who fail to submit delinquent reports by the new deadline, a penalty of ½ of 1% will be deducted each late business day from the next ROAP or SMAP disbursement (see Attachment Reporting-2 ROAP Program Administration Guide.)
    Report Submissions: All reporting to IMD must be submitted through the IMD SmartSheet Links for Transit Systems ​webpage or the EBS portal (EBS) drop‐box function.

    Charter Reports: Subrecipients of the State who have received Federal funding for vehicles are required to complete a quarterly charter report whether they have provided charter service or not during the quarter. Subrecipients who, by policy, do not ever provide charter services should enter the word “NONE” in the form and submit it. The Charter Reports must be submitted through the Charter SmartSheet. Refer to Attachment Reporting‐1 to find a list of due dates for this report.

    Incident/Accident Reports: The Incident/Accident report form is completed in SmartSheet. The report should be completed within 24 hours of the incident/accident. Once the form has been saved in the software, an automated email notification will be sent to the appropriate IMD staff for review and action. A police report and any communications from the insurance companies must be attached as soon as received. If the vehicle has been totaled, the information should also be forwarded to the IMD Procurement Section. If a fatality occurs, the grantee should notify the IMD Regional Grant Specialist as soon as possible. All incidents and accidents, no matter the circumstances or cost of the damage, must be reported in SmartSheet. Whether the incident or accident is reportable to FTA will be determined by IMD. Only the total of FTA reportable accidents and incidents are reported on the OPSTATS Report.

    OPSTATS Report: A rural or urban OPSTATS Report Form will be emailed to each 5311 or 5307 subrecipient before the beginning of the fiscal year. A data worksheet to report monthly trips, miles and hours is provided. End‐of‐year financials are also reported on this document. The OPSTATS Report is submitted quarterly in the OPSTATS drop box in NCDOT’s EBS Portal. Refer to Attachment Reporting‐1 to find a list of due dates for this report. 

    Drug and Alcohol Management Information System (DAMIS) Report: 5311 Program subrecipients or their third‐party provider(s) will be emailed a password to the Drug and Alcohol Management Information System reporting website to submit their Drug and Alcohol Report. The report must be completed and submitted by March 15th each year. The final report should be printed and saved by the subrecipient and kept until their next Drug and Alcohol Review.

    Training Reports: These reports include information about newly employed and refresher training provided during the reporting period and must be submitted quarterly via SmartSheet. Refer to Attachment Reporting‐1 to find a list of due dates for this report by IMD.

    ROAP Reports: ROAP Reports are an accounting of the trips provided with the Rural Operating Assistance Program (ROAP) funds received by the county or eligible authority from the state. Access for reporting will be posted on the IMD website through Smartsheet. Refer to Attachment Reporting‐1 to find a list of due dates for this report.

    Grant Reports: These reports provide verification that the grantee is making timely progress with their project. The Grant Report is due on a monthly or quarterly basis along with the submittal of a claim. Even if a claim is not submitted, the Grant Report must still be submitted quarterly or monthly.

    Vehicle Utilization Report: The VUD Report is submitted directly to Institute for Transportation Research and Education (ITRE) twice a year by email. ITRE will select two data collection weeks, one in April and one in August, and notify subrecipients before the selected weeks begin. The report can be printed automatically from some types of scheduling software. Others must compile the data manually. The report is due the next week after the end of a data collection week.

    Facility Maintenance Checklist: Subrecipients that have received Federal and/or state funding to construct a facility for their transit system are required to complete an annual inspection of the facility based on the fiscal year. The checklist guides the grantee through the inspection process and provides space in the form for recording the findings of the inspection. The Checklist is included in Attachment 203‐2.

    Annual Asset Inventory: Participating agencies in the NCDOT-Sponsored Group TAM Plan must maintain a cloud-based TAM Inventory to be included in the Statewide TAM Plan Performance Targets and NCDOT-Sponsored Group TAM Plan, to which IMD has access and can utilize as part of the FTA reporting requirement. Subrecipients using TrapezeEAM to track their vehicle inventory must print an Annual Asset Inventory Report and upload it to the drop box in EBS by July 15th annually. See Attachment 203-3. It is important that Subrecipients use TAM LANGUAGE on each Claim Submission for consistency.  Otherwise, your reimbursement may be delayed.  

    NC Grant.gov: The reports historically submitted to NC Grants must now be submitted to the entity’s funding source. All IMD subrecipients will upload these reports to the drop box in EBS entitled “NC Grants” no later than three (3) months after the entity’s fiscal year has ended. The threshold for State financial assistance is $500,000. 09 NCAC 03M states the rules concerning the different reporting thresholds and when an audit is required for State awards to Non‐State entities. Level III recipients are required to complete a single or program‐specific audit. More specifically:

    "A recipient or subrecipient that receives, holds, uses, or expends State financial assistance in an amount equal to or greater than five hundred thousand dollars ($500,000) within its fiscal year.” “Level III recipients and subrecipients shall have a or program‐specific audit prepared and completed in accordance with Generally Accepted Government Auditing Standards, also known as the Yellow Book."

    In addition, G.S. 143C‐1‐1(d)(25) defines State funds as the following: 

    "Any moneys including federal funds deposited in the State treasury except moneys deposited in a trust fund or agency fund as described in G.S. 143C‐1‐3."

    If the entity received, held, used, or expended State financial assistance (which includes Federal funds passed through the State) of $500,000 or more within its fiscal year, it’s required to complete a single or program‐specific audit following the generally accepted government auditing standards, also known as the "Yellow Book."

    Program Income: FTA recognizes program income to be gross income earned by the subrecipient that is directly generated by a supported activity, or earned only because of the Federal award during the period of performance, per 2 CFR §200.77​. Program Income includes:​
    • Fees for services performed;
    • Rental of real or personal property acquired under its Award;
    • The sale of commodities or items fabricated under its Award;
    • License fees or royalties on patents and copyrights;
    • Advertising/concessions specifically required by the Federal Award and pertaining to specific activities or accomplishments which result from performance of the Federal Award; and,
    • The form is sent out on an annual basis and is to be completed by the 15th of the month following the end of quarter and submitted in the EBS Portal.
    Attachment(s):

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