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2013 Reporting Year
National Transit Database
Urban Module
Reporting Manual
Office of Budget and Policy
September 2013
Federal Transit Administration
U.S. Department of Transportation
2013 Urban Reporting Manual
Table of Contents
Introduction ...........................................................................................................................................................1
What is the National Transit Database? ................................................................................................................1
Reporting Manuals and Modules ...........................................................................................................................1
FY 2013 Annual Reporting Changes and Clarifications ........................................................................................1
Who Reports, What to Report, How to Report, When to Report, and Where to Report ........................................1
New Reporters ......................................................................................................................................................1
Reference Information ...........................................................................................................................................1
What is the National Transit Database? ....................................................................................................................2
Legislative Requirement ........................................................................................................................................2
Funding for Transit Agencies Serving Urbanized Areas ........................................................................................2
Reporting Manuals and Modules ...............................................................................................................................3
FY 2013 Annual Reporting Changes and Clarifications .............................................................................................4
Who Reports ..............................................................................................................................................................6
Purchased Transportation Services ......................................................................................................................6
Consolidated NTD Reporters ................................................................................................................................6
Voluntary Reporters ..............................................................................................................................................7
Extensions, Waivers and Special Requests ..........................................................................................................7
Extension Requests ..........................................................................................................................................7
Waivers and Special Requests .........................................................................................................................7
Small Systems Waiver – 30 or Fewer Vehicles ............................................................................................7
Grants Waivers for Planning and Capital ......................................................................................................8
Natural Disaster Hold Harmless Adjustment.................................................................................................9
Data, Report or Passenger Miles Traveled Sampling Waivers .....................................................................9
Independent Auditor Statement for Financial Data Waiver ...........................................................................9
Special Request – Strikes........................................................................................................................... 10
What to Report......................................................................................................................................................... 10
Reporting Modules and Forms ............................................................................................................................ 10
Declarations ........................................................................................................................................................ 11
Fiscal Year Data .................................................................................................................................................. 11
How to Report .......................................................................................................................................................... 12
The NTD Identification Number ........................................................................................................................... 12
Internet Reporting ................................................................................................................................................ 12
Reporting Format ............................................................................................................................................ 12
General Formatting Rules ............................................................................................................................... 12
Accounting Requirements ................................................................................................................................... 12
Generally Accepted Accounting Principles (GAAP) ........................................................................................ 12
Accrual Accounting ......................................................................................................................................... 13
Reporting Purchased Transportation ................................................................................................................... 13
When to Report........................................................................................................................................................ 14
Reporting Timelines ............................................................................................................................................ 14
Reminder Notices ................................................................................................................................................ 14
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2013 Urban Reporting Manual
Failure to Report: No Report, Late Report, or Incomplete Report ....................................................................... 14
Where to Report ...................................................................................................................................................... 15
NTD Help Desk ................................................................................................................................................... 15
New Reporters ......................................................................................................................................................... 16
Written Request................................................................................................................................................... 16
Reference Information ............................................................................................................................................. 16
Transit Terminology and Parameters .................................................................................................................. 17
Public Transportation ...................................................................................................................................... 17
Modes ............................................................................................................................................................. 17
Type of Service (TOS) .................................................................................................................................... 18
Transit Agency ................................................................................................................................................ 18
Area Definitions ............................................................................................................................................... 18
Maximum Service Vehicles ............................................................................................................................. 18
Reference Documents ......................................................................................................................................... 19
Internet Reporting............................................................................................................................................ 20
Overview .................................................................................................................................................................. 20
What Has Changed from Prior Years .................................................................................................................. 20
Internet Reporting System Security ..................................................................................................................... 20
Detailed Instructions ................................................................................................................................................ 20
Accessing Internet Reporting .............................................................................................................................. 20
Choosing Your Browser .................................................................................................................................. 21
Verifying Your Internet Browser Settings ........................................................................................................ 21
The NTD Homepage ....................................................................................................................................... 21
Accessing the NTD Report.............................................................................................................................. 22
Levels of Access ......................................................................................................................................... 23
User Names and Password ........................................................................................................................ 23
Passwords .................................................................................................................................................. 23
Sys Admin: Changing Your Password ........................................................................................................ 23
Tips for Using Internet Reporting ......................................................................................................................... 24
Navigating Between Screens .......................................................................................................................... 24
Saving a Form................................................................................................................................................. 24
NTD Reporting Structure ..................................................................................................................................... 24
Home: Annual Report Home Page ...................................................................................................................... 25
Annual: Reporting Annual Data ........................................................................................................................... 25
Printing a Form Report from a Form Screen ................................................................................................... 26
Submitting Your Report ................................................................................................................................... 26
Monthly Ridership: Reporting Ridership Data...................................................................................................... 26
Safety & Security: Providing Incident Data .......................................................................................................... 27
Notes: Providing Additional Information .............................................................................................................. 27
Creating a Form Note...................................................................................................................................... 27
Reviewing Form Notes .................................................................................................................................... 28
Editing Notes................................................................................................................................................... 28
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Printing Form Notes ........................................................................................................................................ 28
Issues: Validating Annual Data............................................................................................................................ 28
Pre-Submission Validation .............................................................................................................................. 29
Post-Submission Validation by NTD Analysts ................................................................................................. 29
Closeout: Completion of Issue Validation........................................................................................................ 30
e-File: Sending Declarations, Requests, and Other Communications ................................................................. 30
e-File Tracking ................................................................................................................................................ 30
Report Stage .............................................................................................................................................. 31
Waivers....................................................................................................................................................... 31
Declarations................................................................................................................................................ 31
Other Agency Requests.............................................................................................................................. 31
Outgoing NTD Correspondence ...................................................................................................................... 31
e-File Composing: Waivers, Other Agency Requests and Declarations ......................................................... 31
Adding a Request or Declaration ................................................................................................................ 31
Writing or Attaching a Document ................................................................................................................ 32
Editing a Request ....................................................................................................................................... 32
Attaching Correspondence ......................................................................................................................... 32
Saving Correspondence ............................................................................................................................. 32
NTD Process after e-File Submission ............................................................................................................. 32
Acknowledgment of Submission ................................................................................................................. 32
Request Status ........................................................................................................................................... 32
Viewing a Submitted Request..................................................................................................................... 33
e-File at the End of the Year ........................................................................................................................... 33
Communications: Viewing a History of Correspondence with NTD ..................................................................... 33
Reports: Using Reports ....................................................................................................................................... 33
Viewing and Printing Reports .......................................................................................................................... 34
Viewing a Report Online ............................................................................................................................. 34
To Print a Report from the Reports Tab...................................................................................................... 34
To Print a Form Report from a Form Screen .............................................................................................. 34
Available Reports ............................................................................................................................................ 34
Notes and Issues Report ............................................................................................................................ 34
Service Characteristics – Time Series ........................................................................................................ 34
Key Performance Indicators ....................................................................................................................... 35
Revenue Vehicle Inventory – Prior Years History ....................................................................................... 35
Operating Expenses by Function and Hourly Wages – Prior Years History ............................................... 35
Key Performance Indicators – Average Trip Length – Prior Years History ................................................. 35
Ridership Activity Summary Report ............................................................................................................ 35
FFA Data Distribution by UZA .................................................................................................................... 35
Help: Obtaining More Information ........................................................................................................................ 35
Basic Information Module ........................................................................................................................... 36
Identification form (B-10) ..................................................................................................................................... 36
Contacts form (B-20) ........................................................................................................................................... 36
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Contractual Relationship form (B-30) .................................................................................................................. 36
Identification form (B-10) .............................................................................................................................................. 37
Overview .................................................................................................................................................................. 38
Reporting Requirements and Thresholds ............................................................................................................ 38
Small System Waiver (30 or fewer vehicles) ................................................................................................... 38
Planning and Capital Grants Waiver ............................................................................................................... 38
What Has Changed from Prior Year .................................................................................................................... 38
Approach ............................................................................................................................................................. 38
Detailed Instructions ................................................................................................................................................ 38
NTD ID ................................................................................................................................................................ 38
Identification Information ..................................................................................................................................... 38
Fiscal Year ...................................................................................................................................................... 38
Mailing Address .............................................................................................................................................. 39
URL ................................................................................................................................................................. 39
Agency Name and Acronym ........................................................................................................................... 39
FTA Recipient ID............................................................................................................................................. 39
DUNS Number ................................................................................................................................................ 39
Are You a Recipient or Beneficiary of Urbanized Area Formula Program Grants with Continuing Requirements?
............................................................................................................................................................................ 39
Are You Requesting a Small System Waiver? .................................................................................................... 39
Organization Type ............................................................................................................................................... 40
Independent Public Agency or Authority for Transit Service ........................................................................... 40
Subsidiary Unit of a Transit Agency; Reporting Separately............................................................................. 40
Unit or Department of City, County or Local Government ............................................................................... 40
Unit or Department of State Government ........................................................................................................ 40
University ........................................................................................................................................................ 40
Area Agency on Aging .................................................................................................................................... 40
Metropolitan Planning Organization (MPO), Council of Governments (COG), or Other Planning Agency ...... 40
Other Publicly-Owned or Publicly-Chartered Corporation ............................................................................... 40
Private For-Profit Corporation ......................................................................................................................... 41
Private Non-Profit Corporation ........................................................................................................................ 41
Private Provider Reporting on Behalf of a Public Entity .................................................................................. 41
Consolidated Reporter .................................................................................................................................... 41
Other ............................................................................................................................................................... 41
Demographic Information .................................................................................................................................... 41
Urbanized Area ............................................................................................................................................... 41
Service Area ................................................................................................................................................... 42
Number of Vehicles Operated in Annual Maximum Service by Mode and Type of Service ................................ 42
Vehicles Operated in Maximum Service (VOMS) ........................................................................................... 42
Type of Service (TOS) .................................................................................................................................... 42
Mode ............................................................................................................................................................... 42
Vanpool Reporting Requirements ............................................................................................................... 46
Multi-Modal Vehicles................................................................................................................................... 46
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Route and Point Deviation Services ........................................................................................................... 46
Incidental Transit Service ........................................................................................................................... 47
Fixed Guideway for Bus, Bus Rapid Transit and Commuter Bus ............................................................... 47
Capital or Non Capital Investment for Mode not Currently in Service .................................................................. 47
Filing a Separate NTD Report ............................................................................................................................. 47
Line by Line Instructions for Identification form (B-10) ............................................................................................. 48
Contacts form (B-20) .................................................................................................................................................... 51
Overview .................................................................................................................................................................. 52
Reporting Requirements and Thresholds ............................................................................................................ 52
What Has Changed from Prior Year .................................................................................................................... 52
Detailed Instructions ................................................................................................................................................ 52
Contact Type: CEO ............................................................................................................................................. 52
Contact Type: NTD Contact ................................................................................................................................ 52
Contact Type: Safety Contact.............................................................................................................................. 52
Contact Type: Security Contact ........................................................................................................................... 52
Line by Line Instructions Contacts form (B-20) ........................................................................................................ 52
Contractual Relationship form (B-30) ........................................................................................................................... 54
Overview .................................................................................................................................................................. 55
Reporting Requirements and Thresholds ............................................................................................................ 55
What Has Changed from Prior Year .................................................................................................................... 55
Approach ............................................................................................................................................................. 55
Contractual Relationship ................................................................................................................................. 55
Cooperative Agreement .................................................................................................................................. 56
Detailed Instructions ................................................................................................................................................ 56
Contractual Relationship ..................................................................................................................................... 56
Type ................................................................................................................................................................ 56
NTD Reporter or Company ............................................................................................................................. 59
Contracted Service .............................................................................................................................................. 60
Mode ............................................................................................................................................................... 60
Vehicles / Passenger Cars Operated in Annual Maximum Service under Contract ........................................ 60
Number of Months Seller Operated Service During Report Year .................................................................... 60
Operating Expenses ............................................................................................................................................ 60
Purchased Transportation Fare Revenues ..................................................................................................... 60
Net Contract Expenditures .............................................................................................................................. 60
Total contract operating expenses .................................................................................................................. 61
Capital Expenses ................................................................................................................................................ 61
Capital Leasing Expenditures ......................................................................................................................... 61
Total Contract Cost ......................................................................................................................................... 61
Other Costs Incurred by the Buyer ...................................................................................................................... 61
Total Modal Expenses ......................................................................................................................................... 61
Key Relationships Between Forms ...................................................................................................................... 64
Line by Line Instructions for the Contractual Relationship form (B-30) .................................................................... 65
Section A – Contract Summary Type .................................................................................................................. 65
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2013 Urban Reporting Manual
Section B – Key Financial and Operating Statistics............................................................................................. 67
Financial Module .............................................................................................................................................. 69
Sources of Funds — Funds Expended and Funds Earned form (F-10) .............................................................. 69
Uses of Capital form (F-20) ................................................................................................................................. 69
Operating Expenses form (F-30) ......................................................................................................................... 69
Operating Expenses Summary form (F-40) ......................................................................................................... 69
Statement of Finances form (F-60)...................................................................................................................... 69
Sources of Funds — Funds Expended and Funds Earned form (F-10) ....................................................................... 70
Overview .................................................................................................................................................................. 73
Reporting Requirements and Thresholds ............................................................................................................ 73
What Has Changed from Prior Year .................................................................................................................... 73
Approach ............................................................................................................................................................. 73
Accrual Accounting ......................................................................................................................................... 73
Funds Earned Based on Expenses Incurred .............................................................................................. 73
Funds Earned Based on Non-Cost Factors ................................................................................................ 74
Relationship of Funds Expended (Applied) to Key NTD Financial Forms ................................................... 74
Transit-Related Projects.................................................................................................................................. 74
Public Funding Reporting Relationships ......................................................................................................... 74
Purchased Transportation (PT) ....................................................................................................................... 75
In-Kind Services .............................................................................................................................................. 75
Pass-Through Funds....................................................................................................................................... 75
Detailed Instructions ................................................................................................................................................ 76
Directly-Generated Funds by the Transit Agency ................................................................................................ 76
Derived from Revenues or Donated ................................................................................................................ 76
Passenger Fares ............................................................................................................................................. 76
Ferryboat .................................................................................................................................................... 76
Vanpool ...................................................................................................................................................... 77
Allocation of Fare Revenues....................................................................................................................... 77
Passenger Fares for Directly-Operated (DO) Service................................................................................. 77
Passenger Fares for Purchased Transportation (PT) Service .................................................................... 77
Park-and-Ride Parking Revenue .................................................................................................................... 78
Other Transportation Revenues ...................................................................................................................... 78
Auxiliary Transportation Revenues ................................................................................................................. 78
Non-Transportation Funds .............................................................................................................................. 78
Total Park-and-Ride, Other Transportation, Auxiliary and Non-Transportation Revenues .............................. 79
Revenues Accrued through a Purchased Transportation Agreement ............................................................. 79
Contributed Services ....................................................................................................................................... 79
Subsidy from Other Sectors of Operations...................................................................................................... 79
Funds Dedicated to Transit at their Source ......................................................................................................... 79
Independent Political Entities .......................................................................................................................... 79
Dedicated Taxes ............................................................................................................................................. 80
Bridge, Tunnel and Highway Tolls .................................................................................................................. 80
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High Occupancy / Toll Lanes .......................................................................................................................... 80
Other Dedicated Funds ................................................................................................................................... 80
Other Directly-Generated Funds ......................................................................................................................... 81
Reporting Loans ......................................................................................................................................... 81
Local and State Government Sources ................................................................................................................. 81
Funds Allocated to Transit Out of General Revenues of the Government Entity ............................................ 82
Funds Dedicated to Transit at their Source ..................................................................................................... 82
Other Funds .................................................................................................................................................... 82
Federal Government Sources ............................................................................................................................. 82
Funds Received from FTA .............................................................................................................................. 83
FTA Capital Program .................................................................................................................................. 83
FTA State of Good Repair Program ........................................................................................................... 83
FTA Bus and Bus Facilities Program .......................................................................................................... 83
FTA Urbanized Area Formula Program ...................................................................................................... 83
FTA Metropolitan Planning ......................................................................................................................... 84
FTA Clean Fuels Program .......................................................................................................................... 84
FTA Special Needs of Elderly Individuals and Individuals with Disabilities Formula ................................... 84
FTA Other Than Urbanized Area Formula Program ................................................................................... 84
FTA Job Access and Reverse Commute Formula Program ....................................................................... 85
FTA New Freedom Program....................................................................................................................... 85
FTA Alternative Transportation in Parks and Public Lands Program .......................................................... 85
Other FTA Funds ........................................................................................................................................ 85
Funds Received from Other USDOT Grant Programs .................................................................................... 85
Other Federal Funds ....................................................................................................................................... 85
Summary ............................................................................................................................................................. 86
Line by Line Instructions for Funds Expended and Funds Earned form (F-10)........................................................ 86
Sources of Directly-Generated Funds by the Transit Agency — All Transit Agencies......................................... 86
Auxiliary Transportation Funds ............................................................................................................................ 87
Contributed Services ........................................................................................................................................... 88
Funds Dedicated to Transit at their Source — Independent Political Entities ...................................................... 88
Dedicated Taxes ......................................................................................................................................... 89
Local Government Sources of Funds .................................................................................................................. 90
Funds Dedicated to Transit at their Source ......................................................................................................... 90
Dedicated Taxes ............................................................................................................................................. 90
State Government Sources of Funds .................................................................................................................. 91
Funds Dedicated to Transit at their Source ..................................................................................................... 92
Dedicated Taxes ......................................................................................................................................... 92
Federal Government Sources of Funds .............................................................................................................. 93
Summary ............................................................................................................................................................. 97
Uses of Capital form (F-20) .......................................................................................................................................... 99
Overview ................................................................................................................................................................ 100
Reporting Requirements and Thresholds .......................................................................................................... 100
What Has Changed from Prior Year .................................................................................................................. 100
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Approach ........................................................................................................................................................... 100
Accrual Accounting ....................................................................................................................................... 101
Relationship to Sources of Funds ................................................................................................................. 101
Capital Maintenance Expenses..................................................................................................................... 101
Purchased Transportation ............................................................................................................................. 101
Project Classification ..................................................................................................................................... 101
Capital Project Need ................................................................................................................................. 101
Improvements for Existing Transit Services.............................................................................................. 101
Expansion of Transit Service .................................................................................................................... 101
Multiple Modes and Types of Service ....................................................................................................... 102
Multiple Capital Project Categories ........................................................................................................... 102
Detailed Instructions .............................................................................................................................................. 103
Guideway .......................................................................................................................................................... 103
Passenger Stations ........................................................................................................................................... 104
Station Criteria .............................................................................................................................................. 104
Administrative Buildings .................................................................................................................................... 104
Maintenance Buildings ...................................................................................................................................... 104
Revenue Vehicles ............................................................................................................................................. 104
Service Vehicles ................................................................................................................................................ 105
Fare Revenue Collection Equipment ................................................................................................................. 105
Communications and Information Systems ....................................................................................................... 105
Other ................................................................................................................................................................. 105
Line by Line Instructions for Uses of Capital form (F-20) ....................................................................................... 105
Rehabilitation/Reconstruction/Replacement/Improvements for Existing Transit Services ................................. 106
Expansion of Service ......................................................................................................................................... 107
Total of All Uses of Capital ................................................................................................................................ 108
Operating Expenses form (F-30) ................................................................................................................................ 110
Overview ................................................................................................................................................................ 111
Reporting Requirements and Thresholds .......................................................................................................... 111
What Has Changed from Prior Year .................................................................................................................. 111
Approach ........................................................................................................................................................... 111
Accrual Accounting ....................................................................................................................................... 111
Capital Maintenance Expenses..................................................................................................................... 111
Incidental Transit Service .............................................................................................................................. 111
Cost Allocation .............................................................................................................................................. 112
For-profit Service Contractors................................................................................................................... 113
Vanpools ....................................................................................................................................................... 114
Vehicle Leases and Depreciation Costs........................................................................................................ 114
Detailed Instructions .............................................................................................................................................. 115
Chart of Accounts for Modal Operating Expenses............................................................................................. 115
Functions ........................................................................................................................................................... 115
Vehicle Operations ........................................................................................................................................ 117
Vehicle Maintenance ..................................................................................................................................... 117
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Non-Vehicle Maintenance ............................................................................................................................. 118
General Administration.................................................................................................................................. 118
Object Classes .................................................................................................................................................. 119
Labor ............................................................................................................................................................. 120
Operators' Salaries and Wages ................................................................................................................ 120
Other Salaries and Wages........................................................................................................................ 120
Fringe Benefits .............................................................................................................................................. 121
Services ........................................................................................................................................................ 121
Materials and Supplies .................................................................................................................................. 122
Fuel and Lubricants .................................................................................................................................. 122
Tires and Tubes ........................................................................................................................................ 122
Other Materials and Supplies ................................................................................................................... 122
Utilities .......................................................................................................................................................... 122
Casualty and Liability Costs .......................................................................................................................... 123
Taxes ............................................................................................................................................................ 123
Purchased Transportation Service ................................................................................................................ 124
Filing in Report ......................................................................................................................................... 124
Filing Separate Report .............................................................................................................................. 124
Other Costs Incurred by the Buyer ........................................................................................................... 124
Relationship of Purchased Transportation Costs to Contractual Relationship form (B-30) ....................... 125
Miscellaneous Expenses............................................................................................................................... 125
Americans with Disabilities Act of 1990 Related Expenses (Complementary Paratransit)............................ 125
Line by Line Instructions for Operating Expenses form (F-30) ............................................................................... 126
Labor (501) ........................................................................................................................................................ 126
Materials and Supplies (504) ............................................................................................................................. 127
Purchased Transportation (508) ........................................................................................................................ 129
Operating Expenses Summary form (F-40) ............................................................................................................... 131
Overview ................................................................................................................................................................ 132
Reporting Requirements and Thresholds .......................................................................................................... 132
What Has Changed from Prior Year .................................................................................................................. 132
Approach ........................................................................................................................................................... 132
Funds Applied and Funds Not Applied .......................................................................................................... 132
Detailed Instructions .............................................................................................................................................. 132
Reconciling Items .............................................................................................................................................. 132
Americans with Disabilities Act of 1990 Related Expenses ............................................................................... 133
Line by Line Instructions for Operating Expenses Summary form (F-40) .............................................................. 134
Summarized Data from Operating Expenses form (F-30) ................................................................................. 134
Reconciling Items .............................................................................................................................................. 134
Statement of Finances form (F-60) ............................................................................................................................ 138
Overview ................................................................................................................................................................ 139
Reporting Requirements and Thresholds .......................................................................................................... 139
What Has Changed from Prior Year .................................................................................................................. 139
Approach ........................................................................................................................................................... 139
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2013 Urban Reporting Manual
Detailed Instructions .............................................................................................................................................. 139
Assets................................................................................................................................................................ 139
Cash (101) and Receivables (102) ............................................................................................................... 139
Cash and Cash Items (101) ...................................................................................................................... 139
Receivables (102)..................................................................................................................................... 140
Investments................................................................................................................................................... 141
Special Funds (141) ...................................................................................................................................... 141
Other Assets (151) ........................................................................................................................................ 141
Liabilities............................................................................................................................................................ 142
Long-Term Debt (221)................................................................................................................................... 142
Estimated Liabilities ...................................................................................................................................... 143
Estimated Long Term Pension Liabilities (231.01) ................................................................................... 143
Other Estimated Liabilities (231.02, 231.03) ............................................................................................. 143
Other Liabilities (201-211,241) ...................................................................................................................... 143
Trade Payables – Accounts Payable (201)............................................................................................... 143
Accrued Liabilities (202) ........................................................................................................................... 143
Accrued Tax Liabilities (203) .................................................................................................................... 143
Short-Term Debt (204).............................................................................................................................. 143
Other Current Liabilities (205)................................................................................................................... 144
Advances Payable (211)........................................................................................................................... 144
Deferred Credits (241) .............................................................................................................................. 144
Line by Line Instructions for Statement of Finances form (F-60) ........................................................................... 144
Asset Module .................................................................................................................................................... 146
Stations and Maintenance Facilities form (A-10) ............................................................................................... 146
Transit Way Mileage form (A-20)....................................................................................................................... 146
Revenue Vehicle Inventory form (A-30) ............................................................................................................ 146
Stations and Maintenance Facilities form (A-10) ........................................................................................................ 147
Overview ................................................................................................................................................................ 149
Reporting Requirements and Thresholds .......................................................................................................... 149
What Has Changed from Prior Year .................................................................................................................. 149
Approach ........................................................................................................................................................... 149
Passenger Stations ....................................................................................................................................... 149
Station Criteria .......................................................................................................................................... 149
Multi-Modal Stations ................................................................................................................................. 150
ADA Accessibility ...................................................................................................................................... 150
Maintenance Facilities................................................................................................................................... 150
Type.......................................................................................................................................................... 150
Ownership ................................................................................................................................................ 150
Size........................................................................................................................................................... 151
Shared Facilities ....................................................................................................................................... 151
Detailed Instructions .............................................................................................................................................. 151
Passenger Stations ........................................................................................................................................... 151
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Americans with Disabilities Act of 1990 Accessible Stations......................................................................... 151
Non-ADA Accessible Stations ....................................................................................................................... 151
Multi-Modal Passenger Stations ................................................................................................................... 152
Escalators and Elevators .............................................................................................................................. 152
Maintenance Facilities ....................................................................................................................................... 152
General Purpose Maintenance Facilities....................................................................................................... 152
Heavy Maintenance Facilities ....................................................................................................................... 153
Line by Line Instructions for Stations and Maintenance Facilities from (A-10)....................................................... 153
Passenger Stations ........................................................................................................................................... 153
Maintenance Facilities - Directly Operated Service ........................................................................................... 154
Maintenance Facilities - Purchased Transportation Service .............................................................................. 155
Transit Way Mileage form (A-20) ............................................................................................................................... 158
Overview ................................................................................................................................................................ 159
Reporting Requirements and Thresholds .......................................................................................................... 159
What Has Changed from Prior Year .................................................................................................................. 159
Approach ........................................................................................................................................................... 159
Guideway Classification ................................................................................................................................ 159
Bus Guideway Safe Operation ...................................................................................................................... 160
Multiple Modes or Types of Service on a Fixed Guideway Facility ............................................................... 161
Detailed Instructions .............................................................................................................................................. 161
Rail Modes ........................................................................................................................................................ 161
Track Construction ........................................................................................................................................ 161
Non-Rail Modes................................................................................................................................................. 162
Line by Line Instructions for Transit Way Mileage form (A-20) .............................................................................. 162
Rail Modes ........................................................................................................................................................ 162
Miles of Track by mode and type of service (TOS) ................................................................................... 162
Crossings by mode and TOS.................................................................................................................... 163
Non-Rail modes................................................................................................................................................. 163
Lane Miles by mode and TOS .................................................................................................................. 163
Revenue Vehicle Inventory form (A-30) ..................................................................................................................... 165
Overview ................................................................................................................................................................ 166
Reporting Requirements and Thresholds .......................................................................................................... 166
What Has Changed from Prior Year .................................................................................................................. 166
Approach ........................................................................................................................................................... 166
Vehicles Operating in Multiple Modes ........................................................................................................... 166
Purchased Transportation ............................................................................................................................. 166
Non-Dedicated Vehicles................................................................................................................................ 166
Grouping Vehicles by Like Characteristics (Sub-Fleet) ................................................................................. 167
Detailed Instructions .............................................................................................................................................. 167
Number of Vehicles in Total Fleet ..................................................................................................................... 168
Dedicated Fleet ................................................................................................................................................. 168
Vehicle Type...................................................................................................................................................... 168
Ownership ......................................................................................................................................................... 168
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Funding Source ................................................................................................................................................. 169
Year of Manufacture .......................................................................................................................................... 169
Year of Rebuild.................................................................................................................................................. 170
Manufacturer ..................................................................................................................................................... 170
Model................................................................................................................................................................. 172
Number of Active Vehicles in Fleet.................................................................................................................... 172
ADA Accessible Vehicles .................................................................................................................................. 172
Number of Emergency Contingency Vehicles ................................................................................................... 172
Fuel Type .......................................................................................................................................................... 172
Vehicle Length................................................................................................................................................... 173
Seating Capacity ............................................................................................................................................... 173
Standing Capacity ............................................................................................................................................. 173
Total Miles on Active Vehicles and Average Lifetime Mileage per Active Vehicle ............................................. 173
Total Miles on Active Vehicles during Period ................................................................................................ 173
Average Lifetime Mileage per Active Vehicle ................................................................................................ 173
Supports Another Mode..................................................................................................................................... 174
Delete Vehicle Fleet .......................................................................................................................................... 175
Line by Line Instructions for Revenue Vehicle Inventory form (A-30) .................................................................... 175
Vehicle Fleet Data ............................................................................................................................................. 175
Totals................................................................................................................................................................. 177
Service Module ................................................................................................................................................ 178
Service form (S-10) ........................................................................................................................................... 178
Fixed Guideway Segments form (S-20) ............................................................................................................ 178
Service form (S-10) .................................................................................................................................................... 179
Overview ................................................................................................................................................................ 186
Reporting Requirements and Thresholds .......................................................................................................... 186
What Has Changed from Prior Year .................................................................................................................. 186
Approach ........................................................................................................................................................... 186
Reporting by Time Period ............................................................................................................................. 186
Average Daily Totals................................................................................................................................. 186
Average Weekday Time Periods .............................................................................................................. 187
Annual Totals............................................................................................................................................ 189
Reporting for Rail and Non-Rail .................................................................................................................... 190
Detailed Instructions .............................................................................................................................................. 190
Maximum Service Vehicles ............................................................................................................................... 191
Vehicles Operated in Annual Maximum Service ........................................................................................... 191
Vehicles Available for Annual Maximum Service .......................................................................................... 191
Periods of Service ......................................................................................................................................... 193
Time Service Begins ..................................................................................................................................... 193
Time Service Ends ........................................................................................................................................ 193
Service Supplied ............................................................................................................................................... 194
Key Service Supplied Concepts .................................................................................................................... 194
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Revenue Service ...................................................................................................................................... 194
Deadhead ................................................................................................................................................. 194
Total Service............................................................................................................................................. 195
Determining Revenue and Total Service Statistics ................................................................................... 195
Scheduled and Actual Service .................................................................................................................. 196
Service Supplied (Non-Rail Modes) Instructions ...................................................................................... 196
Scheduled Fixed Route Services .............................................................................................................. 196
Vehicles in Operation................................................................................................................................ 197
Scheduled Vehicle Revenue Miles ........................................................................................................... 198
Charter Service and School Bus Hours .................................................................................................... 198
Modes Using Ferryboat Service ............................................................................................................... 198
Non-Scheduled Non-Fixed Route Services .............................................................................................. 198
Vehicles in Operation .................................................................................................................................... 198
Actual Vehicle Miles and Hours, Actual Vehicle Revenue Miles and Hours, Deadhead Miles and Hours .... 198
Scheduled Vehicle Revenue Miles ................................................................................................................ 199
Charter Service and School Bus Hours......................................................................................................... 199
Service Supplied (Rail Modes) Instructions ....................................................................................................... 200
Trains and Passenger Cars in Operation ...................................................................................................... 200
Actual Train and Passenger Car Miles and Hours, Actual Train and Passenger Car Revenue Miles and
Hours, Train and Passenger Car Deadhead Miles and Hours ...................................................................... 200
Scheduled Passenger Car Revenue Miles.................................................................................................... 201
Service Consumed ............................................................................................................................................ 202
Unlinked Passenger Trips ............................................................................................................................. 203
Passenger Miles Traveled Data .................................................................................................................... 203
Sampling Procedures and Requirements for Passenger Miles Traveled and Unlinked Passenger Trips ..... 203
100 Percent Count of Unlinked Passenger Trips and Passenger Miles Traveled..................................... 204
Passenger Miles Traveled Sampling ........................................................................................................ 204
Automatic Passenger Counters (APC) .......................................................................................................... 205
Sampling Cycles ........................................................................................................................................... 206
Reporting in Non-Mandatory Sampling Years ............................................................................................... 207
Service Operated (Days) ................................................................................................................................... 208
Directional Route Miles...................................................................................................................................... 208
Guideway Classification ................................................................................................................................ 209
Reporting Requirements ............................................................................................................................... 209
Line by Line Instructions for Service form (S-10) ................................................................................................... 209
Maximum Service Vehicles ............................................................................................................................... 210
Periods of Service ......................................................................................................................................... 210
Service Supplied ............................................................................................................................................... 211
Service Consumed ........................................................................................................................................ 215
Service Operated (Days)............................................................................................................................... 216
Directional Route Miles ................................................................................................................................. 217
Fixed Guideway Segments form (S-20) ..................................................................................................................... 218
Overview ................................................................................................................................................................ 219
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2013 Urban Reporting Manual
Reporting Requirements and Thresholds .......................................................................................................... 219
What Has Changed from Prior Year .................................................................................................................. 219
Approach ........................................................................................................................................................... 219
Guideway Classification ................................................................................................................................ 219
Directional Route Miles (DRM) ...................................................................................................................... 219
Average Monthly Directional Route Miles ................................................................................................. 220
Reporting Segments for Multiple Users and Modes ...................................................................................... 220
Modifying, Adding and Deleting FG segments .............................................................................................. 221
High Occupancy/Toll (HO/T) Lanes .............................................................................................................. 221
Use and Operation of HOV Facilities by HO/T Vehicles ........................................................................... 221
Minimum Speed Requirements HO/T lanes ............................................................................................. 221
Detailed Instructions .............................................................................................................................................. 221
Required Data Fields ......................................................................................................................................... 221
Segment Code – Applies to all Modes .......................................................................................................... 221
Status Code (First Column) – Applies to all Modes ....................................................................................... 222
Status Code (Second Column) – Applies to all Modes ................................................................................. 222
Status Code (Third Column) – Applies to all Modes ..................................................................................... 222
Urbanized Area – Applies to all Modes ......................................................................................................... 222
Segment Name – Applies to all Modes ......................................................................................................... 222
Begins At – Applies to all Modes ................................................................................................................... 222
Ends At – Applies to all Modes ..................................................................................................................... 222
Length – Applies to all Modes ....................................................................................................................... 222
One-Way/Two-Way – Applies to all Modes ................................................................................................... 223
Segment Type – Applies to CB, MB, and RB Modes Only ............................................................................ 223
Bus Rapid Transit ..................................................................................................................................... 223
Peak Level of Service – Applies to CB, MB, and RB Modes Only ................................................................ 224
Safe Operation – Applies to Bus Only ........................................................................................................... 224
Hours Prohibited – Applies to CB, MB, RB, and TB Modes Only .................................................................. 226
Enforced/Prohibited – Applies to CB, MB, and RB Modes Only.................................................................... 226
Original Date of Revenue Service – Applies to all Modes ............................................................................. 226
Agency Revenue Service Start Date – Applies to all Modes ......................................................................... 226
Out of Revenue Service Date – Applies to all Modes ................................................................................... 226
Months Operated – Applies to all Modes ...................................................................................................... 226
Type of Service Claimed – Applies to all Modes ........................................................................................... 227
NTD Agency Claiming Segment – Applies to all Modes................................................................................ 227
Statutory BRT – Applies to RB Mode ............................................................................................................ 227
Modify/Delete Segment Data – Applies to all Modes .................................................................................... 227
Directional Route Miles Summaries .................................................................................................................. 227
Commuter Bus (CB), Bus (MB) and Bus Rapid Transit (RB) ........................................................................ 227
Trolleybus (TB) ............................................................................................................................................. 228
Rail, Ferryboat and Aerial Tramway .............................................................................................................. 229
Modifying, Adding and Deleting FG segments .................................................................................................. 229
Modify Existing Segment Data ...................................................................................................................... 229
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Add Pre-Existing and New Segment Data .................................................................................................... 230
Delete Segment Data ........................................................................................................................................ 231
Line by Line Instructions for Fixed Guideway Segments form (S-20) – Bus (CB,MB) ........................................... 231
.25 Miles or Less Segments .............................................................................................................................. 232
Directional Route Miles Summary ..................................................................................................................... 234
Fixed Guideway (Busway/Bus Lane) ............................................................................................................ 234
All Levels of Service (LOS) ....................................................................................................................... 234
Levels of Service (LOS) D, E, F ................................................................................................................ 234
LOS D, E, F and > 7 years at Federal Fiscal Year End ............................................................................ 235
High Intensity Motorbus (Shared Use – HOV – HO/T) .................................................................................. 235
All Levels of Service (LOS) ....................................................................................................................... 235
LOS D, E, F and > 7 years at Federal Fiscal Year End ............................................................................ 235
Line by Line Instructions for Fixed Guideway Segments form (S-20) – Bus Rapid Transit (RB) ........................... 235
.25 Miles or Less Segments .............................................................................................................................. 236
Directional Route Miles Summary ..................................................................................................................... 238
Fixed Guideway (Busway / Bus Lane) .......................................................................................................... 238
All Levels of Service (LOS) ....................................................................................................................... 238
Levels of Service (LOS) D, E, F ................................................................................................................ 239
LOS D, E, F and > 7 years at Federal Fiscal Year End ............................................................................ 239
High Intensity Motorbus (Shared Use – HOV – HO/T) .................................................................................. 239
All Levels of Service ................................................................................................................................. 239
LOS D, E, F and > 7 years at Federal Fiscal Year End ............................................................................ 239
Line by Line Instructions for Fixed Guideway Segments form (S-20) – Trolleybus ................................................ 240
Directional Route Miles Summary ..................................................................................................................... 241
All Segments > Seven Years @ Federal Fiscal Year End (FFYE) ................................................................ 242
Line by Line Instructions for Fixed Guideway Segments form (S-20) – Rail, Ferryboat, Aerial Tramway .............. 243
Special Note Regarding Ferryboat (FB) DRM ................................................................................................... 243
Directional Route Miles Summary ..................................................................................................................... 244
All Segments > Seven Years @ Federal Fiscal Year End (FFYE) ................................................................ 245
Resource Module ........................................................................................................................................... 246
Employees form (R-10) ..................................................................................................................................... 246
Maintenance Performance form (R-20) ............................................................................................................. 246
Energy Consumption form (R-30)...................................................................................................................... 246
Employees form (R-10) .............................................................................................................................................. 247
Overview ................................................................................................................................................................ 248
Reporting Requirements and Thresholds .......................................................................................................... 248
What Has Changed from Prior Year .................................................................................................................. 248
Approach ........................................................................................................................................................... 248
Employees .................................................................................................................................................... 248
Employee Work Hours and Counts ............................................................................................................... 249
Relationship of Employees form to Other NTD forms ................................................................................... 250
Detailed Instructions .............................................................................................................................................. 250
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2013 Urban Reporting Manual
Labor Classification ........................................................................................................................................... 250
Operating Labor ............................................................................................................................................ 250
Capital Labor................................................................................................................................................. 253
Employee Work Hours and Counts ................................................................................................................... 253
Employee Work Hours .................................................................................................................................. 253
Actual Person Count ..................................................................................................................................... 253
Line by Line Instructions for Employees form (R-10) ............................................................................................. 254
Labor Classifications ......................................................................................................................................... 254
Operating Labor........................................................................................................................................ 254
Maintenance Performance form (R-20) ...................................................................................................................... 257
Overview ................................................................................................................................................................ 258
Reporting Requirements and Thresholds .......................................................................................................... 258
What Has Changed from Prior Year .................................................................................................................. 258
Approach ........................................................................................................................................................... 258
Detailed Instructions .............................................................................................................................................. 258
Major Mechanical System Failures .................................................................................................................... 258
Other Mechanical System Failures .................................................................................................................... 258
Line by Line Instructions for Maintenance Performance form (R-20) ..................................................................... 260
Revenue Vehicle System Failures ..................................................................................................................... 260
Energy Consumption form (R-30) .............................................................................................................................. 261
Overview ................................................................................................................................................................ 262
Reporting Requirements and Thresholds .......................................................................................................... 262
What Has Changed from Prior Year .................................................................................................................. 262
Approach ........................................................................................................................................................... 262
Relationship of Energy Consumption to Other NTD Forms........................................................................... 262
Detailed Instructions .............................................................................................................................................. 262
Rail Modes ........................................................................................................................................................ 262
Energy Type .................................................................................................................................................. 262
Non-Rail Modes................................................................................................................................................. 262
Energy Type .................................................................................................................................................. 263
Hybrid Vehicles ............................................................................................................................................. 263
Dual Fuel .................................................................................................................................................. 263
CNG/Hydrogen Conversion .......................................................................................................................... 263
Line by Line Instructions Energy Consumption form (R-30) .................................................................................. 264
Energy Type – By Mode for all lines .................................................................................................................. 264
Federal Funding Allocation Statistics Module ............................................................................................................ 266
Federal Funding Allocation Statistics form (FFA-10) ......................................................................................... 266
Federal Funding Allocation Statistics form (FFA-10) ............................................................................................. 267
Overview ................................................................................................................................................................ 270
Urbanized Area Formula Program ..................................................................................................................... 270
STIC (Small Transit Intensive City) Funding...................................................................................................... 270
State of Good Repair......................................................................................................................................... 270
Bus and Bus Facilities (§5339) .......................................................................................................................... 271
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2013 Urban Reporting Manual
Rural Formula Program (§5311)........................................................................................................................ 271
Reporting Requirements and Thresholds .......................................................................................................... 271
What Has Changed from Prior Year .................................................................................................................. 271
Approach ........................................................................................................................................................... 271
Mode of Service ............................................................................................................................................ 271
Census UZAs and Non-UZAs Served by Transit .......................................................................................... 272
Detailed Instructions .............................................................................................................................................. 272
Urbanized Area Number .................................................................................................................................... 273
Urbanized Area and Other than Urbanized Area Reporting Method ................................................................. 273
Reporting Rules for More than One Urbanized Area and Other than Urbanized Areas ................................ 274
Bus Fixed Guideway / High Intensity Bus Operations ....................................................................................... 277
Reporting Bus, Bus Rapid Transit and Commuter Bus Statistics for Fixed and for Non-Fixed Guideway .... 277
Multiple Operators or Types of Service on the Same Fixed Guideway/High Intensity Bus Lane .................. 278
Fixed Guideway Segments at least Seven Federal Fiscal Years Old ........................................................... 278
High Intensity Bus Segments at least Seven Federal Fiscal Years Old ........................................................ 278
Line by Line Instructions for Federal Funding Allocation Statistics form (FFA-10) ................................................. 279
Annual Total ...................................................................................................................................................... 279
Urbanized Area Formula Program – Fixed Guideway ....................................................................................... 280
Urbanized Area Formula Program – Non-Fixed Guideway ............................................................................... 281
State of Good Repair Program .......................................................................................................................... 282
Declarations Module .................................................................................................................................... 284
Declarations ........................................................................................................................................................... 284
Reporting Requirements and Thresholds .......................................................................................................... 284
What Has Changed from Prior Year .................................................................................................................. 284
Chief Executive Officer Certification (D-10) form........................................................................................................ 285
Overview ................................................................................................................................................................ 287
Overall Report ................................................................................................................................................... 287
Federal Funding Allocation Data ....................................................................................................................... 287
Independent Auditor Statement for Financial Data (IAS-FD) ............................................................................. 287
Independent Auditor Statement for Federal Funding Allocation Data (IAS-FFA)............................................... 288
Passenger Miles Traveled (PMT) Data ............................................................................................................. 288
Unlinked Passenger Trip (UPT) Data ................................................................................................................ 288
Chief Executive Officer Certification form (D-10) ............................................................................................... 289
Line by Line Instructions for CEO Certification form (D-10) ................................................................................... 289
Independent Auditor Statements ................................................................................................................................ 292
Independent Auditor Statement for Financial Data (IAS-FD) ............................................................................. 292
Overview ....................................................................................................................................................... 292
Suggested Format ........................................................................................................................................ 292
Independent Auditor Statement for Federal Funding Allocation Data (IAS-FFA)............................................... 294
Overview ....................................................................................................................................................... 294
Suggested Procedures.................................................................................................................................. 294
Fixed Guideway ............................................................................................................................................ 298
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2013 Urban Reporting Manual
High Occupancy / Toll Lanes .................................................................................................................... 298
High Intensity Bus ..................................................................................................................................... 298
New and Modified Fixed Guideway Segments ......................................................................................... 299
Deleted Segments .................................................................................................................................... 299
Suggested Format ........................................................................................................................................ 299
List of Exhibits
Exhibit 1 — FY 2013 Annual Reporting Changes and Clarifications ..............................................................................5
Exhibit 2 — Continuing Requirements ...........................................................................................................................6
Exhibit 3 — Small Systems Waiver Eligibility .................................................................................................................8
Exhibit 4 — Summary of NTD Reporting Requirements .............................................................................................. 11
Exhibit 5 — Accrual Accounting ................................................................................................................................... 13
Exhibit 6 — NTD Annual Reporting Timelines ............................................................................................................. 14
Exhibit 7 — NTD Contact Information .......................................................................................................................... 15
Exhibit 8 — New Agency Reporting Timeline ............................................................................................................... 16
Exhibit 9 — NTD Reference Documents ...................................................................................................................... 19
Exhibit 10 — Issue Status ............................................................................................................................................ 29
Exhibit 11 — Organization Type menu selections ........................................................................................................ 40
Exhibit 12 — Modes of Public Transportation .............................................................................................................. 43
Exhibit 13 — Bus Type menu selections ...................................................................................................................... 47
Exhibit 14 — Contractual Relationship Reporting ........................................................................................................ 59
Exhibit 15 — B-30 Reporting – Contractor Keeps Fares .............................................................................................. 61
Exhibit 16 — B-30 Reporting – Buyer Keeps Fares ..................................................................................................... 62
Exhibit 17 — Purchased Transportation Services Reporting — Transit Agency X (User-Side Subsidy Program) ....... 63
Exhibit 18 — Purchased Transportation Services Reporting — Public Transit Agency Y (Brokerage System) ........... 64
Exhibit 19 — Relationship of B-30 Information to Other Forms .................................................................................... 65
Exhibit 20 — Reporting Funding Sources .................................................................................................................... 74
Exhibit 21 — Reporting Loans ..................................................................................................................................... 81
Exhibit 22 — Reporting Project Need Classification................................................................................................... 102
Exhibit 23 — Reporting Predominant Use .................................................................................................................. 103
Exhibit 24 — Allocating Joint Expenses ..................................................................................................................... 113
Exhibit 25 — Allocating Joint Expenses ..................................................................................................................... 113
Exhibit 26 — Accounting for the Contractor’s Profit ................................................................................................... 114
Exhibit 27 — Function Equivalency ............................................................................................................................ 116
Exhibit 28 — Agency Types that Complete the F-60.................................................................................................. 139
Exhibit 29 — Reporting Passenger Stations .............................................................................................................. 149
Exhibit 30 — Serves versus Capacity ........................................................................................................................ 153
Exhibit 31 — Reporting Maintenance Facilities .......................................................................................................... 153
Exhibit 32 — Calculating Track Miles ......................................................................................................................... 161
Exhibit 33 — Calculating Lane Miles .......................................................................................................................... 162
Exhibit 34 — Calculating Lane Miles and Guideway Classification Examples ........................................................... 162
Exhibit 35 — Vehicle Type menu selections .............................................................................................................. 168
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2013 Urban Reporting Manual
Exhibit 36 — Ownership menu selections .................................................................................................................. 169
Exhibit 37 — Funding Source menu selections .......................................................................................................... 169
Exhibit 38 — Year of Manufacture versus Model Year............................................................................................... 170
Exhibit 39 — Rail Manufacturer Codes ...................................................................................................................... 170
Exhibit 40 — Non-Rail Manufacturer Codes .............................................................................................................. 171
Exhibit 41 — Manufacturer versus Model .................................................................................................................. 172
Exhibit 42 — Fuel Type menu selections ................................................................................................................... 172
Exhibit 43 — Reporting Total Mileage During Period and Average Lifetime Mileage per Active Vehicle ................... 174
Exhibit 44 — Reporting Total Mileage During Period and Average Lifetime Mileage per Active Vehicle ................... 174
Exhibit 45 — Computing Average Daily Data ............................................................................................................. 187
Exhibit 46 — Requirements for Weekday Periods ..................................................................................................... 188
Exhibit 47 — Classifying Vehicle Trips by Period ....................................................................................................... 189
Exhibit 48 — Computing Annual Total Data ............................................................................................................... 190
Exhibit 49 — Vehicles Operated in Maximum Service and Vehicles Available in Maximum Service ......................... 192
Exhibit 50 — Trains in Operation and Passenger Cars in Operation ......................................................................... 193
Exhibit 51 — Calculating Vehicle Revenue and Vehicle Hours and Miles for Peak Periods ...................................... 196
Exhibit 52 — Accounting for Miles and Hours for Bus Service ................................................................................... 197
Exhibit 53 — Accounting for Miles and Hours for Demand Response Service .......................................................... 199
Exhibit 54 — Calculating Actual Train and Passenger Car Statistics ......................................................................... 201
Exhibit 55 — Accounting for Miles and Hours for Rail Service ................................................................................... 202
Exhibit 56 — Sampling Cycle Requirements .............................................................................................................. 207
Exhibit 57 — Using Average Trip Length to Estimate Passenger Miles Traveled Data.............................................. 208
Exhibit 58 — Calculating Directional Route Miles ...................................................................................................... 209
Exhibit 59 — Calculating Directional Route Miles ...................................................................................................... 220
Exhibit 60 — Segment Type Menu Selections ........................................................................................................... 223
Exhibit 61 — Segment Type Examples ...................................................................................................................... 223
Exhibit 62 — Peak LOS Menu Selections .................................................................................................................. 224
Exhibit 63 — Safe Operation Requirements .............................................................................................................. 225
Exhibit 64 — Safe Operation Menu Selections .......................................................................................................... 226
Exhibit 65 — Guidelines for Determining Whether an Individual is an Employee ...................................................... 249
Exhibit 66 — Hours Worked ....................................................................................................................................... 249
Exhibit 67 — Employee Operating Labor Classifications — Chapter 6 of Uniform System of Accounts .................... 250
Exhibit 68 — Work Hours and Allocated Person Count ............................................................................................. 253
Exhibit 69 — Revenue Vehicle System Failure Reporting ......................................................................................... 259
Exhibit 70 — Revenue Vehicle System Failure Reporting ......................................................................................... 260
Exhibit 71 — Compressed Natural Gas Conversion Factors ..................................................................................... 264
Exhibit 72 — Compressed Natural Gas Conversion .................................................................................................. 264
Exhibit 73 — Federal Funding Allocation Statistics Form Corresponding Data .......................................................... 272
Exhibit 74 — Funding Source menu selections .......................................................................................................... 273
Exhibit 75 — Reporting Exclusively Urban or Exclusively Rural Trips........................................................................ 274
Exhibit 76 — Reporting Trips Between Two UZAs ..................................................................................................... 275
Exhibit 77 — Reporting Trips Between a UZA and a Non-UZA ................................................................................. 275
Exhibit 78 — Reporting Trips Between two Large UZAs ............................................................................................ 276
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2013 Urban Reporting Manual
Exhibit 79 — Reporting Trips Between two Small UZAs ............................................................................................ 276
Exhibit 80 — Reporting Bus Statistics for Fixed and for Non-Fixed Guideway .......................................................... 278
Exhibit 81 — Annual Declaration Requirements ........................................................................................................ 284
Exhibit 82 — Independent Auditor Statement for Financial Data — Suggested Format ............................................ 293
Exhibit 83 — Federal Funding Allocation Data Review — Suggested Procedures .................................................... 295
Exhibit 84 — Independent Auditor Statement for Federal Funding Allocation Data — Suggested Format ................ 300
xx — Table of Contents
2013 Urban Reporting Manual
Introduction
This section provides an overview of the National Transit Database (NTD) reporting requirements, including the following:
What is the National Transit Database?
A discussion of the legislative basis for the NTD reporting system
Reporting Manuals and Modules
A description of individual data modules and their specified reporting manuals
FY 2013 Annual Reporting Changes and Clarifications
A summary of the changes in reporting requirements implemented in the 2013 NTD
Who Reports, What to Report, How to Report, When to Report, and Where to Report
Answers to basic reporting questions
New Reporters
A discussion of the unique requirements for transit agencies completing their first NTD report
Reference Information
Key definitions, reference resources and publications for further details on issues related to reporting
Introduction — 1
2013 Urban Reporting Manual
What is the National Transit Database?
The NTD was established by Congress to be the nation’s primary source for information and statistics on the transit systems
of the United States. Recipients or beneficiaries of grants from the Federal Transit Administration (FTA) under the Urbanized
Area Formula Program (§5307) or Other than Urbanized Area (Rural) Formula Program (§5311) are required by statute to
submit data to the NTD. Over 750 transit providers in urbanized areas currently report to the NTD through an Internet-based
reporting system. Each year, NTD performance data are used to apportion over $6 billion of FTA funds to transit agencies in
urbanized areas (UZAs) and rural areas. Annual NTD reports summarizing transit service and safety data collected during
the year are submitted to Congress for review and use.
Legislative Requirement
The legislative requirement for the NTD is found in Title 49 U.S.C. 5335(a), which reads as follows:
SECTION 5335 National transit database
(a) NATIONAL TRANSIT DATABASE.— To help meet the needs of individual public transportation systems, the United
States Government, State and local governments, and the public for information on which to base public transportation
service planning, the Secretary of Transportation shall maintain a reporting system, using uniform categories to
accumulate public transportation financial and operating information and using a uniform system of accounts. The
reporting and uniform systems shall contain appropriate information to help any level of government make a public
sector investment decision. The Secretary may request and receive appropriate information from any source.
(b) REPORTING AND UNIFORM SYSTEMS.— The Secretary may award a grant under Section 5307 or 5311 only if
the applicant and any person that will receive benefits directly from the grant, are subject to the reporting and uniform
systems.
(c) DATA REQUIRED TO BE REPORTED.— The recipient of a grant under this chapter shall report to the Secretary, for
inclusion in the National Transit Database, any information relating to a transit asset inventory or condition assessment
conducted by the recipient.
The NTD reporting system evolved from the transit industry-initiated Project FARE (Uniform Financial Accounting and
Reporting Elements). Both the private and public sectors have recognized the importance of timely and accurate data in
assessing the continued progress of the nation's public transportation systems.
Funding for Transit Agencies Serving Urbanized Areas
The NTD data are used in the formula allocations of federal transit funds. For urbanized areas with a population over
200,000, NTD data are used in the formula allocation of federal transit funds for the Urbanized Area Formula Program
(§5307), the State of Good Repair Program (§5337), and for the Bus and Bus Facilities Formula (§5339). NTD data for
urbanized areas with populations fewer than 200,000 are also used in the allocation of federal transit funding.
For urbanized areas with a population under 200,000, 1.5% of the funds for Section 5307 are allocated according to the
Small Transit Intensive Cities (STIC) formula. Under the formula for STIC, funds are apportioned to UZAs with populations
fewer than 200,000 that meet or exceed the average level of service for all UZAs with populations between 200,000 and
1,000,000 for one of more of the following six measures, all of which use reported NTD data:
•
Passenger miles traveled per vehicle revenue mile;
•
Passenger miles traveled per vehicle revenue hour;
•
Vehicle revenue miles per capita;
•
Vehicle revenue hours per capita;
•
Passenger miles traveled per capita; and
•
Passengers per capita.
For more information on the FTA funding program for urbanized areas, contact your regional administrator or go to
www.fta.dot.gov.
2 — Introduction
2013 Urban Reporting Manual
Reporting Manuals and Modules
The National Transit Database (NTD) Reporting Manual is divided into five reporting modules, each comprised of a series of
data modules, as described below:
•
•
•
NTD Urban Reporting Manual, which includes:
o
Basic Information Module;
o
Financial Module;
o
Asset Module;
o
Service Module;
o
Resource Module;
o
Federal Funding Allocation Statistics Module; and
o
Declarations;
NTD Small Systems Waiver Reporting Manual, which includes:
o
Basic Information Module;
o
Asset Module;
o
Small Systems Module;
o
Federal Funding Allocation Statistics Module; and
o
Declarations;
NTD Monthly Reporting Manual, which includes:
o
•
•
Monthly Ridership forms;
NTD Safety and Security Reporting Manual, which includes:
o
Safety and Security forms; and
o
Chief Executive Officer Certification; and
NTD Rural Reporting Manual (exclusively rural reporters), which includes:
o
Rural forms.
Introduction — 3
2013 Urban Reporting Manual
FY 2013 Annual Reporting Changes and Clarifications
In its ongoing efforts to improve upon the NTD Internet Reporting system and to be responsive to the needs of the transit
agencies reporting to NTD and the transit community, FTA continues to refine and clarify reporting requirements and Internet
Reporting.
Reporting changes for the 2013 NTD are highlighted in the following exhibit. Specific changes are discussed in detail in the
applicable sections of this manual.
4 — Introduction
2013 Urban Reporting Manual
Exhibit 1 — FY 2013 Annual Reporting Changes and Clarifications
Section/Module
Form
Changes
Introduction
No material changes.
Internet Reporting
No material changes.
Basic Information
Module
Financial Module
Asset Module
Contractual Relationship
form (B-30)
•
Revision of primary contract payment feature;
•
Revision of other contract features; and
•
Addition of vehicle leases expenses to operating expenses.
Reporting Providing Public
Funds to Form (B-70)
This form was removed.
Sources of Funds – Funds
Expended and Funds
Earned Form (F-10)
One change:
Operating Expenses form
(F-30)
One change:
Transit Way Mileage Form
(A-20)
Two changes:
Service Form (S-10)
Resource Module
Declarations
Module
Addition of two contract types: competitively-bid and negotiated;
This form was removed.
Fixed Guideway Segments
Form (S-20)
Federal Funding
Allocation
Statistics Module
•
Reporter Receiving Public
Funds from Form (B-60)
Revenue Vehicle Inventory
Form (A-30)
Service Module
Four changes:
•
•
Addition of three new MAP-21 funding programs: MAP-21 Fixed
Guideway Capital Investment (§5309), State of Good Repair
(§5337), and Bus and Bus Facilities Formula (§5339)
Expense transfers have been eliminated
•
Addition of fixed guideway lane miles for bus rapid transit; and
•
Revision of categories of lane miles for bus and commuter bus.
Two changes:
•
New fuel code for hydrogen; and
•
Elimination of fuel code for grain additives.
Two changes:
•
Revision of the directional route mile categories for bus rapid
transit; and
•
Revision of the directional route mile categories for bus and
commuter bus.
Two changes:
•
Revision of segment types for bus, bus rapid transit and
commuter bus; and
•
Revision of summary calculation categories for bus, bus rapid
transit, and commuter bus.
No changes
Federal Funding Allocation
Statistics form (FFA-10)
Two changes:
•
Revision of data categories for State of Good Repair (§5337) and
Bus and Bus Facilities Formula (§5339) funding for bus rapid
transit; and
•
Revision of data categories for State of Good Repair (§5337) and
Bus and Bus Facilities Formula (§5339) funding for bus and
commuter bus.
No changes.
Introduction — 5
2013 Urban Reporting Manual
Who Reports
If you are a transit provider, state, or Metropolitan Planning Organization (MPO) that receives Urbanized Area Formula
Program (§5307) grants, or that directly benefits from these grants, you must report to the NTD or coordinate the submittal of
data to the NTD on your behalf. The requirement to report begins in the year after you apply for a §5307 grant, or in the year
in which benefits are first received from a §5307 grant, whichever is sooner. The reporting requirement lasts for as long as
either the §5307 application remains open, or throughout the minimum useful life of any capital assets purchased with §5307
grant funds, whichever is longer.
Please note that this means that you may be required to report in a year in which no §5307 grant funds were received. An
NTD reporter that is no longer required to report to the NTD should continue to file NTD reports if that reporter intends to
apply for a §5307 grant in the future. Exhibit 2 below contains an example of these continued reporting requirements.
Exhibit 2 — Continuing Requirements
Example: A transit agency purchases a vehicle with funds from an Urbanized Area Formula Program (§5307) grant. The vehicle, a
40-foot bus, has a useful life of 12 years or 500,000 miles.
Solution: The transit agency must report under the NTD program throughout the useful life of the vehicle regardless of whether or
not the transit agency receives Urbanized Area Formula Program (§5307) grant funds during a particular year of that period.
Recipients or direct beneficiaries from Other than Urbanized Area Program (§5311) grants are also required to report to the
NTD under the streamlined Rural NTD reporting requirements. Please consult the Rural NTD Reporting Manual for more
information on these requirements. Agencies that receive both §5311 and §5307 grants must report to the urban module of
NTD, pursuant to this Urban Reporting Manual.
A complete understanding of who must submit an NTD report requires an understanding of the following:
•
Purchased transportation services;
•
Consolidated NTD reporters;
•
Voluntary reporters; and
•
Extensions, waivers and special requests.
Purchased Transportation Services
The NTD operates under a “you buy it, you report it” rule. Thus, sellers of purchased transportation (PT) services are
generally not required to report to the NTD – data for the service are generally reported by the agency purchasing the
service (buyer).
Please see Basic Information Module for further discussion on reporting transit services through PT or memorandum of
understanding agreements.
Consolidated NTD Reporters
Consolidated NTD reporters are a collection of transit agencies filing one report. One reporter may file a consolidated report
on behalf of other reporters if it is easier to collect and control the quality of the data. This often occurs when one transit
agency coordinates the development and funding of public transportation services in an area. Transit agencies filing a
consolidated report must operate within the same UZA.
Transit agencies that wish to file a consolidated report must submit a request to FTA in writing. Such requests for
consolidations are subject to FTA approval and must include the following:
•
Names of all transit agencies to be included;
•
Fiscal year end dates for the transit agencies;
•
Previous/current NTD identification numbers (NTD IDs) of the transit agencies, as appropriate; and
•
Fiscal year to be covered for the first consolidated report.
Consolidation requests are subject to review and approval by FTA and are not granted automatically. FTA will notify you, in
writing, via the e-File tab, if your request is approved.
6 — Introduction
2013 Urban Reporting Manual
Voluntary Reporters
FTA encourages all providers of transit service in urbanized areas to report to the NTD, regardless of whether they are public
or private, and regardless of whether or not they receive or benefit from §5307 grants. To be accepted as a voluntary
reporter in the NTD, you must be a provider of transit services in at least one urbanized area (UZA), and be able to comply
with all of the NTD reporting requirements and the Uniform System of Accounts (USOA).
All urbanized area NTD reporters are required to comply with all NTD requirements for the Annual, Monthly, and Safety &
Security Modules. Please refer to the Monthly Reporting Manual and the Safety & Security Reporting Manual for information
on the reporting requirements of those modules.
Extensions, Waivers and Special Requests
This section describes the available extensions, waivers, and special requests and discusses eligibility requirements and
procedures. Unless otherwise stated below, all requests must be received by the NTD at least 60 days prior to the report
due date via the e-File tab. You should refer to the NTD Annual Reporting Timelines exhibit in this section under When to
Report to determine actual due dates.
Extensions, waivers and special requests are subject to review and approval by FTA and are not granted automatically. FTA
will notify you, in writing, via the e-File tab, if your request is granted or rejected.
Extension Requests
The NTD allows for a 30-day filing deadline extension for transit providers that experience unusual or unforeseen
circumstances (good cause) that prevent them from meeting the regular deadline. Filing deadline extension requests must
be requested in writing prior to the report due date, and FTA will provide written approval or denial of the request. Please
note that filing deadline extension requests are discretionary; they are not automatic.
To request an extension, you should submit a letter from your chief executive officer (CEO) through the e-File that:
•
Fully describes the situation that prevents you from submitting by the regular deadline; and
•
Requests a filing deadline extension of up to 30 days for the current report year.
You should refer to the NTD Annual Reporting Timelines exhibit in this section under When to Report to determine report
due dates.
Waivers and Special Requests
There are eight types of waivers or adjustments that may be requested:
•
Small Systems Waiver – 30 or Fewer Vehicles;
•
Grants Waivers for Planning and Capital;
•
Disaster Hold Harmless Adjustment;
•
Data;
•
Reporting;
•
Passenger miles traveled (PMT) sampling;
•
Independent Auditor Statement for Financial Data (IAS — FD); and
•
Hold Harmless Adjustment for Strikes.
Waivers are normally granted for only one year, except in extraordinary circumstances. Therefore, recipients or beneficiaries
of §5307 grants must request waivers each year.
This section also discusses extension requests and the requirements and procedures for special requests relating to strikes.
Small Systems Waiver – 30 or Fewer Vehicles
A transit provider that operates 30 or fewer vehicles that is granted a Small Systems Waiver may submit a report with
significantly reduced reporting requirements. There are two eligibility requirements:
•
30 or fewer vehicles operated in annual maximum service (VOMS) across all modes for both directly operated (DO)
and PT services; and
•
No portions of the service are either fixed guideway (FG) or high intensity bus (HIB).
Introduction — 7
2013 Urban Reporting Manual
The reporting requirements for this waiver can be found in the separate Small Systems Waiver Reporting Manual.
The following Exhibit illustrates eligibility criteria for Small Systems Waiver 30 or Fewer Vehicles.
Exhibit 3 — Small Systems Waiver Eligibility
Requirement: 30 or fewer vehicles operated in annual maximum service (VOMS) across all non-fixed guideway (NFG) modes
and types of service (TOS).
Eligible non-fixed guideway (NFG) modes: Bus (MB, CB) on mixed traffic right-of-way (ROW), demand response (DR),
demand response taxi (DT), jitney (JT), publico (PB) and vanpool (VP).
Example 1: Transit agency A directly operates 15 buses (mixed traffic ROW) and contracts for 15 DR vehicles =30 VOMS.
Eligible? Yes. The total across all modes is 30 VOMS; therefore transit agency A is eligible for a 30 or Fewer Small Systems
Waiver.
Example 2: Transit agency B directly operates 14 buses (mixed traffic ROW) and contracts for 17DR vehicles = 31 VOMS.
Eligible? No. Though each service is less than 30 VOMS, the total across all modes and types of service is 31 VOMS
Example 3: Transit agency C directly operates 29 automated guideway (MG) vehicles = 29 VOMS.
Eligible? No. Though the service is less than 30 VOMS, MG is fixed guideway (FG); therefore transit agency C is not eligible for
a 30 or Fewer Small Systems Waiver.
A 30 or Fewer Waiver will not affect your funding eligibility for §5307 grants, but may affect the amount of funding your UZA
receives because you will not report passenger miles. Passenger miles are a formula variable in the Urbanized Area
Formula Program. If your reporting agency serves an urbanized area with a population of more than 200,000, the agency will
not receive funding in the bus incentive tier. If the reporting agency serves an urbanized area with a population under
200,000, it will not be eligible to receive Small Transit Intensive Cities (STIC) funding for three of the six factors used to
allocate STIC funds because these factors involve passenger miles.
You should refer to the NTD Annual Reporting Timelines exhibit in this section under When to Report to determine actual
due dates for submitting the Small Systems Waiver – 30 or Fewer Vehicles request.
Please refer to the Small Systems Waiver Reporting Manual for further instructions on this type of waiver.
Grants Waivers for Planning and Capital
An organization that receives or benefits from §5307 funds, but does not have any transit operations, may request a waiver
from certain NTD reporting requirements. Typically, this organization is using the §5307 funds for planning or capital
investment. Recipients of the Planning Grants Waiver must still submit an identification form (B-10) and a contacts form (B20) to the NTD. Recipients of the Capital Grants Waiver must still submit a B-10 form, B-20 form, Sources of Funds – Funds
Expended and Funds Earned form (F-10), and Uses of Capital form (F-20) to the NTD.
This waiver is only granted for one year, and is never granted for multiple years. Recipients or beneficiaries of §5307
grants without transit operations must request this waiver each year.
To request a Planning or Capital Grants Waiver, you must submit a letter from your CEO that:
•
States that your organization receives §5307 funding, but has no transit operations (Planning Grants Waivers);
•
Describes how the organization uses the §5307 funding, either for planning or capital investment (Capital Grants
Waivers); and
•
Requests the Grants Waiver for Planning or Capital for the current report year.
If FTA grants your agency a waiver:
•
You must follow the USOA accounting requirements for revenues and expenses (available on the NTD website at
www.ntdprogram.gov, under Publications, Reference Materials); and
•
You must meet any requirements stipulated in federal or state grants.
You should refer to the NTD Annual Reporting Timelines exhibit in this section under When to Report to determine actual
due dates for submitting the Planning or Capital Grants Waiver.
8 — Introduction
2013 Urban Reporting Manual
Natural Disaster Hold Harmless Adjustment
If a transit provider suffers a marked decrease in transit service due to a natural or man-made disaster, either the transit
provider or the designated recipient for an urbanized area may make a request to be ‘‘held harmless’’ in the apportionment of
formula grants for urbanized areas. The request for a Hold Harmless Adjustment must demonstrate that the transit agency
meets all three of the following criteria:
•
A federal disaster declaration was in place for all or part of your service area for all or part of the report year;
•
The decrease in transit service is a direct result of the disaster; and
•
The decrease in transit service is temporary, thus the reduced transit service levels are not reflective of the true
transit needs of the urbanized area.
Disaster Hold Harmless Adjustments are not automatic and are granted at FTA's discretion after reviewing the submitted
request. Disaster Hold Harmless Adjustments are only granted for one year at a time.
If you are granted a Disaster Hold Harmless Adjustment, you must still provide a full report to the NTD of your actual transit
service for the year. FTA will use your reported data from the year prior to the disaster in the apportionment, rather than the
actual data you submit for the current year.
Data, Report or Passenger Miles Traveled Sampling Waivers
You may request a waiver of specific data requirements or for filing a complete NTD report. This waiver is only granted for
one year at a time, and is rarely granted for multiple years.
The following are typical justifications for requesting a Data, Report or Passenger Miles Traveled (PMT) Sampling Waiver:
•
It is the transit agency’s first report year and the transit agency has not had sufficient time to collect data and
prepare an NTD annual report; or
•
There are unforeseen circumstances, either preventing data collection or causing data loss, or creating an
unreasonable burden on the transit agency in light of the circumstances. Typical examples are:
o
Earthquakes;
o
Fires;
o
Floods;
o
Hurricanes; and
o
Officially declared emergencies.
Data, Report or PMT Sampling Waivers are not granted for reasons such as cost, personnel or data collection issues; loss of
records; or simply stating undue reporting burden. These reasons are not considered unforeseen circumstances.
To request a Data, Report or PMT Sampling Waiver, you must submit a letter from your CEO that:
•
Fully describes the situation that prevents the transit agency from fulfilling the reporting requirements; and
•
Requests the Data, Report or PMT Sampling Waiver for the current report year.
An approved Data, Report or PMT Sampling Waiver will not affect your funding eligibility for §5307 grants, but may affect the
amount of funding your UZA receives as follows:
•
If your transit agency serves a UZA with a population of 200,000 or more, the amount of funding may be reduced
because your data may not be entered into the §5307 allocation formula for selected formula statistics; and
•
If your transit agency serves a UZA with a population between 50,000 and 199,999, it may change the UZA’s
performance in the factors used to determine eligibility for Small Transit Intensive Cities (STIC) funding.
You should refer to the NTD Annual Reporting Timelines exhibit in this section under When to Report for actual due dates for
submitting the Data, Report or PMT Sampling Waiver request.
Independent Auditor Statement for Financial Data Waiver
A waiver of the Independent Auditor Statement for Financial Data (IAS — FD) may be granted only to first-time reporters. It
is only granted for one year.
To request this waiver, you must submit a letter from your CEO that:
•
Fully describes the situation that prevents your transit agency from fulfilling the reporting requirements; and
•
Requests the waiver for the current report year.
Introduction — 9
2013 Urban Reporting Manual
A waiver of the IAS — FD will not affect your funding eligibility for §5307 grants.
You should refer to the NTD Annual Reporting Timelines exhibit in this section under When to Report to determine actual
due dates for submitting the IAS-FD Waiver request.
Special Request – Strikes
FTA may make “hold harmless” adjustments to data used in the apportionment to offset the negative effects of strikes on
NTD service data. This adjustment is not automatic and must be requested.
To request this adjustment, the CEO of a transit provider affected by a strike must submit the request in writing, via the eFile tab. The request must identify:
•
The mode or modes affected;
•
The exact time and date that the strike began;
•
The exact time and date that the strike ended; and
•
Supporting documentation (e.g., published news reports) for the duration of the strike.
Transit providers receiving this adjustment must report actual data to the NTD. The “hold harmless” adjustment will be
made by FTA, not by the reporting transit provider. The adjusted data will only be used for purposes of the apportionment;
the actual data of the transit provider will be used in all publicly-available NTD data sets.
What to Report
The NTD Annual Report consists of a series of forms and declarations that provide a summary of transit characteristics for
the fiscal year, including financial and non-financial operating statistics. It must contain all the public transportation services,
including complementary paratransit services required by the Americans with Disabilities Act of 1990 (ADA), that the transit
agency provides or purchases.
It must contain all of the public transportation services provided by your organization, whether directly operated or purchased
transportation. All public transportation services must be included, regardless of whether it is urbanized area service or rural
service. All revenues and expenditures for public transportation activities must be included, including planning activities and
capital expenditures for modes not yet in service.
For purchased transportation services, the report must contain data only for those services under contract.
Reporting Modules and Forms
Not all forms are required from all transit agencies. Factors that determine which forms are required include: the size of the
UZA, the number of vehicles operated, and TOS operated (directly operated or purchased transportation). The following
exhibit presents a summary of NTD reporting requirements:
10 — Introduction
2013 Urban Reporting Manual
Exhibit 4 — Summary of NTD Reporting Requirements
Reporter Type
Small Systems
Waiver Reporters
Planning Grants
Reporters
Capital Grants
Reporters
Full Annual
Reporters
Form
Identification form (B-10)
Contacts form (B-20)
Stations and Maintenance Facility (A-10)
Revenue Vehicle Inventory form (A-30)
Small Systems Waiver form (W-30)
Federal Funding Allocation form (FFA-10)
Modified Chief Executive Officer form (D-10)
Identification form (B-10) – Modified
Contacts form (B-20)
Identification form (B-10) – Modified
Contacts form (B-20)
Sources of Funds – Funds Expended and Funds
Earned form (F-10) – Modified
Uses of Capital form (F-20) – Modified
Identification form (B-10)
Contacts form (B-20)
Contractual Relationship form (B-30)
Sources of Funds - Funds Expended and Funds
Earned form (F-10)
Uses of Capital form (F-20)
Operating Expenses form (F-30)
Operating Expenses Summary form (F-40)
Statement of Finances form (F-60)
Stations and Maintenance Facilities form (A-10)
Transit Way Mileage form (A-20)
Revenue Vehicle Inventory form (A-30)
Service form (S-10)
Fixed Guideway Segments form (S-20)
Employees form (R-10)
Maintenance Performance form (R-20)
Energy Consumption form (R-30)
Federal Funding Allocation Statistics form (FFA10)
Chief Executive Officer form (D-10)
Independent Auditor Statement for Financial Data
(IAS — FD)
Independent Auditor Statement for Federal
Funding Allocation Data (IAS — FFA)
Requirements
Reporters who buy or sell purchased transportation
services from or to a public transit agency or private
operator
Reporters operating on fixed guideway (FG) and high
intensity bus (HIB)
Reporters operating on FG and high intensity bus (HIB)
Reporters operating DO service
All modes except demand response-taxi
All modes except demand response-taxi
First time reporters and reporters with changes in
accounting methods or systems
Reporters with 100 or more VOMS across all modes
and TOS and serving UZAs of 200,000 or more
population
Declarations
There are three types of declarations that certify the data in the NTD Annual Report:
•
Chief Executive Officer form D-10;
•
Independent Auditor Statement for Financial Data (IAS — FD); and
•
Independent Auditor Statement for Federal Funding Allocation Data (IAS — FFA).
As with the NTD forms, not all declarations are required from all transit agencies (see Exhibit 4 above). Factors that
determine which declarations are to be completed include: the size of the UZA, the number of vehicles operated, and the
types of service operated (directly operated or purchased transportation). You should go to the Declarations section of this
manual for further details.
Fiscal Year Data
The data in the NTD Annual Report covers a 12-month fiscal year ending in 2013. If your transit agency’s fiscal year
changes, you must notify FTA of this change in writing via the e-File tab. FTA will determine the due date for your NTD
report and notify you, in writing, via the e-File tab.
Introduction — 11
2013 Urban Reporting Manual
How to Report
This section discusses the following:
•
NTD ID;
•
Internet Reporting;
•
Accounting requirements; and
•
Purchased transportation.
The NTD Identification Number
Each reporter is assigned a unique four-digit NTD Identification Number, which is to be used in all NTD reports and
correspondence. The first digit of the NTD ID corresponds to the FTA Region where the reporter is located (e.g., 9###
indicates Region IX). If you do not have an NTD ID, please refer to the New Reporters section below.
Internet Reporting
Required forms, waivers, and declarations are completed using Internet Reporting, which is accessible from the NTD
website at www.ntdprogram.gov. Completing the Identification form (B-10) using Internet Reporting automatically generates
the forms necessary for completing your NTD Annual report.
This manual contains all information necessary to complete the NTD Annual Report using Internet Reporting. See the
Internet Reporting section of this manual. FTA will provide Internet Reporting user names and passwords to transit agencies.
Reporting Format
Transit agencies must submit their reports via the Internet Reporting system and all correspondence and waiver requests via
the e-File tab. All transit agencies must file a complete report by the report due date, including all required forms and
declarations. See the Summary of NTD Reporting Requirements exhibit under Reporting Modules and Forms to identify
required reporting forms and declarations for your transit agency and the NTD Annual Reporting Timelines exhibit under
When to Report to determine report due dates.
General Formatting Rules
Data reported must adhere to the following rules:
•
Round all financial data to the nearest dollar;
•
Follow other rounding directions for each form;
•
Unless otherwise indicated, report data as whole numbers; and
•
Use four digits for year entries.
Internet Reporting incorporates these rules, formatting data automatically when you complete a cell entry.
Accounting Requirements
This section addresses the following items:
•
Generally Accepted Accounting principles (GAAP); and
•
Accrual accounting.
Generally Accepted Accounting Principles (GAAP)
For the most part, NTD reporting requirements for financial data follow generally accepted accounting principles (GAAP).
The FTA NTD USOA is not a self-contained financial system that addresses every possible NTD transaction and situation.
Instead, the NTD program is a system of accounts that complies with GAAP and Standards of Governmental Accounting and
Financial Reporting. However, small differences do exist between NTD and GAAP, generally relating to the accounting of
costs for capital grant purchases.
If there are conflicts between GAAP and NTD reporting instructions and requirements, NTD rules are to be followed. The
rules for NTD accounting can be summarized as follows:
12 — Introduction
2013 Urban Reporting Manual
•
Unique NTD requirements supersede GAAP. If a unique requirement exists for NTD purposes, this requirement will
be contained in NTD reference documents provided by FTA (e.g., the USOA and the NTD Reporting Manuals).
•
In the absence of unique NTD provisions to the contrary, GAAP should be followed.
Two organizations are responsible for promulgating GAAP:
•
The Financial Accounting Standards Board (FASB) is responsible for general GAAP affecting all types of entities.
•
The Governmental Accounting Standards Board (GASB) is affiliated with the FASB and specializes in government
agencies in the United States. In the event of a conflict between FASB and GASB pronouncements, the GASB rule
prevails for governmental entities.
Both FASB and GASB pronouncements are available through the FASB in Stamford, Connecticut. Most accounting firms will
assist their clients in obtaining GAAP documents and applying GAAP requirements.
Accrual Accounting
As required by GAAP, all financial data in the NTD Annual report must follow accrual accounting principles. Under accrual
accounting:
•
Revenues are recorded when earned, regardless of whether or not receipt of the revenue takes place in the same
reporting period; and
•
Expenditures are recorded as soon as they result in liabilities for benefits received, regardless of whether or not
payment of the expenditure is made in the same reporting period.
If your transit agency uses a cash basis or encumbrance basis accounting system, you must make adjustments to record the
data on an accrual basis.
The Exhibit below demonstrates the use of accrual accounting for an operating expense.
Exhibit 5 — Accrual Accounting
Example: A transit agency employee works the last two weeks of the transit agency’s fiscal year earning $1,500. However, the
employee does not receive his pay until 10 days later in the new fiscal year when payroll issues a check. How is the $1,500
reported?
Solution: Report the $1,500 on the Operating Expenses form (F-30) under labor in object class 501. Even though the employee
did not receive a paycheck during the report year, the transit agency incurred the liability to pay the employee.
Reporting Purchased Transportation
Purchased transportation (PT) service is service provided to a public transit agency or governmental unit from a public or
private transportation provider based on a written contract. A contractual relationship exists only if all the following criteria are
met:
•
The seller is obligated in advance of the time the service is furnished to provide the operations for which the
operating statistics are being reported for a specific monetary consideration;
•
A written agreement exists that specifies the contractual relationship for the time period and the specific service
generating the operating statistics included in the NTD annual report;
•
The written agreement is signed by authorized representatives of both the buyer and the seller, and should detail
the services to be provided, and the nature and amount of the monetary consideration;
•
The buyer pays the seller the fully-allocated costs of operating the service. The service reported on the S-Forms
must have fully-allocated operating costs reflected on the F-Forms, and the assets used to support that service
must be reflected on the A-Forms; and
•
The seller does business as the buyer. Users of the service recognize that the buyer of the service is actively
managing and funding the service and that the seller operates the service on behalf of the buyer.
Granting a transportation provider permission to operate certain services through a franchise or license does not, in itself,
constitute PT service. Also, management services contracts, in which all or some personnel or services are provided to
manage or operate the transit agency, are not PT service.
Introduction — 13
2013 Urban Reporting Manual
When to Report
The schedule for submitting the NTD Annual Report is based on the fiscal year for the reporting transit agency. The following
sections describe:
•
Reporting timelines;
•
Reminder notices; and
•
Failure to report: no report, late report, or incomplete report.
Reporting Timelines
A transit agency must file a complete report by the report due date (as set forth in the NTD Annual Reporting Timelines
exhibit below). A report is complete only when all of the required forms and declarations are submitted. The due date for a
transit agency's NTD Annual Report to FTA is based on the transit agency's fiscal year end date. All transit agencies have at
least 120 days after the end of their fiscal year before the report is due. The submission must be sent on or before the due
date.
The NTD reporting system allows for reporting waivers for transit agencies that experience unusual or unforeseen
circumstances. See the previous Waivers and Special Requests section. Reporting waivers must be requested in writing via
the e-File tab.
The following exhibit presents the reporting timeline for the 2013 report year.
Exhibit 6 — NTD Annual Reporting Timelines
Submission:
Fiscal Year End (2013)
Waiver, Special Request, etc., Deadlines
Report Due Date
Closeout Process:
Last Date to Submit Report Revisions
Report Closeout
Jan. 1 – June 30
August 31, 2013
November 30, 2013
July 1 – Sept. 30
November 30, 2013
January 31, 2014
Oct. 1 – Dec. 31
February 28, 2014
April 30, 2014
March 1, 2014
March 15, 2014
May 1, 2014
May 15, 2014
July 2, 2014
July 20, 2014
Reminder Notices
FTA sends each transit agency a reminder notice 30 days prior to the NTD Annual report due date (e.g., October 31 for
November 30 due date). FTA automatically sends a late report letter to the CEO if the report is not submitted within 15
calendar days following the due date (e.g., December 15 for November 30 due date) and no reporting waiver request has
been submitted via the e-File tab. Refer to the NTD Annual Reporting Timeline exhibit above for due dates.
Failure to Report: No Report, Late Report, or Incomplete Report
A Failure to Report may result from:
•
Not submitting a report;
•
Submitting a late report;
•
Submitting an incomplete report; or
•
Failing to respond to validation questions.
If you receive a Failure to Report, your data will not be included in the apportionment of Urbanized Area Formula Program
Grants, although any submitted data may be included in the publicly-available NTD datasets at FTA’s discretion. More
importantly, if you receive a Failure to Report, FTA is prohibited by law from awarding you any further grants under
§5307 or §5311. A Failure to Report for an urbanized area transit provider may result from the Annual, Monthly, or Safety &
Security Modules.
A report is considered late if it is not submitted by the due date (refer to the NTD Annual Reporting Timelines exhibit in this
section under When to Report to determine report due dates). These due dates are essential to ensure that submitted data
can be properly validated before being included in the NTD and in the apportionment.
A report is incomplete if:
•
It does not contain all of the required information; or
14 — Introduction
2013 Urban Reporting Manual
•
If the data was not collected and submitted in conformance with the NTD requirements; or
•
If the report is not accompanied by the applicable CEO Certification and Independent Auditor Statements (IAS-FD
or IAS-FFA). The CEO Certification must be submitted via the D-10 Form, the IAS-FD must be submitted via the eFile tab, and the IAS-FFA must be kept on file by the transit provider for at least three years after submission of the
report; or
•
Failure to respond to validation questions.
NTD reporters are required to respond to validation questions in a timely manner (refer to the NTD Annual Reporting
Timelines exhibit in this section under When to Report to determine by which date you should respond to validation
questions).
When submitted data are questioned during the validation process, you may revise the questioned data with more accurate
data. Revisions to data, however, require the concurrence of the CEO, and in the case of data included on the FFA-10 form,
the concurrence of the independent auditor as well. If you do not revise the questioned data, then you must provide sufficient
documentation to establish the accuracy of the questioned data to a reasonable person. Failure to respond to validation
questions in a timely manner with either revisions or satisfactory documentation will result in a Failure to Report.
When a Failure to Report occurs, FTA will notify the CEO of the reporter and the FTA Regional Administrator.
Where to Report
Transit agencies submit NTD reports, IAS — FD, and the CEO Certification via Internet Reporting at the project's website,
www.ntdprogram.gov.
FTA assigns an NTD validation analyst to each reporting transit provider to assist with NTD reporting throughout the year. At
the beginning of the reporting cycle, your NTD validation analyst will call you to introduce her or himself. Please feel free to
contact your NTD analyst if you have questions, or if FTA can assist you with your report in any way.
NTD Help Desk
NTD reporters will have the option of contacting the NTD Help Desk at 1-888-252-0936 or ntdhelp@dot.gov, or directly
contacting their assigned validation analyst.
Exhibit 7 — NTD Contact Information
Mailing Address
You can write to the FTA NTD Project Office at the
following address:
Federal Transit Administration
National Transit Database
943 Glenwood Station Lane, Suite 102
Charlottesville, VA 22901
Express Delivery Address
Express deliveries can be made to the following address:
Federal Transit Administration
National Transit Database
943 Glenwood Station Lane, Suite 102
Charlottesville, VA 22901
e-File
All official correspondence should be scanned and
submitted to the NTD via the e-File tab under Internet
Reporting.
Telephone
You can contact your NTD validation analyst and other NTD staff by
telephone on weekdays. For telephone information and project
assistance, call the NTD Help Desk at:
1-888-252-0936
The NTD Help Desk is open from 8:00AM to 7:00PM Eastern Time.
If your NTD validation analyst is unavailable, you may use the
voicemail system and your validation analyst will return your call or
you may forward your call to another NTD validation analyst.
E-mail
You can contact your NTD validation analyst by using the telephone
number or e-mail address located on the Home tab at:
www.ntdprogram.gov > Internet Reporting Login > Announcements
You can email the NTD Help Desk at any time at
ntdhelp@dot.gov
Internet
The FTA NTD Project Office manages a website at the following
address:
www.ntdprogram.gov
You may e-mail comments, questions or suggestions directly to the
NTD by clicking on the NTD Feedback link.
NTD publications, data and reference documents are available on
the FTA NTD website by using the NTD Reference Materials and
Access NTD Data links.
Introduction — 15
2013 Urban Reporting Manual
New Reporters
New reporters have slightly different requirements for submitting their first NTD Annual Report. These requirements include:
•
Submitting a request for an NTD ID;
•
Determining when to file the first report; and
•
Providing additional information in the NTD Annual Report.
Written Request
All new reporters, both required and voluntary reporters, must first submit a written request to FTA for an NTD ID. If the
request for an NTD ID is approved, the first report year is dependent upon when the request was received (refer to the New
Agency Reporting Timelines Exhibit below). If the request is received by NTD within the first six months of a fiscal year, the
agency will submit its first NTD report for the current fiscal year. If the request is received during the last six months of a
fiscal year, the agency will report during the next fiscal year. The due date of a new agency’s first report can vary depending
on its fiscal year, and when its new ID request is received by the NTD. Below are common examples of transit agency fiscal
years. If your agency has a different fiscal year than those listed below, contact NTD for your first report due date.
Exhibit 8 — New Agency Reporting Timeline
Fiscal Year
July 1, 2013-June 30, 2014
Oct. 1, 2013-Sept. 30, 2014
Jan. 1, 2014-Dec. 31, 2014
New ID Request Received
First Report Due
Data Included
RY
Jan. 1, 2013 - Dec. 31, 2013
October 31, 2014 July 1, 2013-June 30, 2014
2014
After Dec. 31, 2013
October 31, 2015 July 1, 2014-June 30, 2015
2015
April 1, 2013 - March 31, 2014 January 30, 2015 Oct. 1, 2013-Sept. 30, 2014
2014
After March 31, 2014
January 30, 2016 Oct. 1, 2014-Sept. 30, 2015
2015
July 1, 2013 - June 30, 2014
April 30, 2015
Jan. 1, 2014-Dec. 31, 2014
2014
After June 30, 2014
April 30, 2016
Jan. 1, 2015-Dec. 31, 2015
2015
The written request to FTA for an NTD ID should be submitted by the CEO of the transit agency, company, city or other
entity that will be filing the report. You should send the letter to the mailing address listed in the Where to Report section
above. The CEO’s letter must be on letterhead and should state the following:
•
Legal name and mailing address of the transit agency;
•
Name, title, address, telephone number, facsimile number and e-mail addresses of the CEO, NTD contact person,
and the safety and security contact person(s);
•
Fiscal year end date;
•
Public transit modes operated by TOS (DO or PT);
•
Number of vehicles operated in annual maximum service (VOMS) across all modes and TOS;
•
Description of service, if service is being operated, including route maps, schedules and fare structure;
•
Date (month and year) of grant request for §5307 Program funds if a designated recipient;
•
Date (month and year) of expenses first incurred for reimbursement under the §5307 funds if a designated
recipient;
•
Any related information or relationships with other NTD transit agencies; and
•
A request to obtain an NTD ID and become an NTD reporter.
Reference Information
This section discusses two additional items necessary to understanding NTD reporting:
•
Transit terminology and parameters; and
•
Reference documents.
16 — Introduction
2013 Urban Reporting Manual
Transit Terminology and Parameters
Reporting data for the NTD requires an understanding of the following transit concepts and terms:
•
Public transportation;
•
Modes;
•
Type of service (TOS);
•
Transit agency;
•
Area definitions; and
•
Maximum service vehicles.
Each of these terms is described in further detail in the sections that follow.
Public Transportation
The NTD is established by law as a repository of information on public transportation. The term public transportation is
synonymous with the terms transit and mass transportation and is defined by law at 49 U.S.C. 5302(a) (10), as follows:
(10) PUBLIC TRANSPORTATION. – The term “public transportation” means transportation by a conveyance that
provides regular and continuing general or special transportation to the public, but does not include school bus, charter
bus, or intercity bus transportation, or intercity passenger rail transportation provided by the entity described in chapter
243 (or a successor to such entity).
Transit must be open to the public. Transit must also comply with the provisions of the Americans with Disabilities Act of
1990 (ADA). Services that are only open to specific groups of people are excluded. Examples of excluded services include:
•
A bus system sponsored by a university that is only open to students, faculty, and staff of the university;
•
A vanpool sponsored by an employer that only provides service to employees of the employer; and
•
An automated guideway in an airport, which only provides services to customers of the airport.
Transit includes special transportation, such as complimentary paratransit required by the ADA. Transit also includes other
shared-ride demand response services, including both sponsored and unsponsored trips.
Transit excludes charter service. In accordance with FTA’s Charter Rule, any service reported to FTA’s charter registration
website must not be treated as public transportation in NTD reports.
Transit excludes sightseeing service. Sightseeing service is provided primarily for the enjoyment of sights and sounds during
the ride, or for enjoyment of the ride itself. Sightseeing service includes services that have narration and services where
passengers primarily make round-trips without disembarking the vehicle.
Transit excludes services that are not designed to serve daily commuters. Thus, for public transportation, a majority of
passengers across the totality of the service (i.e., all runs on all days of the week) must make a same-day return trip. Transit
excludes Amtrak (the entity described in chapter 243). NTD reporters must demonstrate that they are organizationally
separate from Amtrak. This exclusion does not apply to cases where Amtrak is the supplier of purchased transportation for
commuter rail service.
Modes
A variety of transit modes are operated in the United States. The NTD reporting system groups transit modes into two broad
categories – rail and non-rail – as follows:
Rail
Alaska Railroad (AR)Cable car (CC)
Commuter rail (CR)
Heavy rail (HR)
Hybrid Rail (YR)
Inclined plane (IP)
Light rail (LR)
Monorail/Automated Guideway (MG)
Street Car Rail (SR)
Non-Rail
Aerial tramway (TR)
Commuter Bus (CB)
Bus (MB)
Bus Rapid Transit (RB)
Demand response (DR)
Demand response-taxi (DT)
Ferryboat (FB)
Jitney (JT)
Publico (PB)
Trolleybus (TB)
Vanpool (VP)
Other (OR)
Introduction — 17
2013 Urban Reporting Manual
Modal definitions are used in the NTD reporting system in different ways. Transit agencies are required to report data
according to the detailed modal definitions on most reporting forms (e.g., MB, DR, VP and LR). On selected forms (e.g.,
Transit Way Mileage form (A-20), Service form (S-10), Energy Consumption form (R-30), Federal Funding Allocation
Statistics form (FFA-10)), different data items are required for rail and non-rail modes.
Type of Service (TOS)
Public transportation can be provided in two ways:
•
Directly operated (DO) service – the NTD reporting agency, usually the public transit agency, uses its own
employees to operate the transit vehicles and provide the transit service; or
•
Purchased transportation (PT) service – the NTD reporting agency, usually the public transit agency, contracts with
a public or private provider to operate the transit vehicles, employ the operators, and provide the transit service.
TOS is an important element of NTD reporting. On most reporting forms, transit agencies are required to report data by TOS.
Transit Agency
A transit agency is responsible for the provision of public transportation service. The transit agency can provide the service in
either of the two ways described above under TOS. With some exceptions, transit agencies typically are public bodies and
generally are the NTD reporting agencies for their DO and PT services.
Area Definitions
The NTD reporting system uses two definitions of area:
•
UZA; and
•
Service area.
UZA is defined by the U.S. Census Bureau based on incorporated places (e.g., cities, towns, villages) and their adjacent
areas that together form a densely populated area of at least 50,000 persons. UZAs do not conform to congressional districts
or any other political boundaries.
The most current UZA designations are based on the 2010 census. The NTD reporting system assigns a unique number to
each of the UZAs in the country. All transit providers reporting to the NTD must serve at least one UZA; many reporters
serve multiple UZAs, as well as rural areas (non-UZAs) of less than 50,000 persons.
The Census-defined UZAs are an important part of NTD reporting requirements. Reporters must report selected data by
UZA number on two forms: the S-20 and the FFA-10. Finally, UZA size determines the sampling requirements for passenger
miles traveled (PMT) data reported on the S-10.
Service area is a measure of access to transit service in terms of population served and area coverage (square miles). The
reporting transit agency determines the service area boundaries and population for most transit services using the definitions
contained in the ADA.
For most transit agencies, the size of the UZA is different from the size of the service area. In many instances, the size of the
service area will be smaller than the UZA served. In other cases, where there is broad public support for transit, the size of
the service area is greater than the size of the UZA. These differences can cause confusion, since a transit agency's NTD
reporting requirements are based on the size of the UZA served and the data reported are for the transit agency's service
area.
Transit agencies are required to submit service area information on the B-10 form.
Maximum Service Vehicles
The maximum service operated during the year is an important determinant of a transit system's size and resulting
performance. Transit agencies are required to report data on two measures of maximum service:
•
Vehicles operated in maximum service (VOMS); and
•
Vehicles available for annual maximum service.
VOMS is a count of the revenue vehicles scheduled for the peak day and operating period of the peak service season or
schedule of the year. The revenue count is the typical number of vehicles operated and does not consider the number of
vehicles operated on atypical days such as holidays (e.g., the Fourth of July), or one-time special events (e.g., World Series
celebrations, political conventions).
18 — Introduction
2013 Urban Reporting Manual
Vehicles available for annual maximum service is a count of the revenue vehicles available to meet the maximum service
requirement (peak demand) for the fiscal year. This count of revenue vehicles includes:
•
VOMS; and
•
Spare vehicles (revenue vehicles used to accommodate routine maintenance and repair operations, and to replace
vehicles in scheduled service that breakdown or are involved in accidents).
Neither of the above-discussed vehicle counts includes:
•
Vehicles out for extended major repair or rehabilitation; or
•
Emergency contingency vehicles (inactive revenue vehicles that normally would have been disposed of at the end
of their useful life. FTA allows transit agencies to retain these vehicles if they are stored, maintained and part of an
approved FTA Emergency Contingency Plan).
Reference Documents
The FTA Uniform System of Accounts (USOA) and Final Rule (49 CFR Part 630) are essential to understanding the forms
and instructions presented in this manual. You can obtain these documents, as well as the other reference documents listed
in the NTD Reference Documents exhibit below, by visiting the NTD Program’s website at www.ntdprogram.gov or calling
the NTD Help Desk at 1-866-349-1427.
Exhibit 9 — NTD Reference Documents
The Reference documents listed below are available for downloading or viewing from the NTD website:
•
Current Reporting Manuals:
o
Urban (formerly titled Annual)
o
Safety and Security
o
Monthly
o
Rural
o
Small Systems Waiver
o
NTD Sampling Manual
•
Glossary
•
NTD Final Rule (49 CFR Part 630)
•
Uniform System of Accounts (USOA)
•
Government Auditing Standards
•
OMB Circular A-87 (Revised 5/10/2004)
•
National Incident-Based Reporting System, Vol 1: Data Collection Guidelines, US. Department of Justice, Federal
Bureau of Investigation, Criminal Justice Information Services Division, Aug 2000
•
UMTA C 2710.1A: Sampling Procedures for Obtaining Fixed Route Bus Operating Data Required Under the Section 15
Reporting System, July 18, 1988
•
UMTA C 2710.2A: Sampling Procedures for Obtaining Demand Response Bus System Operating Data Required Under
the Section 15 Reporting System, July 22, 1988
•
UMTA C 2710.4A: Revenue Bases Sampling Procedures for Obtaining Fixed Route Bus Operating Data Required
Under the Section 15 Reporting System, July 22, 1988
•
UMTA C 2710.6: Section 15 Accounting and Reporting Release Number 1, July 1, 1988
•
UMTA C 2710.7: Section 15 Accounting and Reporting Release Number 2, July 1, 1988
Introduction — 19
2013 Urban Reporting Manual
Internet Reporting
Overview
Transit agencies use the National Transit Database (NTD) Internet Reporting system to provide their data via reports to the
Federal Transit Administration (FTA). NTD Internet Reporting is the online means for transit agencies to enter, save, review
and revise data, and submit reports. All reporting requirements for the NTD can be fulfilled via this system.
This section provides Internet Reporting information for the NTD Annual Report.
What Has Changed from Prior Years
No changes.
Internet Reporting System Security
Measures have been taken to ensure that all data entered into the Internet Reporting system are safe and available only to
those with proper access. The NTD network and servers are secured behind a firewall. The website is password protected.
Additionally, multiple server and database protection layers protect the database files.
Detailed Instructions
The preparation and submission of the Annual Report is a simple process that involves interacting with the online Internet
Reporting system. The detailed instructions describe this process in the order that most reporters will proceed and cover the
following topics:
•
Accessing Internet Reporting;
•
Tips for Using Internet Reporting;
•
NTD Reporting Structure;
•
Home: Annual Report Home Page;
•
Annual: Reporting Annual Data;
•
Monthly Ridership: Reporting Ridership Data;
•
Safety & Security: Reporting Incident Data;
•
Notes: Providing Additional Information;
•
Issues: Validating Annual Data;
•
e-File: Sending Declarations, Requests, and Other Communications;
•
Communications: Viewing a History of Communications with NTD;
•
Reports: Using Reports; and
•
Help: Obtaining More Information.
Accessing Internet Reporting
Internet Reporting is accessed from the NTD Homepage.
To access Internet Reporting:
•
Connect to the Internet via your Internet service provider (ISP);
•
Verify your Internet browser settings;
•
Access the Internet Reporting website at www.ntdprogram.gov; and
•
Access your transit agency’s NTD report via the Internet Reporting Login link.
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Choosing Your Browser
You should use your ISP to connect to the Internet. Internet Reporting requires a web browser that is at least a 6.x version
(e.g., Internet Explorer 6.0). Browsers such as Firefox, Mozilla and Chrome are not fully compatible with the Internet
Reporting system. You should use Internet Explorer for reporting. If you do not have the latest version of the browser, go
to Microsoft.com to download the latest version free of charge.
Verifying Your Internet Browser Settings
You should verify that your browser is set to check for newer versions of stored pages with each visit to the website.
Otherwise, forms will not update properly. In Internet Explorer, this is done by accessing Tools/Internet
Options/General/Temporary Internet Files Settings/Every Visit to Page.
The NTD Homepage
The NTD Homepage offers you the following information and data:
•
Internet Reporting Login: A link to access the Internet Reporting system;
•
What is the NTD?: An overview of the NTD program, milestones in transit history, how to obtain an NTD ID
number, and an overview of the NTD reporting forms;
•
How to Report/Get an ID: Description of who reports to the NTD and the process for requesting a new ID number;
•
Reporting Manuals:
•
o
Urban Reporting: Access to HTML and PDF versions of the current Urban Reporting Manual, an
overview of reporting changes and highlights, reporting manual archives, etc.;
o
Monthly Reporting: Access to HTML and PDF versions of the current Monthly Reporting Manual, an
overview of the reporting changes and highlights, reporting manual archives, etc.;
o
Safety and Security Reporting: Access to HTML and PDF versions of the current Safety and Security
Reporting Manual, Newsletters, Safety and Security frequently asked questions (FAQ), an overview of
reporting changes and highlights, reporting manual archives, etc.;
o
Rural Reporting: Access to HTML and PDF versions of the current Rural Reporting Manual and Excel
spreadsheets, an overview of reporting changes and highlights, reporting manual archives, etc.;
o
Sampling: Access to the PDF File of the Sampling Manual, HTML version of the glossary, Excel
spreadsheets of a Sampling Template and a Sampling Template with data; and
o
Small Systems Waiver Manual: Access to HTML and PDF versions of the current Small Systems Waiver
Reporting Manual, an overview of reporting changes and highlights, reporting manual archives, etc.;
Data, Publications and Reference Materials:
Internet Reporting — 21
2013 Urban Reporting Manual
•
o
NTD Glossary: HTML version of the NTD Glossary of transit terms;
o
NTD Reference Materials: NTD reference materials such as the Uniform System of Accounts, FTA
Circulars and Federal Register Notices;
o
NTD Transit Profiles: Links to transit agency listings by region and other governmental links; and
o
Access NTD Data: HTML and downloadable PDF publications, including data tables (also available as
MS Excel self-executable files), Profiles, National Transit Summaries and Trends, as well as Annual,
Monthly and Historical databases (MS Excel self-executable files) and other data products;
NTD Resources:
o
FTA/NTD Presentations, Announcements and Updates: FTA/NTD presentations, new and useful
information, interim updates to reporting requirements, etc.;
o
NTD Feedback: The mailing address, telephone number and fax number for the NTD Program as well as
an opportunity to provide comments or suggestions regarding the NTD Program;
o
Seminars and Training: NTD Reporting Seminars and In-house Training information and registration;
o
Transit Agency Listing by Region and External Links: Contact information for transit agencies
reporting to the NTD listed by region and state for:
o
Region 1 (Connecticut, Maine, Massachusetts, New Hampshire, Rhode Island, Vermont);
Region 2 (New Jersey, New York);
Region 3 (Delaware, District of Columbia, Maryland, Pennsylvania, Virginia, West Virginia);
Region 4 (Alabama, Georgia, Florida, Kentucky, Mississippi, North Carolina, South Carolina,
Tennessee, Puerto Rico, US Virgin Islands);
Region 5 (Illinois, Indiana, Michigan, Minnesota, Ohio, Wisconsin);
Region 6 (Arkansas, Louisiana, New Mexico, Oklahoma, Texas);
Region 7 (Iowa, Kansas, Missouri, Nebraska);
Region 8 (Colorado, Montana, North Dakota, South Dakota, Utah, Wyoming);
Region 9 (Arizona, California, Hawaii, Nevada); and
Region 10 (Arizona, Idaho, Oregon, Washington); and
Transit Agency Search: search for agency profiles, complete profile sets, and profiles for Top 50
Agencies.
Accessing the NTD Report
Clicking the Internet Reporting Login link will open the Internet Reporting Login page. Enter your user name and password
to gain access to NTD Report Home.
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Levels of Access
Internet Reporting provides four levels of access to the Annual Report with the following rights:
•
CEO access: Edit forms (data entry), approve Chief Executive Officer (CEO) Certification form (D-10), and submit
reports and special reporting requests, including waivers;
•
Contact Person access: Edit forms (data entry) and submit report (administrator);
•
Editor access: Edit forms (data entry), cannot submit report; and
•
Viewer access: Viewing rights only for forms, issues, notes and correspondence with no rights to edit or submit.
User Names and Password
The system access level is determined by the user name. The first three characters of the user name define the access level
and the last four digits represent the transit agency’s NTD ID. There are four types of user names corresponding to the four
access levels available within the Annual Report:
•
CEO (CEO####);
•
Contact person (NTD####);
•
Editor (EDT####); and
•
Viewer (VWR####).
The NTD Program e-mails each transit agency this set of user names with a password for each. Transit agencies determine
access within their organizations and distribute user names and passwords accordingly.
A user can change his/her password at any time. Refer to Sys Admin: Changing Your Password for additional information
on this topic. Users should be aware that passwords must be changed every sixty days.
The users with CEO and NTD Contact Person access levels will have access to all reporting modules (Annual,
Monthly, and Safety & Security) from the Home tab. Users with Editor and Viewer access will be able to access
only Annual and Monthly reporting modules.
Passwords
Password requirements have conditions about password length and complexity, as well as the password expiration period,
which is 60 days. In addition, an account inactivity feature locks accounts that have not been used once in a 60-day period.
Accounts that become “locked” will be able to be unlocked through an automatic web-based process, which also prompts a
password change. Password features can be summarized as follows:
•
Password requirements:
o
Password length: Must be at least 12 characters and not more than 20 characters;
o
Complexity: Must include 3 out of 4 of the following elements – Lower Case, Upper Case, Numbers,
Special Characters;
•
Maximum password age: 60 days; and
•
Account inactivity: Your account is locked if you do not login during a 60-day period.
Sys Admin: Changing Your Password
The Sys Admin screen provides the ability to change your NTD password.
All passwords expire every sixty days. You can change your password at any time on the Sys Admin screen by specifying
your current and new password.
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Tips for Using Internet Reporting
Navigating Between Screens
Do not use the Internet browser’s Back and Forward buttons to navigate between screens. Instead, use the
Internet Reporting system buttons, tabs and links. A Close Form button will appear in the top right and bottom of
the Internet Reporting form which should be utilized to change the view between forms.
Saving a Form
A Save button is provided at the bottom of each Internet Reporting form. When entering information into a form, it is strongly
recommended that you save the form frequently. This will prevent the loss of data if your Internet connection is unexpectedly
lost.
Also, Internet Reporting has an automatic time-out feature which will log you off of the system after a period of inactivity. It is
strongly recommended that you save your work every 15 minutes. Otherwise, there is a risk that the next action you take on
the system will result in the closure of the screen displayed in your browser and the loss of any data that you had not saved.
NTD Reporting Structure
Once you log in to Internet Reporting, you will see the following tabs, which are each discussed more fully herein (though not
in this order):
•
Home: The starting point when entering the NTD report. It displays the transit agency’s NTD analyst information
and any project related announcements;
•
e-File: This is a listing of all declarations, waivers, other general correspondence and current year report
submission stages. This screen allows a transit agency to view the text of existing declarations, waivers, fixed
guideway requests and general correspondence, and to add documents using the file attachment feature;
•
Annual: This is a listing of the reporting forms necessary to complete your NTD Annual Report. From this screen,
your transit agency can submit the NTD Annual Report. The Submit Report button appears at the bottom of the
Forms Summary screen after the CEO approves the CEO Certification form (D-10);
•
Monthly Ridership: This screen provides access to the NTD Monthly Reporting forms for editing and submitting
your report to FTA. Form-by-form instructions and reporting details for the Monthly Module are included in the NTD
Monthly Reporting Manual. The NTD contact person is responsible for submitting Monthly data to NTD;
•
Safety & Security: This screen provides access to the Safety and Security Module forms for editing and submitting
your report to FTA. Form-by-form instructions and reporting details for the Safety and Security Module are included
in the Safety and Security Reporting Manual;
•
Notes: This displays all the Form Notes added to the transit agency’s Annual Report. The transit agency should
create Form Notes to provide additional information applicable to a specific form;
•
Issues: This screen displays all the issues generated for the transit agency’s Annual Report. Issues highlight
potential problems with specific data items (specific data which fall out of a typical range of values) and are
generated each time the transit agency saves a form. To correct an issue, the transit agency may either change the
data item on the appropriate form or attach a Comment to the individual Issue and explain. Use this screen to
review the Issues for entire report (form by form) prior to submitting your NTD Annual Report;
•
Reports: Print and export reports. All reports have been developed to allow you to print each form or report without
altering print settings to fit a form on the page. The reports listed will vary depending on your access level;
•
Communications: This screen provides a record of the report submissions your agency has made to NTD,
including any comments from the agency and the review status of the report;
•
SysAdmin: Discussed above. Use this tab to change NTD passwords. You may only change your own password.
Should you need assistance, contact your NTD analyst; and
•
Help: Online version of this Urban Reporting Manual.
24 — Internet Reporting
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Home: Annual Report Home Page
After completing the Login process, the user is taken to the Annual Report Home page. Click the Home tab near the top of
any screen to return to the Home tab from any other area.
When accessing the Home tab, please take note of the Announcements section, which provides users with listings of
recent FTA announcements.
Annual: Reporting Annual Data
Click on the Annual tab to open the Forms Summary screen. The Forms Summary screen lists the 2013 NTD modules
and provides links to the specific forms within each module that your transit agency is required to complete.
Initially, the Forms Summary screen only provides access to two forms within the Basic Information Module:
•
Identification form (B-10); and
•
Contact form (B-20).
After you review, complete and save the B-10 form, and Internet Reporting will automatically generate the forms necessary
to complete your agency’s NTD annual report. Internet Reporting uses the following information to determine which forms to
generate:
•
The number of vehicles operated in annual maximum service (VOMS) by mode and TOS;
•
Whether a Small Systems Waiver request has been indicated;
•
Whether the seller in a purchased transportation agreement is filing a separate NTD Annual Report; and
Internet Reporting — 25
2013 Urban Reporting Manual
•
Whether a Grants (Planning or Capital) Waiver request was indicated.
All form-by-form instructions and reporting details are provided in the form-specific sections of this manual.
After the B-10 form has been saved, the Forms Summary screen provides access to forms that your transit agency is
required to complete. The mode and TOS, the update user and update date, and the number of issues for each form are
also displayed.
The Forms Summary screen also provides the means to add a new Contractual Relationship form (B-30). Internet
Reporting automatically generates a B-30 form for each purchased transportation agreement (i.e., contracts) that existed in
your transit agency’s previous year report if at least one mode designated on the prior year’s form is also reported on the B10 for the current reporting year.
If you want to add a new Contractual Relationship form (B-30) for a new contract, click the Add Form button at the bottom of
the Forms Summary screen and select B-30 from the drop-down menu.
Printing a Form Report from a Form Screen
Click on the Print button at the bottom of the Form screen to display the report in Adobe Acrobat Viewer; then click the
Print button
in the upper left corner of the viewer and click the Okay button on the resulting Print window.
Submitting Your Report
To submit a report to the NTD, upon completing the required NTD forms, return to the Annual tab, scroll to the bottom of the
page, and click the Submit Report button.
The original submission of the report can only be submitted by the agency CEO.
Monthly Ridership: Reporting Ridership Data
Click on the Monthly Ridership tab to open the Monthly Ridership screen. This screen provides access to the Monthly
Module forms for editing and submitting a report to FTA.
Form-by-form instructions and reporting details for the Monthly Module are included in the Monthly Reporting Manual.
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Safety & Security: Providing Incident Data
Click on the Safety & Security tab to open the Safety & Security screen. This screen provides access to the Safety and
Security Module forms for editing and submitting reports to FTA.
Form-by-form instructions and reporting details for the Safety and Security Module are included in the Safety and Security
Reporting Manual.
Notes: Providing Additional Information
Click on the Notes tab to open the Notes Summary screen. The transit agency should create Form Notes to provide
additional information applicable to a specific form.
Creating a Form Note
To create a form note, you should click on the Add Form Note link at the top right of the form you are editing or viewing.
Internet Reporting will take you to the Form Notes screen for the specific form. Internet Reporting pre-fills the mode and
TOS (if applicable) for which the note is created. You must complete the note comment.
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2013 Urban Reporting Manual
To save a form note, click the Save button at the bottom of the screen. To return to the form being edited without saving the
note, click on the Cancel button.
Reviewing Form Notes
Click on the Form Notes tab to view the Form Notes screen. You can review the form notes associated with a specific form
or all form notes for the report. While working in a form, click on the Form Notes tab to display the Form Notes screen for
the form. The form name, mode and TOS will be displayed just beneath the tabs.
You also can review form notes associated with prior submissions for the current Report Year (i.e., 2013) and prior Report
Years (i.e., 2010 and earlier). To view current or prior years’ form notes, click on the Report drop-down menu located above
the tab line, and select the year and report stage (original, working data, revision, or closeout) that you wish to view.
Editing Notes
While you are in the Working Data report stage, you can edit a form note after it has been created by clicking on the Edit
Note link in the far right column on the Form Notes screen. Once the NTD Annual Report is submitted, the notes are frozen
and cannot be edited. Notes can only be edited while the report status is Working Data, which is displayed at the top of
screen in the Report menu.
Submitting a report to the NTD means that it is in the view of your analyst, and is no longer editable. Once a report is
submitted to NTD, no further changes can be made until it is returned to the agency’s view. The analyst will then validate the
submitted report and, if necessary, return the report to the agency for additional revisions.
Notes are frozen with each submission. If the report is sent back to the transit agency and notes are reviewed or
added, the previously submitted notes will not be affected and are no longer editable.
Printing Form Notes
Print all form notes from the Reports tab by clicking the Notes and Issues Report link.
Issues: Validating Annual Data
Access the Issues screen by clicking the Issues tab. This screen highlights potential problems with specific data items
identified through the NTD validation process.
The NTD validation process ensures that NTD reporting requirements are met and that the reported data are reasonable.
For changes in data outside of expected ranges and other related problems, issues will be raised to your agency. Once an
issue is raised, a comment for the issue is required in addition to any necessary revision. Some validation checks include:
•
Range checks for typical values found among transit agencies with similar operating characteristics;
•
Logic checks between data items on different NTD forms; and
•
Time series checks against previous years’ data to identify data that have changed significantly.
NTD validation is an interactive, iterative process with two alternating phases:
•
Pre-submission (working data report stage) validation — automatic review prior to submission of the NTD annual
Report; and
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•
Post-submission (the original submission or a revision report stage) validation — review by your assigned NTD
validation analyst after submission of the NTD Annual Report.
In support of the NTD validation process, an NTD validation analyst is assigned to your transit agency. NTD validation
analysts are available to assist transit agency personnel and may be contacted at the NTD Program Office.
Direct contact information for each validation analyst is available from the Home tab in the Announcements section (refer to
the NTD Contact Information). Refer to the exhibit under Where to Report in the Introduction section of this manual for
general NTD contact information (mailing addresses, hours of operation, Help Desk phone and e-mail address, etc.).
Pre-Submission Validation
Internet Reporting automatically performs issue checks after a form is saved. The issue checks assess the completeness
and reasonableness of entered data prior to submission to FTA.
Since some issue checks are performed using data items from more than one form, it is best to respond to issues
after all forms are completed.
Issues are classified by issue type according to severity and action necessary to submit the NTD Annual Report:
•
Important issues are raised when data do not fall within expected ranges or do not appear to conform to NTD
definitions. Important issues can be addressed by revising the relevant data, or by writing a comment explaining
why the data are correct; and
•
Critical issues are raised when data are logically inconsistent and must be corrected. You cannot address a critical
issue with a comment.
You cannot submit your report until all issues – important and critical – are addressed.
The Forms Summary screen identifies the number of issues by each type for each form. You can access the Forms
Summary screen by clicking on the Issues tab from the Annual Report Home page.
Issues associated with prior submissions for the current Report Year (i.e., 2013) and prior Report Years (i.e., 2012 and
earlier) can also be reviewed. To view current or prior years’ issues, click on the Report drop-down menu located above the
tab line, and select the year and report stage (original, working data, revision, or closeout) that you wish to view.
You can review issues for a specific form, by clicking on the Issues tab while viewing the form.
Prior to the original submission, issues are deleted as data are corrected and resaved. Important issues that remain when
the NTD Annual Report is submitted will continue to be available for review on the Issues tab. Any corrections or
explanations subsequent to the original submission will be recorded and are available for review by you and the NTD staff.
Post-Submission Validation by NTD Analysts
After the transit agency submits its NTD Annual Report, the report is frozen at the Original Submission report stage. At this
point in the process, the data cannot be edited by the transit agency. This is also true of each re-submission (revision).
Issues undergo a series of reviews by NTD staff during which the issue status may be changed. At each report stage, you
should address and respond to all issues that are active. After all issues are addressed, the report should be resubmitted.
The status of an issue is not considered to be final until the closeout letter (discussed below) has been approved.
Exhibit 10 — Issue Status
Active
Issues that require review by the transit agency.
Active with Comments
After a transit agency reviews and adds comments to an Active issue, the issue is
assigned an Active with Comments status.
Questionable
Issues may be included in a Closeout with Issues letter and pertinent data is indicated
as Questionable in publications.
Under Review
NTD validation analysts recommend that these issues have been sufficiently addressed
by the transit agency.
As a report is moved through the validation process, the NTD validation analyst reviews the reported data and recommends
that FTA either accept the transit agency’s comments or designates the issue as Active for further review by the agency.
Upon completion of this review, the NTD validation analyst makes the report available to the agency as Working Data.
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When this is done, your agency can edit the report or provide more information. Review by both your transit agency (in
working data stage) and the NTD validation analyst (in revision stages) continues until all issues have been designated as
Fixed, Questionable or Reviewed. The report will then move to the closeout report stage.
As with Form Notes, the issues are frozen with each submission, and cannot be altered until the report is
returned.
Closeout: Completion of Issue Validation
The validation process ends with the generation of the closeout letter for a transit agency. The closeout letter documents
FTA’s acceptance of data. There are two types of closeouts:
•
Closeout without Issues: All issues have been addressed and the revisions or explanations have been accepted by
NTD; or
•
Closeout with Issues: NTD has determined that the reporter’s data collection methods are inadequate, or is not
satisfied with the accuracy of the data.
Once it has been generated, the closeout letter is accessible from the e-File tab.
e-File: Sending Declarations, Requests, and Other Communications
The e-File tab is located between the Home tab and the Annual tab. The e-File tab is a centralized area in which to
compose, organize and track agency correspondence with the NTD program.
All correspondence, waivers and other requests, as well as the Independent Auditor Statements, are attached and submitted
using the e-File tab. These items can only be submitted by the CEO using the CEO username and password.
The e-File tab provides general correspondence, organized by sender (Reporting agency or NTD Program staff). Once
generated, correspondence is stored on the e-File Summary screen. The status or phase (approved, denied, etc.) of the
process for each correspondence item is indicated under the Status heading by correspondence type.
E-mail responses are sent to the transit agency following requests through the e-File system. Examples of letters sent from
FTA to transit agencies are:
•
Closeout correspondence;
•
Late letter correspondence; and
•
Late response correspondence.
e-File Tracking
The e-File Summary screen provides a snapshot of the status of the NTD Annual Report, organized in the following
sections:
•
Report stage;
•
Waivers;
•
Declarations;
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•
Other agency requests; and
•
Outgoing NTD Correspondence.
Report Stage
This section lists the dates that you originally submitted your report and each subsequent revision that was sent to NTD and
returned to your transit agency. Most of the information listed pertains to the current report year. However, some
correspondence or requests may pertain to future years. These items will be displayed indicating the future report year. You
may now select up to two report years for the same request.
To view prior years’ e-File information, you should use the Report drop-down menu, located above the tab line, to select the
year you wish to view. Note that e-File information is not available prior to 2002.
You can add correspondence for prior years’ e-File information by clicking the Add Correspondence button on the current
year’s e-File Summary screen. You then select the year for which you wish to add correspondence from the Add
Correspondence screen.
Waivers
This section contains the correspondence for any waiver requests as well as their current status.
Declarations
This section contains the declarations submitted to NTD via e-File and their current status (Not Submitted, Received,
Cancelled, Approved, Approved with Issues, and Denied). The only declaration that is filed on the e-File tab is the
Independent Auditor Statement for Financial Data (IAS-FD).
Other Agency Requests
All other correspondence between the transit agency and NTD is contained in Other Agency Requests. Examples of this
type of correspondence are:
•
Extension requests;
•
Change in transit agency fiscal year;
•
New fixed guideway (FG) requests;
•
New ID request;
•
New ID request response from FTA; and
•
Clarification of a reporting requirement (other).
Outgoing NTD Correspondence
Electronic copies of all closeout letters, failure to report warning letters (for late report, incomplete report and failure to
respond), and any official correspondence for clarification from FTA are submitted to transit agencies via the e-File tab.
e-File Composing: Waivers, Other Agency Requests and Declarations
Waivers and Other Agency Requests are all considered correspondence. The following section discusses each type of
request and describes the steps taken to create, edit and submit them.
Adding a Request or Declaration
On the e-File Summary screen, buttons are available for each type of correspondence request and declaration (i.e.,
waivers, declarations and other agency requests). You should click the appropriate button to initiate a specific request and
display the Add Correspondence / File screen.
Once a request or declaration is initiated, you will be directed to the Add Correspondence / File screen. On this screen
there are several specific pieces of information that are required, including:
•
Report Year: This is a required field that identifies the report year for which the correspondence is made. In most
cases, you will be adding correspondence that will be applicable to the current report year. However, you may want
to create correspondence pertaining to a future report year. Both current and future report year correspondence will
appear on the e-File Summary screen by report year.
•
Type: This is a required field. You should use the drop-down menus to identify the type of correspondence to be
submitted. For example, if you arrived at this screen by clicking the Add Waiver button, the drop-down menu will
display the five waiver types. If you clicked the Add Declaration button, the three declaration types will be listed.
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Writing or Attaching a Document
You have the choice to either insert text or attach a document to send correspondence to the NTD. You should select Insert
Text to generate a field where you can type your agency’s request. There is also the option to attach a more formal request
by using the Letter Attachment option and submitting the request to NTD following the guidelines below.
Editing a Request
Appropriate transit agency personnel (based on user rights) can edit the request at any time after the request is saved and
prior to submission. To edit the request, you should click on the link to the file you wish to edit (Data Waiver). The file will
open and you can edit the content as necessary. However, Internet Reporting will not let you edit several of the fields used to
identify the specific request.
Attaching Correspondence
Other types of correspondence may also be attached under the Other
Agency Requests heading on the e-File tab. To attach the written
request select the Letter Attachment radio button, then click the
Browse button. A Windows dialog box will appear. The appearance of
the window may be different based on the operating system (Windows
NT, 2000, 95/98, Apple Mac, etc.) being used. Navigate to the
directory in which your file is stored and click Open. The file name will
appear in the text area to the left of the Browse button.
Saving Correspondence
The final step in creating correspondence (waiver, declaration or other agency request) is to Save or Submit the request or
declaration by using one of the three buttons at the bottom of the screen.
Depending on your assigned level of access, you can perform certain tasks within the system. While certain users can
create, save, and submit requests, others may only be able to create and save or simply view the request. This type of rolebased security allows Internet Reporting to verify that the appropriate people are making the necessary requests. Based on
a user’s role, they will see a Cancel, Save and or Submit button. For example:
•
The Cancel button is available to all users. Cancel simply exits the form and no changes are saved.
•
The Save button is available to those users with CEO, NTD and EDT passwords. Once data are entered, the
request may be saved. Once saved, the request is stored and can be reviewed and edited as often as necessary
prior to submitting the report to NTD.
•
The Submit button is limited to the CEO for the original submission.
Once the request is saved or submitted, you are returned to the e-File Summary screen. The e-File Summary screen will
display the request under the appropriate heading, followed by the identifying subject line, the year for which the request is
relevant, the date the request was created, and the status of the request.
NTD Process after e-File Submission
Acknowledgment of Submission
For most submissions, no acknowledgement is provided regarding receipt at the NTD project site. If you concerned about a
submission, please contact your NTD validation analyst.
However, acknowledgements are provided upon receipt of waiver requests, etc. at the NTD project site. An e-mail is sent
back to the CEO and contact person acknowledging receipt of the correspondence. This acknowledgement is also posted on
the e-File tab. If there are problems with the original request, you should contact your NTD validation analyst immediately
upon receipt of the e-mail.
Request Status
Once a request is submitted, NTD begins processing the request or declaration. When the process is complete, it is given a
final status that the transit agency is able to view.
The status column is intended to inform the transit agency about the progress of each request. Distinct statuses apply to the
different request types. The following is a list of the potential statuses and their meanings:
•
Not Submitted: The request is attached but was not submitted to the NTD. The request remains available to the
transit agency for editing and saving but is not valid until submitted to NTD;
•
Received: The request was successfully submitted to NTD. NTD staff will review and take action, if appropriate, on
the request;
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•
Approved: The request was reviewed and approved by FTA;
•
Approved with Issues: Issues were found with the request but were not substantial enough to prevent FTA
approval; or
•
Denied: FTA denied the request.
Viewing a Submitted Request
Official notification from NTD is necessary for a request to be considered approved or denied. When such an action is taken
by NTD, the status column will no longer appear as Received, but will instead reflect the appropriate status. A status other
than received indicates that NTD processed the request. Once the status changes, NTD's official response can be reviewed.
To view, click on the hyperlink for the submitted request you want to view. There will be a link for the Letter Attachment (as
there was when editing). However, since it was already submitted, you cannot edit the request and the Save and Submit
buttons are no longer be available.
When you access the e-File Summary screen, there may be two links for attached files. This occurs if you submitted an
attached document to NTD. The submitted document will be the first link you see. The second link is the official response
from NTD. To view the response, you should click on the link and select Open Document when prompted by the operating
systems dialog box.
e-File at the End of the Year
At the end of the report year, the e-File Summary screen provides a picture of an entire report year. The number of requests
will vary by transit agency; however, all correspondence between the transit agency and NTD is captured. Most important,
when the transit agency is closed out the status Closeout appears, and a closeout letter is listed.
Communications: Viewing a History of Correspondence with NTD
The Communications tab gives transit agencies a centralized area in which to view their past correspondence with the FTA
NTD program. In addition, the correspondence view can be filtered to show only certain processes or communication types.
Reports: Using Reports
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Click on the Reports tab to display the Reports screen. This screen provides access to several reports available to assist
you in preparing or reviewing your agency’s NTD Annual Report. To open a report, click the corresponding link on the
Reports screen and the report will open in Adobe Acrobat Viewer.
Viewing and Printing Reports
Reports can be generated within the Internet Reporting system from either the Reports tab or from the individual form
screens.
Viewing a Report Online
Click on the Report link on the Reports tab to display the report within the IE window. Use the scroll bar or the following
navigation buttons to scroll through the report:
•
To go to the next page, use the right arrow
•
To go to the previous page use, the left arrow
•
To go to the last page, use the right arrow with a line to the right
•
To go back to the first page, use the left arrow with a line to the left
;
;
; and
.
To Print a Report from the Reports Tab
Click on the Print Report button
(printer icon) in the upper left corner of the viewer. A window will open and the
document is converted to a PDF file. You can then click the Print button on the resulting Print screen.
To Print a Form Report from a Form Screen
Click on the Print button at the bottom of the Form screen to display the report in the window. Click the Print button
the upper left corner of the viewer. Then click the Okay button on the resulting Print window.
in
Selected reports associated with prior submissions for the current Report Year (i.e., 2013) and prior Report Years (i.e., 2012
and earlier) also can be reviewed. To view current or prior years’ reports, click on the Report drop-down menu located
above the tab line, and select the year and report stage (original, working data, revision, or closeout) that you wish to view.
Available Reports
The following report links are available on the Reports screen:
•
Notes and Issues;
•
Service Characteristics – Time Series;
•
Key Performance Indicators;
•
Revenue Vehicle Inventory – Prior Years History;
•
Operating Expenses by Function and Hourly Wages – Prior Years History;
•
Key Performance Indicators – Average Trip Length – Prior Years History;
•
Ridership Activity Summary Report; and
•
FFA Data Distribution by UZA.
For all of the reports (other than Notes and Issues), the default will be a five-year history. However, the user can change the
report to show additional years’ history using the Report drop-down located above the tab line.
Notes and Issues Report
Click on the Notes and Issues Report link to print all of the form notes and issues associated with the NTD Annual Report
as viewed on the Form Notes screen or Issues tab.
Service Characteristics – Time Series
Click on the Service Characteristics link to view the report. This report provides the number of vehicles operated in annual
maximum service (VOMS), the vehicle revenue hours (VRH) and miles (VRM), the deadhead hours and miles, the total
actual hours and miles, the number of unlinked passenger trips (UPT), the number of passenger miles traveled (PMT), and
the total operating expenses for each mode and TOS operated for the current reporting year and prior years, with the
percentage of variation from year to year.
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Key Performance Indicators
Click on the Key Performance Indicators link to view the report. This report provides the trip length, load factor, revenue
speed, deadhead speed, cost per hour, cost per mile and cost per passenger for each mode and TOS operated for the
current reporting year and prior years, with the percentage of variation from year to year.
Revenue Vehicle Inventory – Prior Years History
Click on the Revenue Vehicle Inventory – Prior Years History link to view the report. This report provides the total fleet,
active fleet, ADA fleet, and average fleet age for each mode and TOS operated for the current reporting year and prior years,
with the percentage of variation from year to year.
Operating Expenses by Function and Hourly Wages – Prior Years History
Click on the Operating Expenses by Function and Hourly Wages – Prior Years History link to view the report. This
report provides the vehicle operations expense, vehicle maintenance expense, non-vehicle maintenance expense, general
administration expense, vehicle operations hourly wage rate, vehicle maintenance hourly wage rate, non-vehicle
maintenance hourly wage rate and general administration hourly wage rate for each mode and TOS operated for the current
reporting year and prior years, with the percentage of variation from year to year.
Key Performance Indicators – Average Trip Length – Prior Years History
Click on the Key Performance Indicators – Average Trip Length – Prior Years History link to view the report. This report
provides the average trip length by average weekday service, average Saturday service, average Sunday service and
annual total data for the current report year and prior years, with the percentage of variation from year to year.
Ridership Activity Summary Report
Click on the Ridership Activity Summary Report link to view the report. This report shows a summary of your monthly
ridership data by mode and type of service for the year selected.
FFA Data Distribution by UZA
Click on the FFA Data Distribution by UZA link to view the report. This report shows the percentage allocation of various
data points across applicable UZAs that you service for Federal Funding Allocation purposes.
Help: Obtaining More Information
Click on the Help tab to display the Help screen. The Help screen provides access to the 2013 Urban Reporting Manual
(previously tilted Annual Reporting Manual) for additional help in completing the NTD Annual Report forms. The Help screen
displays the table of contents for the Reporting Manual with links to each section of the manual.
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Basic Information Module
This module contains three forms:
•
Identification Form (B-10);
•
Contacts Form (B-20); and
•
Contractual Relationship Form (B-30).
Identification form (B-10)
The B-10 form collects basic organizational and service information about transit agencies, including state recipients,
Metropolitan Planning Organizations (MPOs), and regional planning commissions filing National Transit Database (NTD)
reports. Internet Reporting uses this information to generate the appropriate forms for the reporter, based on the uses of
§5307 Urbanized Area Formula Program (UAF) funds, the number of vehicles operated by mode and type of service (TOS),
capital improvements for modes of service not yet in operation, contractual agreements with transit agencies filing their own
NTD reports, selection of Small System Waiver (30 or fewer vehicles), and the size of the urbanized area (UZA).
This form is required for all transit agencies, including state recipients, MPOs, and regional planning commissions.
Contacts form (B-20)
The B-20 form identifies key personnel at the transit agency responsible for NTD reporting. The form collects information on
how to reach the chief executive officer (CEO), and NTD safety and security contacts. Transit agencies may also identify
additional personnel to receive NTD communications, if desired, by contacting their NTD analyst.
This form is required for all transit agencies.
Contractual Relationship form (B-30)
The B-30 form identifies the buyers and sellers of purchased transportation (PT) services and provides key financial and
operating data for the purchased service.
This form is required for all transit agencies with contractual relationships for PT services.
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Identification form (B-10)
Identification form (B-10) — 37
2013 Urban Reporting Manual
Overview
The B-10 form collects basic organizational and transit service information about transit agencies, state recipients,
Metropolitan Planning Organizations (MPOs), and regional planning commissions filing National Transit Database (NTD)
reports. Internet Reporting uses this information to generate the appropriate forms for the reporter, based on uses of §5307
Urbanized Area Formula Program (UAF) funds, the number of vehicles operated by mode and type of service (TOS), capital
improvements for modes of service not yet in operation, contractual agreements with agencies filing their own NTD Annual
Reports, selection of a Small System Waiver (30 or fewer vehicles operated in annual maximum service), a Grants Waiver
request and the size of the urbanized area (UZA).
Reporting Requirements and Thresholds
All reporters must complete this form.
Most information is pre-filled from the prior report year. You should review the information and edit as necessary. If you need
to change the pre-filled data (such as changes to your agency’s fiscal year end (FYE) date or changes to your primary UZA),
you will need to contact your NTD analyst.
Small System Waiver (30 or fewer vehicles)
Reporters should also use this form to indicate that they are filing a Small System Waiver. Agencies reporting as “Small
System Waiver” will have a reduced set of requirements. See the Introduction section of this manual for additional
information on waivers.
Planning and Capital Grants Waiver
Reporters that are not yet operating service, but are expending UAF funds on planning or capital investment will fill out an
abbreviated version of this form. The waiver request should be submitted via the e-File. If you are granted a Capital Grants
Waiver, only the F-10 and F-20 forms will be generated. See the Introduction section of this manual for additional information
on waivers.
What Has Changed from Prior Year
There are no changes for the 2013 report year.
Approach
This form is used to collect the basic data that identifies your transit agency, including your agency’s name, address, and
organization type. This form also identifies the urbanized areas served by your agency, and whether your agency provides
service to any non-urbanized areas.
Detailed Instructions
This section discusses the key issues involved in completing this form.
At the top of the form is the NTD identification number (NTD ID) and agency name. This information is pre-filled and cannot
be edited. If the information is incorrect, please contact your NTD analyst.
NTD ID
The NTD ID is the four-digit number FTA assigned to your agency. Review to ensure your NTD ID is correct (i.e. the first
number in your agency’s ID is the region where you operate service). Contact your NTD transit analyst immediately if there is
a problem.
Identification Information
The agency identification information is pre-filled based on the prior report year submission. Review and edit any information
that is no longer correct.
Fiscal Year
The fiscal year must always cover a 12-month period. The fiscal year end date (FYE) appears as a non-editable field
because reporters rarely change their FYE.
38 — Identification form (B-10)
2013 Urban Reporting Manual
If your agency’s fiscal year has changed, contact your NTD validation analyst and describe the change. Your NTD validation
analyst will answer any questions that you have about the reporting implications of changing your fiscal year.
Use the e-File tab to inform FTA of the new fiscal year end date. FTA will define a 12-month period for your NTD Annual
Report that either repeats months from the prior report or skips months from the end date of the prior report. FTA will reply
via the e-File tab summarizing this decision and will also change the fiscal year date in item 1 of the form.
You should wait for FTA's decision regarding the 12-month reporting period before you enter data into the NTD forms.
Mailing Address
The agency's mailing address. Agencies must either indicate a mailing address on line 1, or a P.O. Box address in the P.O.
Box field.
URL
A universal resource locator (URL) is the address of the agency's website; e.g., www.pbtransit.com or www.coastertransit.org. Do not include http://. Not all NTD reporting agencies have a website address.
Agency Name and Acronym
The agency name is the full legal name of the agency. The agency’s acronym is the trademark or familiar name used for
marketing the transit service. This acronym may be used in selected FTA publications.
FTA Recipient ID
The FTA recipient identification number (TEAM ID) is the four-digit number assigned to your agency for the FTA electronic
grant making system – TEAM (Transportation Electronic Award and Management). If you have a question regarding this
number, please contact your agency's grant manager or chief executive officer (CEO). Not all NTD reporting agencies will
have a recipient identification number. Please be aware that the FTA Recipient ID is not the same as your NTD ID.
DUNS Number
The Data Universal Numbering System (DUNS) is a system developed and regulated by Dun & Bradstreet (D&B) which
assigns a unique nine-digit numeric identifier to a single business entity. All grant applicants for new or renewal awards on or
after October 1, 2003 must have a DUNS number.
Are You a Recipient or Beneficiary of Urbanized Area Formula Program Grants with
Continuing Requirements?
This question identifies NTD reporting agencies that are recipients or beneficiaries of UAF Program grants and are required
by statute to submit the NTD Annual Report. You should answer Yes if:
•
You received a §5307 grant during your most recent fiscal year;
•
You received pass-through benefits of §5307 funds from another grant recipient during your most recent fiscal year;
•
You used capital equipment originally purchased with §5307 money, and which was not past its useful life at the
beginning of your most recent fiscal year; or
•
You do not fall into any of the above categories, but you received or benefited from §5307 grants in the past and
intend to apply to receive or benefit from §5307 grants in the future.
You should answer No if you do not fall into any of the above categories, and you are a voluntary reporter to the NTD.
Are You Requesting a Small System Waiver?
This section is for transit agencies requesting a Small System (30 or fewer vehicles) Waiver from reporting. You should
answer Yes to apply for this waiver. Agencies who request this waiver report less detailed financial and service data. The
report is simpler to complete; however, agencies are not eligible for certain factors of Small Transit Intensive Cities (STIC)
funding. Contact your grants office or local MPO for more information regarding STIC funding. For detailed instructions, you
should see Small Systems Waiver in the Introduction section of this manual.
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Organization Type
This section describes the most common types of transit agencies:
independent public entity or its subsidiary, unit or department of
government, university, and planning agency. There are also
categories for less common organization types: area agency on aging,
private for-profit or non-profit corporation, private provider reporting for
the public buyer of service, and consolidated reporter.
Exhibit 11 — Organization Type menu
selections
1
Independent public agency or authority for
transit service
2
Subsidiary unit of a transit agency; reporting
separately
3
City, county or local government; Unit or
department of
This typically includes transit districts and benefit areas that are
independent entities with their own powers, by legislative mandate.
Also, public transit may be only one of the independent agency’s or
authority’s responsibilities. They may have responsibility for other
transportation modes such as airports or ports.
4
State government; Unit or department of
5
University
6
Area agency on aging
7
MPO, COG or other planning agency
If you are a joint powers agency, select public agency or authority.
Basically, this is a public entity that is a group of two or more public
agencies that is set up to exercise powers together that members of
the group already have.
8
Other publicly-owned or publicly-chartered
corporation
9
Private for-profit corporation
10
Private non-profit corporation
11
Private provider reporting on behalf of a public
entity
12
Consolidated reporter
13
Other
Select one of the categories from the Organization Type drop-down
menu.
Independent Public Agency or Authority for Transit Service
Subsidiary Unit of a Transit Agency; Reporting Separately
This is typically part of an authority with multiple responsibilities, such
as a transportation authority responsible for both transit and airport
transportation. Or, it may be a transit authority that has separate
operating districts for different urbanized areas. For these subsidiaries,
there will be multiple NTD reporters.
If there is only one subsidiary unit for transit or multiple subsidiaries that are all transit modes, choose menu selection 1:
independent public agency or authority for transit service.
Unit or Department of City, County or Local Government
This is the most common form of public transit organization. For NTD, the unit or department is the transit agency and
reports as the city, county or local government since it is the legal entity with authority to operate transit.
Unit or Department of State Government
There are a limited number of state entities reporting to NTD. Independent public-benefit corporations for transit service that
were chartered by the state should select independent public agency or authority for transit service. Select unit of or
department of state government only if you are actually part of the state government and use one or more state employees.
University
These are university and college systems of both private and public institutions providing public transportation.
Area Agency on Aging
These are organizations established under the Older Americans Act in 1973 to respond to the needs of Americans sixty and
over.
Metropolitan Planning Organization (MPO), Council of Governments (COG), or Other Planning Agency
These entities primarily address short- and long-range transportation needs in an area through a cooperative process among
local jurisdictions. They are often involved in planning and capital grants for new transit modes prior to start-up of operations.
They also often are responsible for regional vanpool programs reporting to the NTD.
Other Publicly-Owned or Publicly-Chartered Corporation
40 — Identification form (B-10)
2013 Urban Reporting Manual
There are only a few of these entities reporting to NTD. They are usually quasi-public agencies that do not fit any of the
above categories, such as a business improvement district that also provides transit service. Internet Reporting will display a
box for you to describe your organization type.
Private For-Profit Corporation
There are only a few of these reporters. They operate independently for profit and are not under contract for transit service.
Private Non-Profit Corporation
There are only a few of these reporters. They do not operate for profit and are not under contract for transit service.
Private Provider Reporting on Behalf of a Public Entity
These are rare exceptions since NTD requires the buyer of service to report.
Consolidated Reporter
There are only a few consolidated reporters for NTD. Consolidated NTD reporters are a collection of transit agencies filing
one report. One reporter may file a consolidated report on behalf of other reporters if it is easier to collect and control the
quality of the data. This often occurs when one transit agency coordinates the development and funding of public
transportation services in an area. Transit agencies filing a consolidated report must operate within the same UZA.
Consolidated reporters must be pre-approved by FTA (See Introduction).
Other
If none of the choices fits your agency, select category 13: Other. Internet Reporting will display a box for you to describe
your organization type.
Demographic Information
The demographic information describes the area and population where transit service is operated. Information is provided for
urbanized (UZA) and non-urbanized areas and for service area.
Urbanized Area
The U.S. Bureau of the Census defines and identifies Urbanized Areas (UZA). An UZA is defined by the Census as a
densely-populated core and nearby densely-settled areas that together contain at least 50,000 in population, at least 35,000
of whom are not living on a military installation. The most-recent UZAs were identified using data from the 2010 Census. For
detailed information on how the Census Bureau defines and identifies Urbanized Areas, please consult the Census Bureau
website at: http://www.census.gov/geo/reference/ua/urban-rural-2010.html.
The UZA number is a designation assigned by FTA. For
urbanized areas in the 50 United States and the District
of Columbia, the UZA number is a numerical ranking by
population size. Urbanized areas in Puerto Rico, the
Virgin Islands, and the Northern Marianas are also
assigned a unique UZA number by FTA. The Virgin
Islands are not recognized as an urbanized area by the
Census Bureau, but pursuant to 49 U.S.C. 5307(l), FTA
treats the Virgin Islands as an urbanized area for
purposes of transit grant-making.
The NTD treats all UZAs as either Large UZAs, Medium
UZAs or Small UZAs. A Large UZA is a UZA with more
than 500,000 in population. A Medium UZA is a UZA
with between 200,000 and 499,999 in population. A
Small UZA is a UZA with fewer than 200,000 in
population. The NTD also refers to non-urbanized areas
as Rural Areas. Your primary UZA number and name
are pre-filled and cannot be edited. If the information
is incorrect, please contact your NTD validation
analyst.
Identification form (B-10) — 41
2013 Urban Reporting Manual
Identify all UZAs other than your primary UZA that are served by your transit agency as “secondary UZAs.” Additionally,
identify if your transit agency serves any areas outside of the Census-defined urbanized areas. Identify the “Non-UZA-0”
UZA if you provide any service that picks up or drops off passengers outside of the Census-defined Urbanized Areas, even if
all of your service data will be allocated to one or more UZAs on your FFA-10 form.
Secondary UZA numbers with names are pre-filled based on information provided in last year’s NTD submission. You can
edit secondary UZA numbers with names, from the Available Secondary UZA/Non-UZA(s) drop-down menu of UZAs using
the Add UZA or Remove UZA buttons.
Service Area
Service area is the total population and square miles served for all modes and types of services provided. For bus (MB),
trolleybus (TB), and rail service, use ADA definitions and requirements to determine service area boundaries and population.
The bus service area is essentially defined as ¾ mile on each side of a fixed route. The rail service area definition
focuses on a ¾-mile radius around each station.
For demand response (DR) and demand response-taxi mode, if your service area extends beyond ADA requirements of ¾
mile around fixed routes, use the actual service area.
For modes not covered by ADA, including ferryboat (FB) and vanpool (VP), determine service area and population using
locally defined criteria.
Service area and population are pre-filled based on the information provided in the prior report year submission. Review and
update the data as appropriate. Use the most current figures or official estimates of population. These statistics are often
available from your area's metropolitan planning organization.
Population and area (in square miles) statistics for the UZA will not equal those for the service area in most cases. This is
true because UZA statistics are based on Census definitions, while service area statistics are based on where services are
operated. The Sample Metropolitan Area graphic shows an example of these differences for a transit system that serves
portions of three urbanized areas UZAs and also serves a rural (other than urbanized area) area.
Number of Vehicles Operated in Annual Maximum Service by Mode and Type of Service
Report the number of VOMS, by mode and TOS, for those services included in your report.
Vehicles Operated in Maximum Service (VOMS)
VOMS are the maximum number of revenue vehicles necessary to actually operate service excluding atypical days (e.g.,
Fourth of July), or one-time special events (e.g., World Series celebrations, political conventions). This is the maximum
number of vehicles on the street or guideway (rails, waterways, overhead catenary) at any one time. Vehicles deployed as
extra service should not be included in VOMS. In other words, VOMS is the largest number of vehicles scheduled to
operate at any one time during the year.
Type of Service (TOS)
TOS is determined by who operates the revenue vehicles that carry passengers. Transit agencies have DO transit service
when they employ their own labor for operators. Conversely, transit agencies have PT service when they contract another
public or private provider to provide the labor for the operators.
The Contractual Relationship form (B-30) section of this manual provides more detailed information about the criteria for a
contractual relationship for PT services, monetary considerations and cooperative agreements.
Note also that if you provide transit services through a brokerage system, either directly or through a purchased
transportation agreement, you may report only transit service that is provided by agencies participating in the brokerage
under the purchased transportation agreement.
Mode
Transit agencies operate one or more modes of transit service. A mode is a system for carrying transit passengers described
by specific right-of-way, technology and operational features.
To determine the appropriate mode, determine if a set of services substantially share vehicles, employees, and operating
policies. If so, this would constitute a single mode for NTD reporting purposes, and would be classified to the mostappropriate mode based on the predominant characteristics of the group of services as a whole. The NTD recognizes the
following modes of public transit service:
42 — Identification form (B-10)
2013 Urban Reporting Manual
Exhibit 12 — Modes of Public Transportation
Aerial Tramway (TR) Non-Rail – Fixed
Guideway
Alaska Railroad (AR) Rail – Fixed
Guideway
Bus (MB) Non-Rail – Fixed Guideway or
Non-Fixed Guideway
A system of aerial
suspended vehicles.
A special railroad that Congress recognized
for certain FTA funding that operates in
Alaska.
Fixed-route bus service is the mostprevalent mode in the country. MB
service is powered by a motor and fuel
contained within a vehicle. Deviated
fixed-route service is also reported as
MB.
Bus Rapid Transit (RB) Non-Rail –
Fixed Guideway or Non-Fixed Guideway
Cable Car (CC) Rail – Fixed Guideway
Commuter Bus (CB) Non-Rail – Fixed
Guideway or Non-Fixed Guideway
Fixed-route bus systems that operate at
least 50% of the service on fixed
guideway. These systems also combine
passenger stations, traffic signal priority
or pre-emption, low-floor vehicles or
level-platform boarding, and separate
branding of the service. This is often a
lower-cost alternative to light rail.
A railway propelled by moving cables
located beneath the street. While popular at
the turn of the last century, the only
surviving system is operated in San
Francisco.
cables
with
Fixed-route bus systems that are
primarily connecting outlying areas with a
central city. Service typically uses overthe-road
buses
with
service
predominantly in one direction during
peak periods, limited stops, and routes of
extended length.
Identification form (B-10) — 43
2013 Urban Reporting Manual
Exhibit 12 — Modes of Public Transportation
Commuter Rail (CR) Rail – Fixed
Guideway
Rail service operating on either old
freight railways, or on tracks that are
shared with freight railways, Amtrak, or
both. The service is characterized by
relatively long distances between stops,
for service primarily connecting a central
city with outlying suburbs and cities. The
service may be either diesel or electricpowered and usually has gradecrossings with roadways.
Ferryboat (FB) Non-Rail – Fixed
Guideway
A mode that carries passengers over
water.
44 — Identification form (B-10)
Demand Response (DR) Non-Rail – NonFixed Guideway
Demand Response – Taxi (DT) NonRail – Non-Fixed Guideway
Shared-ride demand response service is
scheduled in response to calls from
passengers. Many transit systems operate
demand response (DR) service to meet the
requirements of ADA.
A special form of the demand response
mode
operated
through
taxicab
providers, but with a system in place to
facilitate ride sharing. The mode is
always purchased transportation type of
service. For Demand Response Taxi to
be considered public transportation there
must be an attempt for a shared ride
program. Voucher Programs are not
considered public transportation.
Heavy Rail (HR) Rail – Fixed Guideway
Hybrid Rail (YR) Rail – Fixed Guideway
An electric railway that operates local
service in exclusive right-of-way. The
service is characterized by long trains of six
to eight cars or more and by relatively short
distances between stops for local service
within a city and the immediate suburbs.
The Nation’s traditional subway systems
are classified as heavy rail.
Rail systems primarily operating routes
on the National system of railroads, but
not operating with the characteristics of
commuter rail. This service typically
operates light rail-type vehicles as diesel
multiple-unit trains (DMU’s).
2013 Urban Reporting Manual
Exhibit 12 — Modes of Public Transportation
Inclined Plane (IP) Rail – Fixed
Guideway
Jitney (JT) Non-Rail – Non-Fixed
Guideway
Light Rail (LR) Rail – Fixed Guideway
A railway operating on steep slopes and
grades with vehicles powered by moving
cables.
A unique form of bus service using owneroperated vehicles on fixed routes.
An electric railway that operates local
service in mixed traffic with road
vehicles, or has grade crossings with
roadways. The service is characterized
by short trains of one to four cars and by
relatively short distances between stops
for local service within a city and the
immediate suburbs.
Monorail/Automated Guideway (MG)
Rail – Fixed Guideway
Publico (PB) Non-Rail – Non-Fixed
Guideway
Streetcar Rail (SR) Rail – Fixed
Guideway
An electric railway that straddles a single
guideway. It may have vehicle operators
or may use computers to guide the
vehicles.
Publicos are jitney services operated in
Puerto Rico.
Rail
systems
operating
routes
predominantly on streets in mixed-traffic.
This service typically operates with
single-car trains powered by overhead
catenaries and with frequent stops.
Trolleybus (TB) Non-Rail – Fixed
Guideway
Vanpool (VP) Non-Rail – Non-Fixed
Guideway
Other
Fixed-route service using rubber tire
buses powered by electric current from
overhead wires using trolley poles.
Service using rubber tire replica trolleys
or historic trolleys, powered by an onboard motor are not included in this
mode.
A commuting service operating under prearranged schedules for previously formed
groups of riders in vans.
If none of the choices fits your agency,
select the category: Other. Internet
Reporting will display a box for you to
describe the other mode.
Identification form (B-10) — 45
2013 Urban Reporting Manual
Vanpool Reporting Requirements
When data for a vanpool program is reported to the NTD for the first time, the reporter must submit a written self-certification
to the NTD, that:
•
The vanpool is open to the public and that any vans that are restricted by rule to particular employers and which do
not participate in the public ride-matching service of the vanpool are excluded from the NTD report;
•
The vanpool is actively engaged in advertising the vanpool service to the public and in matching interested
members of the public to vans with available seats;
•
The vanpool program, whether operated by a public or private entity, is operated in compliance with the Americans
with Disabilities Act of 1990 and implementing regulations at 49 CFR 37.31; and
•
The vanpool has a record-keeping system in place to meet all NTD reporting requirements, consistent with
other modes, including collecting and reporting fully-allocated operating and capital costs for the service.
At the same time, the vanpool program must certify that it is publicly sponsored, as either:
•
Directly-operated by a public entity;
•
Operated by a public entity via a contract for purchased transportation service with a private provider;
•
Operated by a private entity as a grant recipient or subrecipient from a public entity; or
•
Operated by an independent private entity with approval from a public entity that certifies that the vanpool program
is helping meet the overall transportation needs of the local urbanized area.
Vanpool mode requires vehicles to have a seating capacity of at least seven.
Multi-Modal Vehicles
If a vehicle is used for more than one mode, report it under each mode for which it is used and describe the use of the
vehicle using the Add Form Notes link.
For example, the transit agency may use five of its vehicles in MB mode during peak hours and, during non-peak hours, may
use the five vehicles in DR service. The agency would report all of the vehicles as MB and DR on the Revenue Vehicle
Inventory form (A-30) and should select Yes under “Supports another mode.”
Route and Point Deviation Services
Route deviation and point deviation services have operating characteristics of both MB and DR modes. Route deviation
service operates as a conventional bus route, but permits the bus to deviate from the route and service destinations within a
prescribed distance (e.g., ¾ mile). Point deviation service makes scheduled stops at mandatory times along a corridor, but
travels between the time points on a path that serves the origins and destinations of the passengers.
You should report route deviations and point deviations in MB service as MB mode. For MB service, the extent of deviation
for whatever purpose, including an ADA-eligible trip, is MB mode for all service supplied, service consumed and operating
cost data. Trips certified for ADA passengers for route/point deviation services are counted as MB trips.
46 — Identification form (B-10)
2013 Urban Reporting Manual
Incidental Transit Service
There are times when existing transit services cannot meet demand. Transit agencies provide alternate ways to
accommodate transit riders. This often occurs for:
•
Employer-based Guaranteed Ride Home (GRH) program where the transit agency works with employers to ensure
employees who took transit to work and who must leave work for a personal emergency (illness, family crisis) or
have unscheduled overtime, have a ride home. There are often limits on the number of times an employee or
company may use the GRH;
•
Service interruptions (e.g., vehicle breakdown) and a replacement vehicle is not available, or an accident on light
rail tracks so passengers must transfer to a bus line; or
•
Cancellation of a reserved passenger trip in the demand response mode (vehicle or driver unavailable).
As these occurrences are infrequent, the alternate transit services are “incidental” to the regular mode of service.
Transit agencies provide incidental services typically in one of two ways:
•
Taxicabs — reimbursing riders for the cost of the ride; or
•
Transit agency — using vehicles available from another mode or service vehicles (such as a supervisor van and its
driver) to provide the ride.
Report operating expenses for incidental transit services under the mode for which the services are being provided as an
alternate or back-up. Do not report non-financial data statistics for incidental services, such as vehicle revenue miles and
hours or unlinked passenger trips. Do not report incidental transit services as a separate mode. For the light rail accident
described above, the incidental service is part of the light rail mode, not bus mode. Similarly for a GRH program, substituting
with taxi service does not require a separate Contractual Relationship form (B-30); report the taxi service under the normal
transit mode used.
Fixed Guideway for Bus, Bus Rapid Transit and Commuter Bus
If your transit agency enters VOMS for bus (MB), bus rapid transit (RB), or commuter bus (CB), the following two additional
questions will appear on the form in order to determine if the service operates over FG. First, select from the menu of bus
services and indicate whether this is DO or PT service.
•
If there is directly-operated (DO) service, the following question will appear: Does your (bus type) DO service
operate over FG?
•
If there is purchased transportation (PT) service, the following
question will appear: Does your (bus type) PT service operate
over FG?
By TOS, indicate Yes if any of the service is operated over FG or No if
none of the service is operated over FG. If Yes is selected, after the B-10
form is saved, the Fixed Guideway Segments form (S-20) and the Transit
Way Mileage form (A-20) will be generated.
Exhibit 13 — Bus Type menu selections
1
Bus
2
Bus rapid transit
3
Commuter bus
Capital or Non Capital Investment for Mode not Currently in Service
This section describes modes by TOS that are not in operation during the reporting period, but for which the agency is
incurring or planning capital expenses. These modes of service typically are in the planning, design or construction phases
prior to beginning passenger service. However, in rare cases, these modes also could be existing modes for which service
has been suspended as part of a renovation program (e.g., cable car service in San Francisco suspended while the cable
system is being rebuilt).
Internet Reporting uses the information in this section to generate the data fields for reporting the capital costs for modes not
currently in service in the Uses of Capital form (F-20).
This section is required for agencies with a Grants Waiver (Planning or Capital).
Select each mode by TOS from the Available Modes / Services selection menu by using the Add or Remove Mode / Type
of Service buttons.
Filing a Separate NTD Report
This section is used by transit agencies to report the number of VOMS, by mode, for PT services not included in their report
but that are included in another NTD reporter’s report. Internet Reporting uses this information to generate:
•
Appropriate Operating Expenses forms (F-30) for indicated modes; and
Identification form (B-10) — 47
2013 Urban Reporting Manual
•
The data fields for reporting the capital costs on the F-20 form for the PT service included in the other NTD
reporter’s report.
Select each mode from the Available Mode(s) selection menu by using the Add Mode or Remove Mode buttons.
Line by Line Instructions for Identification form (B-10)
Upon entering your reporting area for the first time, you will be taken to the Internet Reporting Home Page.
•
Click on the Annual tab to open the Annual screen; and
•
Click on the Identification form (B-10) link to open the form. Review and complete the form following the
instructions in this section.
Form Level Help: Click on the Help tab at the top of the screen for form level help.
Form Note: A form note can be attached to any form. Use the Add Form Note link for relevant information to a specific field,
to the entire form or to multiple forms. Click on the Add Form Note link at the top of the screen and enter your note on the
Notes screen. You can review or edit a form note from the Notes tab. Do not use the Form Notes feature to answer issues
generated from this form. From the Issues tab use the Add Comments link next to the specific issue.
Saving or Closing the Form: Click on the Save button at the bottom of the screen to save the form. Click on the Close
button at the bottom of the screen to close the form without saving. Saving the Identification form will automatically
generate forms for you.
Additional forms you may need to add: Contractual Relationship forms (B-30) are added by clicking on the Add Form
button at the bottom of the Annual screen. See the section of this Manual regarding the B-30 form below.
NTD ID: Review to be sure the NTD identification number (NTD ID) is correct. Contact your NTD analyst immediately if there
is a problem.
Line 01: Agency Identification Information. Pre-filled, review for accuracy, edit as necessary.
•
Agency Name: The agency's full legal name. No abbreviations or acronyms.
•
Fiscal Year: Review to be sure the agency's fiscal year end (FYE) date (month, day, year) is correct. If the FYE
date has changed, contact your NTD analyst immediately. Prior to filing the report: Transit agencies must notify FTA
using the e-File tab when a fiscal year is changed so FTA can determine the appropriate reporting period.
Reminder: The fiscal year must always cover a 12-month period, and if the fiscal year has changed, months are
skipped or repeated, if necessary.
•
Mailing Address: The agency's mailing address. Agencies must either indicate a mailing address on line 1, or the
number(s) of a P.O. Box in the P.O. Box field.
•
URL: The agency's URL (website address) such as www.pbtransit.com or www.coaster-transit.org. Do not include
http://.
•
Agency Acronym: The agency's acronym that is used for marketing the transit service. This acronym will be used in
selected NTD publications.
•
FTA Recipient ID: The agency's FTA recipient ID number (TEAM). Not all transit agencies will have a
recipient ID. Check with your grants manager or chief executive officer (CEO) if you have any questions.
•
DUNS Number: The agency’s DUNS number as assigned by Dun & Bradstreet. The DUNS number is required for
all grant applicants for new or renewal awards on or after October 1, 2003.
•
Are You a Recipient or Beneficiary of Urbanized Area Formula Program Grants with Continuing Requirements?
Yes/No (voluntary reporter): This identifies NTD reporting agencies that are recipients or beneficiaries of Urbanized
Area Formula Program (UAF) grants and are required by statute to submit the NTD Annual Report. Voluntary NTD
reporters are not required to submit the NTD Report since they are not recipients or beneficiaries of UAF Program
grants. Refer to the Introduction section of this manual for more information on required and voluntary reporting.
Line 02: Are you requesting a Small System Waiver? Pre-filled, review for accuracy, edit as necessary.
•
If Yes, the required forms will be generated.
•
Does not apply to Grants Reporting or Planning Reporting Waivers.
Line 03: Organization Type. Pre-filled, review for accuracy, edit as necessary. Select only one from the drop-down menu:
48 — Identification form (B-10)
2013 Urban Reporting Manual
•
Independent public agency or authority for transit service. This typically includes transit districts and benefit areas
that are legislated as independent entities with their own powers. Also, public transit may be only one of the
independent agency’s or authority’s responsibilities. They may have responsibility for other transportation modes
such as airports or ports.
o
•
If you are a joint powers agency, make this selection. Basically, this is a public entity that is a group of two
or more public agencies that is set up to exercise powers together that members of the group already
have.
Subsidiary unit of a transit agency; reporting separately. This is typically part of an authority with multiple
responsibilities such as a transportation authority responsible for both transit and airport transportation. Or, it may
be a transit authority that has separate operating districts for different urbanized areas. For these subsidiaries, there
will be multiple NTD reporters.
o
If there is only one subsidiary unit for transit or multiple subsidiaries that are all transit modes, make menu
selection 1: independent public agency or authority for transit service.
•
City, County or Local government; Unit or department of. This is the most common form of public transit
organization. For NTD, the unit or department is the transit agency and reports as the city, county or local
government since it is the legal entity with authority to operate transit.
•
State government, Unit or department of. There are a limited number of state entities reporting to NTD. Independent
public-benefit corporations for transit service that were chartered by the state should select independent public
agency or authority for transit service. Select unit of or department of state government only if you are actually part
of the state government and use one or more state employees.
•
University and college systems: These are university and college systems of both private and public institutions
providing public transportation.
•
Area agency on aging. These are organizations established under the Older Americans Act in 1973 to respond to
the needs of Americans sixty and over.
•
MPO, COG or other planning agency. These entities primarily address short and long-range transportation needs in
an area through a cooperative process among local jurisdictions. They are often involved in planning and capital
grants for new transit modes prior to start-up of operations. They are often also responsible for regional vanpool
programs reporting to the NTD.
•
Other publicly-owned or publicly-chartered corporation. There are only a few of these entities reporting to NTD.
They are usually quasi-public agencies that do not fit any of the above categories, such as a business improvement
district that also provides transit service. Describe in the Organization Type – Other Description field.
•
Private-for-profit corporation. There are only a few of these reporters. They operate independently for profit and are
not under contract for transit service.
•
Private non-profit corporation. There are only a few of these reporters. They do not operate for profit and are not
under contract for transit service.
•
Private provider reporting on behalf of a public entity. These are rare exceptions since NTD requires the buyer of
service to report.
•
Consolidated reporter. There are only a few consolidated reporters for NTD. Consolidated NTD reporters are a
collection of transit agencies filing one report. One reporter may file a consolidated report on behalf of other
reporters if it is easier to collect and control the quality of the data. This often occurs when one transit agency
coordinates the development and funding of public transportation services in an area. Transit agencies filing a
consolidated report must operate within the same UZA. Consolidated reporters must be pre-approved by FTA (See
Introduction).
•
Other: Select if none of the above apply. Describe in the Organization Type – Other Description field.
Line 05: Demographic Information. Pre-filled, review for accuracy, edit as necessary.
•
Primary UZA: The primary urbanized area (UZA) where transit services provided by the agency, directly or through
PT agreements, are physically located. The primary UZA cannot be edited.
•
Service Area Information – Square Miles. Square miles in the transit agency's service area in accordance with the
Americans with Disabilities Act of 1990 (ADA) and local definitions. Statistics (population and area in square miles)
for the UZA will not equal those for the service area in most cases.
•
Service Area Information – Population. Population of the service area. Statistics (population and area in square
miles) for the UZA will not equal those for the service area in most cases.
Identification form (B-10) — 49
2013 Urban Reporting Manual
•
Secondary UZA / Non-UZA. Use the Add UZA or Remove UZA button to edit. The UZAs where transit services
provided by the agency, directly or through PT agreements are physically located. Include areas covered by
contractors filing their own NTD Annual Report. Do not use the funding criteria described in the Federal Funding
Allocation Statistics form (FFA-10) to identify UZAs and other than urbanized areas (non-UZAs) served.
Line 06: Number of vehicles operated in annual maximum service (VOMS) by Mode and Type of Service.
•
Enter the number of VOMS for each DO mode and each PT mode whose service is included in this report. Report
route deviation and point deviation services as bus (MB) mode. Other: Select if none of the above apply. Describe
in the Mode – Other Description field.
•
Total Number of VOMS by Type of Service. This is an auto-calculated field and cannot be edited, review for
accuracy. The sum of the number of vehicles operated in all modes in annual maximum service by TOS.
•
Bus types of Fixed Guideway (FG). Select the bus type from the drop-down menu: MB, RB or CB. By TOS, indicate
Yes if your transit agency operates service over FG; otherwise, indicate No. RB automatically generates with fixed
guideway.
•
Does not apply to Grants Reporting.
Line 07: Capital Investment for a Mode not Currently in Service
•
Pre-filled, review for accuracy, edit as necessary. Use the Add or Remove Mode / Type of Service buttons as
necessary.
•
Select the mode and TOS combination for any modes not yet in operation for which the agency is incurring capital
expenses. This section is required for agencies with a Planning Waiver or a Capital (with or without Planning)
Waiver with reduced reporting requirements.
Line 08: Filing a Separate NTD Report (Modes not included in this Report).
•
Pre-filled, review for accuracy, edit as necessary. Use the Add or Remove Mode / Type of Service buttons as
necessary.
•
Select the modes for PT services that are not included in the transit agency's report.
•
Does not apply to Grants Reporting
50 — Identification form (B-10)
2013 Urban Reporting Manual
Contacts form (B-20)
Contacts form (B-20) — 51
2013 Urban Reporting Manual
Overview
The B-20 form identifies key personnel at the agency responsible for NTD reporting. The form collects information on how to
reach the chief executive officer (CEO), NTD contact, and safety and security contacts.
Reporting Requirements and Thresholds
All reporters must complete this form.
What Has Changed from Prior Year
There are no changes for the 2013 report year.
Detailed Instructions
Most information is pre-filled on the form. Review and edit the information, as necessary.
The information includes names and titles, business addresses, telephone numbers, facsimile numbers, and e-mail
addresses.
Contact Type: CEO
The CEO is the principal executive in charge of and responsible for your agency. Please refer to the Declarations section of
the manual to find the responsibilities, as well as examples of, the chief executive officer. The person identified as the CEO
in section 1 should be the same person indicated in the Chief Executive Officer form (D-10), part A. The CEO is the only
person who is able to submit waiver requests and some other types of correspondence such as a new fixed guideway
segment request. The first time during the year that the NTD report is submitted, the CEO must be the one who submits it.
Contact Type: NTD Contact
The NTD contact is the individual responsible for coordinating the NTD Annual Report. The contact person submits the NTD
Annual Report and the Monthly report (for further information on the Monthly report, please see the Monthly Reporting
Manual) and answers any questions that the Federal Transit Administration (FTA) may have concerning the report, including
validation issues and waiver requests. The NTD contact is authorized to submit revisions to the NTD report after the CEO
submits the original version.
Contact Type: Safety Contact
The safety contact is the individual with overall responsibility for the day-to-day safety of the transit agency.
Contact Type: Security Contact
The security contact is the individual with overall responsibility for the day-to-day security of the transit agency.
Line by Line Instructions Contacts form (B-20)
Complete the information for the required contacts: CEO, NTD contact, and safety and security contacts.
Form Level Help: Click on the Help tab at the top of the screen for form level help.
Form Notes: A form note can be attached to any form. Use the Add Form Note link for relevant information to a specific
field, to the entire form or to multiple forms. Click on the Add Form Note link at the top of the screen and enter your note on
the Notes screen. You can review and edit a form note from the Notes tab. Do not use the Form Notes feature to answer
issues generated from this form. From the Issues tab use the Add Comments link next to the specific issue.
Saving or Closing the Form: Click on the Save button at the bottom of the screen to save the form. Click on the Close
button at the bottom of the screen to close the form without saving.
Line 01: Contact Type: CEO. Pre-filled — review for accuracy and edit as necessary.
•
Enter the name of the agency's CEO.
•
The CEO’s title (which may not actually be “CEO”).
52 — Contacts form (B-20)
2013 Urban Reporting Manual
•
The CEO’s business mailing address.
•
The CEO’s business telephone number.
•
The CEO’s FAX number.
•
The CEO’s e-mail address.
Line 02: Contact Type: NTD Contact. Pre-filled — review for accuracy, edit as necessary.
•
Enter the name of the person responsible for the NTD Annual Report.
•
Enter the contact person's title.
•
Enter the contact person's mailing address, if different than the agency mailing address.
•
Enter the contact person's telephone number.
•
Enter the contact person's FAX number.
•
Enter the contact person's e-mail address.
Line 03: Contact Type: Safety Contact. Pre-filled — review for accuracy, edit as necessary.
•
Enter the name of the person responsible for the safety forms.
•
Enter the safety contact person's title.
•
Enter the safety contact person's mailing address, if different than the Transit Agency mailing address.
•
Enter the safety contact person's telephone number.
•
Enter the safety contact person's FAX number.
•
Enter the safety contact person's e-mail address.
Line 04: Contact Type: Security Contact. Pre-filled — review for accuracy, edit as necessary.
•
Enter the name of the person responsible for security forms.
•
Enter the security contact person's title.
•
Enter the security contact person's mailing address, if different than the Transit Agency mailing address.
•
Enter the security contact person's telephone number.
•
Enter the security contact person's FAX number.
•
Enter the security contact person's e-mail address.
Contacts form (B-20) — 53
2013 Urban Reporting Manual
Contractual Relationship form (B-30)
Overview
The B-30 form collects key information on the parties to the contractual relationship, the nature of the contractual
relationship, financial data and key operating statistics for the service covered by the contractual relationship.
Reporting Requirements and Thresholds
Reporters must complete this form if:
•
They purchase transportation service from a public entity or private operator; or
•
They sell transportation services to a public entity.
A separate B-30 form is used to report each contractual relationship (i.e., contract) with each seller or buyer.
Service provided to a public transit agency or governmental unit by a public or private transportation provider is considered
purchased transportation (PT) if it meets the following three conditions:
•
The transit agency uses the contractor’s employees to operate the revenue vehicles;
•
The arrangement is based on a written contract, either competitively procured or negotiated, that obligates the
provider in advance and for monetary consideration to provide specific public transportation service; and
o
•
PT does not include franchising, licensing operations, management services, cooperative agreements or
private conventional bus (MB) service;
The service is funded solely by the public transit agency (buyer).
54 — Contractual Relationship form (B-30)
2013 Urban Reporting Manual
Data are reported only for those services that are specified in the PT agreement. All PT services must be reported, even if
such services were only provided during part of your agency’s fiscal year.
What Has Changed from Prior Year
The following changes have been made to the B-30 form for the 2013 reporting year:
•
Section A, Contract Summary, requires more information pertaining to the contract than in past report years.
Agencies must now specify the following:
o
o
o
•
The Type of the Contract, which is either:
Competitively-bid contract, or
Negotiated contract or agreement;
The Primary Features, which is either:
The buyer pays the seller a negotiated fixed rate per unit of service delivered; or
The buyer reimburses the seller’s net operating expenses, based on an approved budget; and
Other Features, such as:
The buyer provides vehicles to the seller; or
The buyer provides maintenance or storage facilities to the seller; and
Capital leasing expenditures must be reported by contract and type of service.
Approach
The key to completing this form is to determine whether a contractual relationship exists. In order to determine this, you must
understand how a contractual relationship differs from a cooperative agreement, which is a financing arrangement between
public entities, and discussed more fully below.
Contractual Relationship
A contractual relationship exists only if the following criteria are met:
•
The seller is obligated in advance of the time the service is furnished to provide the operations for which the
operating statistics are being reported, for a specific monetary consideration;
•
A written agreement exists that specifies the contractual relationship for the time period and the specific service
generating the operating statistics included in the NTD report; and
•
The written agreement is signed by authorized representatives of both the buyer and the seller and details the
services to be provided and the nature and amount of the monetary consideration.
Almost all contractual relationships on the B-30 form are for public agencies buying service from private providers. Typically,
the purchased service is in the buyer’s NTD Annual Report.
Cooperative Agreement
Public funds are often used to support transit services in addition to the money provided by the NTD reporter. A cooperative
agreement is a financing arrangement between public entities. It is an agreement where one or more public transit agencies
or governmental units contribute to, or are assessed for, the value of public transit services provided by another public transit
agency. This agreement often is formulated through a written Memorandum of Understanding or mutual agreement on the
calculation and payment for the services.
For NTD purposes, a cooperative agreement is NOT considered a contractual relationship in which a specific service is
provided, e.g., a set number of trips according to a prescribed schedule. The service funded is not considered PT and,
therefore, no B-30 form should be completed for the agreement.
Detailed Instructions
The system will automatically generate a copy of the Section A – Contract Summary information that was in your prior year’s
NTD Annual Report. This information can either be edited or the form deleted if necessary. Use the Add Form button at the
bottom of the Annual screen and select B-30 form from the drop-down menu if additional B-30 forms are required.
Contractual Relationship form (B-30) — 55
2013 Urban Reporting Manual
Complete one form for each buyer and seller of service identified in the form's contractual relationship section (top of
screen). Use the Add Form button at the bottom of the Annual screen to create additional forms for each contractual
relationship.
Section A – Contract Summary provides insight to the terms of the contract. For each contract, report the type of contract
(i.e., competitively-bid or negotiated). Additionally, reporters must provide the monetary consideration under the contract,
either a negotiated fixed rate or a reimbursement based on the seller’s net operating expenses. If the buyer awarded the
contract based on a competitively-bid process, retained fares or other system-generated revenue, provided vehicle to the
seller or provided maintenance or storage facilities to the seller, this must also be noted on the B-30.
Key operating and financial statistics are reported in Section B – Key Financial and Operating Statistics. One contract may
cover more than one mode. To add modes to a contract, use the Add Mode button within Section B — Key Financial and
Operating Statistics of the B-30 form.
Contractual Relationship
Type
Type identifies the reporting agency as the buyer or seller of the service, the other party to the contractual relationship, and
who is reporting the operating data.
For brokerage relationships, you may report only transit service that is provided by agencies participating in the brokerage
under the purchased transportation agreement. Do not report any trips brokered to a transit operator that is not part of the
purchased transportation agreement.
Select one of the fourteen categories from the Type drop-down menu. If you select a category other than type 1, please
contact your NTD analyst for assistance in completing your NTD Annual Report.
1.
2.
3.
You are the public buyer of service from a private company that is not an NTD reporter and the service is being
captured in this report as PT.
o
This is the most common case. The seller is a private company without an NTD ID and service is reported
in the public agency's NTD report.
o
The public buyer is an NTD reporter.
o
The private seller does not report to NTD.
You are the public buyer of service from a public NTD reporter and the service is being captured in this report as
DO.
o
This occurs when two public NTD reporters buy and sell service between them and the buyer reports the
service. Contractual agreements between public NTD reporting agencies for transit services can be
reported as DO service by either the seller or the buyer of service. In this case, the buyer is reporting the
service. When the buyer (who is the reporting agency in this case) makes this menu selection, the seller
selects type 7 in the seller's report.
o
Public buyer and public seller are both NTD reporters.
You are the public buyer of service from a private NTD reporter and the service is being captured in this report as
PT.
o
This occurs when two NTD reporters buy and sell service between them and the public buyer reports the
service from the private seller as PT. When the buyer (who is the reporting agency in this case) makes this
menu selection, the seller selects type 8 in the seller's report.
o
Public buyer and private seller are both NTD reporters.
4.
No longer available.
5.
You are the public buyer of service and the service is being captured in the public seller's report as DO.
6.
o
This occurs when two public NTD reporters buy and sell service between them and the seller reports the
service as DO. Neither the buyer nor the seller is reporting as a brokerage. When the buyer (who is the
reporting agency in this case) makes this menu selection, the seller selects type 6 in the seller's report.
o
Public buyer and public seller are both NTD reporters.
You are the public seller of service with a public buyer that is an NTD reporter and the service is being captured in
this report as DO.
56 — Contractual Relationship form (B-30)
2013 Urban Reporting Manual
7.
8.
9.
o
This occurs when two public NTD reporters buy and sell service between them and the seller reports the
service as DO. Neither the buyer nor the seller is reporting as a brokerage. When the seller (who is the
reporting agency in this case) makes this menu selection, the buyer selects type 5 in the buyer's report.
o
Public buyer and public seller are both NTD reporters.
You are the public seller of service and the service is being captured in the public buyer's report as DO.
o
This occurs when two public NTD reporters buy and sell service between them and the buyer reports the
service as DO. Contractual agreements between public NTD reporting agencies for PT services can either
be reported by the seller or the buyer of service as DO service. When the seller (who is the reporting
agency in this case) makes this menu selection, the buyer selects type 2 in the buyer's report.
o
Public buyer and public seller are both NTD reporters.
You are the private seller of service and the service is being captured in the public buyer's report as PT.
o
This occurs when two NTD reporters buy and sell service between them and the public buyer reports the
service from the private seller as PT. When the seller (who is the reporting agency) makes this menu
selection, the buyer selects type 3 in the buyer's report.
o
Public buyer and private seller are both NTD reporters.
You are the public buyer of service from a public seller who is a brokerage and the service is being captured in the
seller’s report as PT.
o
This usually occurs with demand response (DR) services. The public buyer purchases service from a
public brokerage comprised of private and/or public providers. The broker assigns trips to the providers. In
this case, the buyer and seller each file only one B-30 form showing the relationship between them and the
service is captured in the broker's report as PT. When the buyer (who is the reporting agency) makes this
menu selection, the seller selects type 10 in the seller’s report.
o
Public buyer and public seller are both NTD reporters.
10. You are the public seller of service (brokerage) and the service is being captured in this report as PT.
o
This usually occurs with DR services. The public seller (broker) sells service to a public agency (buyer)
and the service is captured in the seller’s report as PT. When the seller (who is the reporting agency)
makes this menu selection, the buyer selects type 9 in the buyer’s report.
o
Public buyer and public seller are both NTD reporters.
11. You are the public seller of service with a private buyer that is not an NTD reporter and the service is being
captured in this report as DO.
o
The buyer is a private company without an NTD ID and service is reported in the public agency's NTD
report.
o
Public seller is an NTD reporter.
o
Private buyer does not report to NTD.
12. You are the public buyer of service with a private seller who is an NTD reporter and service is being captured in the
seller's report as DO.
o
This occurs when two NTD reporters buy and sell service between them. Usually, the service would be
reported in the public agency's report as PT. However, in rare cases the private company will report the
service. In these cases, permission must be obtained from FTA in advance. When the buyer (who is the
reporting agency) makes this menu selection, the seller selects type 13 in the seller’s report.
o
Public buyer and private seller are both NTD reporters.
13. You are the private seller of service with a public buyer who is an NTD reporter and service is being captured in this
report as DO.
o
This occurs when two NTD reporters buy and sell service between them. Usually, the service would be
reported in the public agency's report as PT. However, in rare cases the private company will report the
service. In these cases, permission must be obtained from FTA in advance. When the seller (who is the
reporting agency) makes this menu selection, the buyer selects type 12 in the buyer's report.
o
Public buyer and private seller are both NTD reporters.
14. You are the private seller of service with a public buyer who is not an NTD reporter and the service is being
included in this report as DO.
Contractual Relationship form (B-30) — 57
2013 Urban Reporting Manual
o
The buyer is a public agency without an NTD ID. Usually, the public agency would submit a request for an
NTD ID and the service would be captured in the public agency's NTD report as PT. However, in rare
cases the private seller will report the service as directly operated. In these cases, permission must be
obtained from FTA in advance.
o
Private seller is an NTD reporter.
o
Public buyer does not report to NTD.
The exhibit below summarizes the various elements of the Contractual Relationship Types listed above:
58 — Contractual Relationship form (B-30)
2013 Urban Reporting Manual
Exhibit 14 — Contractual Relationship Reporting (M = Mode, D = Directly Operated, P = Purchased
Transportation)
Contractual Relationship Types
1
2
3
5
6
7
You are public
X
X
X
X
X
X
You are private
X
Contract is with a private transit agency
X
You are the buyer
X
X
Buyer and seller are both NTD reporters
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
D
P
Reporter completes B-10 form, item 8
X
X
Required forms if filing separate report: Basic
Information Module forms, Financial Module forms
including F-30, line 12
8
X
D
D
X
X
X
P
M
M
6
5
D
M
X
X
7
X
X
D
M
X
X
X
X
X
14
X
X
X
X
P
13
X
X
Service reported in the other agency's report as PT
Matching menu selections on Contractual
Relationship form (B-30), line 2 for contracts with
another NTD reporter
12
X
Service reported in the other agency's report as DO
Transit Agency is filing a complete report
11
X
Service reported in your report as DO
Type of Service reported on Identification form (B10), item 6
10
X
You are the seller
Service reported in your report as PT
9
X
Contract is with a public transit agency
Either the buyer or the seller is not an NTD reporter
8
M
X
X
X
X
2
3
10
X
X
9
13
12
NTD Reporter or Company
Identify the other party to the contractual relationship using the NTD Reporter or Company drop-down menus. The NTD
reporter menu lists the name and NTD ID of transit agencies, both private and public, reporting to the NTD in the current
repot year. The NTD Reporter drop-down menu includes all NTD reporters and their identification numbers (NTD IDs) from
the 2012 NTD who are reporting in the current report year, in ascending order by transit agency identification number.
The Company drop-down menu includes all private operators identified in your prior years report, displayed in ascending
alphabetical order. These private companies are not filing separate reports to the NTD. If you need to add a company that is
not included in the Company drop-down menu, click on the Add/Edit Company button to enter the name of a new private
company.
If you are contracting with a private company that filed a separate report last year, but this year is not filing a report, use the
Add/Edit Company button to enter the name of the private company. Do not use the NTD Reporter drop-down menu
because the private company will no longer be included in the menu.
The type selected above (1 - 14) determines which menu is required. Types 1, 11 and 14 will require the Company menu;
types 2, 3, 5 through 10, 12 and 13 will require the NTD Reporter menu.
Contractual Relationship form (B-30) — 59
2013 Urban Reporting Manual
Contracted Service
This section describes key financial and operational characteristics of the contracted service.
Mode
Use the Add Mode button in this section of the form to generate the necessary fields for a mode. To add additional modes
under the same contract, use the Add Mode button in this section of the form.
From the menu, select the desired mode.
Use the Delete Mode button to remove a mode and the Delete Form button to remove the entire form.
Vehicles / Passenger Cars Operated in Annual Maximum Service under Contract
Report, by mode, the number of revenue vehicles operated in annual maximum service (VOMS).
If vehicles are used for more than one mode, report them under each mode for which they are used, and describe the
number of vehicles by mode using the Add Form Notes link. For example, if the seller operates ten buses and five DR
vehicles operated in annual maximum service, report MB 10, DR 5 and state this using the Add Form Notes link.
Similarly, if the same vehicle is used for more than one contract, report this vehicle for each contract that the vehicle is used,
and describe using the Add Form Notes link.
Number of Months Seller Operated Service During Report Year
By mode, report the number of months that the seller operated service during the report year under the contract. If service
was operated less than a full report year, describe the term of the contract (beginning date and contract length) using the
Add Form Notes link. Use the following rounding rule to determine the number of months:
•
Days 1-15: Service beginning during these days is counted as having been operated for the entire month. Service
ending during these days is counted as not having been operated during the month.
•
Days 16-31: Service beginning during these days is counted as not having been operated for the entire month.
Service ending during these days is counted as having been operated during the month.
For example, a PT agreement specifies a 24-month term with a one-year option. Service began operating on May 15. The
reporter has a calendar fiscal year. Report 8 months as the length of the contract (May through December).
Operating Expenses
Purchased Transportation Fare Revenues
Report by mode, the purchased transportation (PT) fare revenues.
PT fare revenues are fare revenues derived from the transit services provided under the PT agreement, regardless of
whether fares are retained by the seller or returned to the buyer. They also include fares collected or sold by the buyer for
users of the purchased service. For example, if the buyer of the PT service sells tickets, tokens or passes for these users,
this revenue is reported as part of PT fare revenues.
Net Contract Expenditures
Report, by mode, the net contract expenditures by the buyer after fare revenues have been deducted. These are the
payments and accruals due the seller for providing the transit services under the PT agreement after the fare revenues
earned have been considered. Net contract expenditures are calculated one of two ways depending on the contracting
relationship:
•
Seller retains the fare revenues. The total money earned by the seller is the sum of the fare revenues collected and
the additional payments made by the buyer to the seller. The net contract expenditures equal the additional
payments by the seller.
•
Seller returns the fare revenues. The seller collects the fare revenues and immediately transfers the receipts to the
buyer. The total money earned by the seller equals the payments made by the buyer. The net contract expenditures
equal the payments made by the buyer less the fare revenues collected.
Total contract operating expenses
Displays the total operating costs for each contract (non-editable auto-calculated total of lines 06 and 07).
60 — Contractual Relationship form (B-30)
2013 Urban Reporting Manual
Capital Expenses
Capital Leasing Expenditures
NTD requires that all expenses to provide transit service are reported. Capital leasing expenditures are those costs charged
to the buyer for the use of the seller’s capital assets. If the seller’s vehicles are used to provide the contracted service,
typically depreciation of these vehicles are charged to the buyer. The buyer reports this as a capital leasing expenditure.
Capital leasing costs may not be itemized on the invoices to the buyer; however, a portion of the payments to the seller are
intended to cover these expenses. Should such an arrangement exist that the seller’s capital assets are used, these
expenses must be separated and reported on the B-30.
Total Contract Cost
Displays the total contract costs for each contract (non-editable auto-calculated total of lines 07a and 07b).
Other Costs Incurred by the Buyer
Report by mode other costs incurred by the buyer. These are expenses of the buyer (public transit agency or governmental
unit) that are directly attributable to the provision of PT services. You must report these costs, in accordance with the
principle of fully allocated cost. Examples include:
•
Providing maintenance services or fuel for the vehicles used by the seller;
•
Gathering and compiling NTD data;
•
Monitoring of the seller's operations and other similar costs where the buyer uses its resources to support the
purchased service; and
•
Maintaining the office in which your employees who oversee the contract work.
Total Modal Expenses
Displays the total cost to the buyer to provide the contracted transit services (non-editable auto-calculated total of line 07c
and line 08).
The following exhibits illustrate how to report fare revenues and net contract expenditures, and how the total contract costs
are calculated.
Exhibit 15 — B-30 Reporting – Contractor Keeps Fares
Example: Regional Transit contracts with AZ Company for DR service. AZ Company provides the vehicles.
Under the contract:
•
Regional Transit agrees to pay AZ Company $1,200,000 for providing the DR service.
•
$200,000 of the contract covers the depreciation of AZ Company’s vehicles.
•
AZ Company retains fare revenues of $300,000.
•
For operating the service, AZ earns $1,500,000 ($1,200,000 fee + $300,000 of retained fare revenues).
•
Region Transit incurs costs of $35,000 related to this service including salaries, electricity, rent, phones, etc.
What is reported?
Solution: Regional Transit would report the following:
Purchased transportation fare revenues
$300,000
Net contract expenditures
($1,200,000 fee less $200,000 of capital expenses)
1,000,000
Total contract operating expenses (auto-calculation)
$1,300,000
Capital leasing expenditures
200,000
Total Contract Cost (auto-calculation)
$1,500,000
Other Costs Incurred by the Buyer
35,000
Total modal expenses
$1,535,000
For contracts in which the seller retains fare revenues, the net contract expenditures by the buyer equals the actual payments or
accruals made by the buyer (less the portion attributable to capital leasing expenditures).
Contractual Relationship form (B-30) — 61
2013 Urban Reporting Manual
Exhibit 16 — B-30 Reporting – Buyer Keeps Fares
Example: Regional Transit contracts with AZ Company for DR service. AZ Company provides the vehicles. Under the contract:
•
Regional Transit agrees to pay AZ Company $1,500,000 for providing the DR service.
•
$200,000 of the contract covers the depreciation of AZ Company’s vehicles.
•
AZ Company returns fare revenues of $300,000 to Regional Transit
•
Regional Transit incurs costs of $35,000 related to this service including salaries, electricity, rent, phones, etc.
What is reported?
Solution: Regional Transit would report the following:
Purchased transportation fare revenues
$300,000
Net contract expenditures
($1,500,000 fee less $300,000 of returned fares less $200,000 of capital expenses)
1,000,000
Total contract operating expenses (auto-calculation)
$1,300,000
Capital leasing expenditures
200,000
Total Contract Cost (auto-calculation)
$1,500,000
Other Costs Incurred by the Buyer
35,000
Total modal expenses
$1,535,000
For contracts in which the PT fare revenues are returned to the buyer by the seller, the net contract expenditures by the buyer
equals the actual payments or accruals made by the buyer net of (or minus) the PT fare revenues (less the portion of the
payments attributable to capital leasing expenditures).
Note: In the examples in Exhibits 15 and 16, Regional Transit reported the same amounts for Net contract expenditures (and
all of the resulting total costs fields) because the fee in Exhibit 16 was increased by the exact amount of the returned fares.
In practice, it is unlikely that the two scenarios would result in exactly the same reporting requirements because fees are
typically negotiated without exact knowledge of or regard to what the collected and returned fees will be.
The Exhibits below provide examples of how Purchased Transportation Services are reported for a user-side subsidy
program and a brokerage system.
62 — Contractual Relationship form (B-30)
2013 Urban Reporting Manual
Exhibit 17 — Purchased Transportation Services Reporting — Transit Agency X (User-Side Subsidy Program)
Example: Public Transit Agency X (PTAX) operates a user-side subsidy program to provide general public service in a small,
outlying suburban community. PTAX contracts with Community Taxi Company to supply the service. Community Taxi was
selected on October 2011 through a competitive procurement process that is conducted every three years. The arrangement has
the following features:
•
Users register at one of eight local outlets. The users must show a picture identification card and then are issued a
numbered user card that is good for 20 trips.
•
The user is required to contact Community Taxi to make a trip reservation. Community Taxi is required by PTAX to
schedule the requested trips as shared rides to minimize service costs and to meet the definition of public transportation.
•
The PTAX user-side program pays one-half of the taxicab fare for general public users up to a maximum of $3.00. The
users are responsible for the additional cost of trips that exceed $6.00.
•
The PTAX user-side program pays one-half of the taxicab fare for ADA-qualified users up to a maximum of $9.00. The
users are responsible for the additional cost of trips that exceed $18.00.
•
PTAX uses part of a staff position for contract administration and customer information support totaling $55,000 in labor,
$15,000 in fringe benefits, $2,000 for telephone costs, and $3,000 to maintain the office in which the staffer works.
•
For the current report year, general public and ADA users paid $656,023 in fares to obtain $1,057,653 in service.
Community Taxi reported that $200,456 of its revenues of $1,057,653 cover the depreciation of the taxicabs. Community
Taxi operated 30 taxicabs in annual maximum service.
How should this service be reported on the Contractual Relationship form (B-30)?
Solution:
01 Contractual Relationship
Type: The reporting agency is the public buyer of service from a private company that is not an NTD reporter and the
service is being captured in this report as purchased transportation (PT)
NTD Reporter or Company: Community Taxicab Company
Type of Contract: Competitively-Bid Contract
Primary Feature: The buyer reimburses the seller’s net operating expenses, based on an approved budget.
03 Contracted Service
Mode: DT
04 Vehicles/passenger cars operated in annual maximum service under contract: 30
05 Number of months seller operated service during report year: 12
Modal Expenses:
06 Purchased transportation fare revenues: $656,023
07 Net contract expenditures: $201,174
07a Total contract operating expenses (auto calc line 06 plus line 07): $857,197
07b Capital leasing expenditures: $200,456
07c Total Contract Cost (auto calc line 07a plus line 07b): $1,057,653
08 Other costs incurred by the buyer: $75,000
09 Total modal expenses (auto calc line 07c plus line 08): $1,132,653
Contractual Relationship form (B-30) — 63
2013 Urban Reporting Manual
Exhibit 18 — Purchased Transportation Services Reporting — Public Transit Agency Y (Brokerage System)
Example: Public Transit Agency Y (PTAY) is a recipient of UAF Program funds, and contracts for DR service with Access (seller),
a public brokerage who files an NTD urban report. PTAY has a negotiated contract with Access. The arrangement has the
following features:
•
PTAY pays Access $5,000,000 for the service based on each unlinked passenger trip (UPT).
•
PTAY supports the DR program with one contract administrator with a salary of $50,000, fringe benefit costs of $10,000,
and office maintenance costs of $5,000.
•
Access collects $600,000 in fare revenues.
•
Access operates a brokerage involving three non-profit providers who also use the vehicles for other transportation
services not under contract to Transit Agency Y with the following Vehicles in annual maximum service (VOMS):
Provider
VOMS
Provider 1
150
Provider 2
250
Provider 3
375
•
The annual depreciation charge for these vehicles was $800,000.
What is required under NTD?
Solution:
01 Contractual Relationship
Type: The reporting agency is the buyer of service from a seller who is a brokerage and the service is being captured in the
seller’s report as PT
NTD Reporter or Company: Access
Type of Contract: Negotiated contract or agreement
Primary Feature: The buyer pays the seller a negotiated fixed rate per unit of service delivered
03 Contracted Service
Mode: DR
04 Vehicles/passenger cars operated in annual maximum service under contract: 275
05 Number of months seller operated service during report year: 12
Modal Expenses
06 Purchased transportation fare revenues: $600,000
07 Net contract expenditures: $3,600,000
07a Total contract operating expenses (auto calc line 06 plus line 07): $4,200,000
07b Capital leasing expenditures: $800,000
07c Total Contract Cost (auto calc line 07a plus line 07b): $5,000,000
08 Other costs incurred by the buyer: $65,000
09 Total modal expenses (auto calc line 07c plus line 08): $5,065,000
Key Relationships Between Forms
All NTD reports must be balanced. The service reported on the Service form (S-10) must have fully allocated operating costs
reflected on the forms in the Financial Module. Any assets used to support that service must be reflected on the forms in the
Asset Module. In a purchased transportation relationship, the buyer pays the seller the fully-allocated costs of operating the
service. The following exhibit summarizes how information on the B-30 form relates to information on the B-10 and certain
Financial forms.
64 — Contractual Relationship form (B-30)
2013 Urban Reporting Manual
Exhibit 19 — Relationship of B-30 Information to Other Forms
B-30
B-10
04. Vehicles/passenger cars
operated in annual
maximum service under
contract must equal
F-10
F-30
F-40
06. Vehicles operated
in annual maximum
service – Purchased
Transportation
05. Purchased
transportation fare revenues
must equal
03. Passenger Fares for
Purchased
Transportation Service
07a. Total contract
operating expenses must
equal
11. In Report (01)
07b. Capital leasing
expenditures must be less
than or equal to
08. Other costs incurred by
the buyer must equal
18. Leases and
Rentals (512)
The sum of lines 110; 13.
Line by Line Instructions for the Contractual Relationship form (B-30)
Complete one form for each buyer and seller of service contractual relationship. Use the Add Form button at the bottom of
the Forms screen to create additional forms for each contractual relationship.
Form Level Help: Click on the Help tab at the top of the screen for form level help.
Form Note: A form note can be attached to any form. Use the Add Form Note link for relevant information to a specific field,
to the entire form or to multiple forms. Click on the Add Form Note link at the top of the screen and enter your note on the
Notes screen. You can review or edit a form note from the Notes tab. Do not use the Form Notes feature to answer issues
generated from this form. From the Issues tab use the Add Comments link next to the specific issue.
Saving or Closing the Form: Click on the Save button at the bottom of the screen to save the form. Click on the Close
button at the bottom of the screen to close the form without saving.
Deleting the Form: Click on the Delete button at the bottom of the form to delete both sections A and B, or click on the
Delete Box button in line 3 if you want to delete Section B – Key Financial and Operating Statistics only.
Section A – Contract Summary Type
Line 01: Contractual Relationship.
Type: Select the option that identifies your agency as the buyer or seller of the transportation service and indicates whose
report includes the operational data for the purchased transportation (PT) service from the drop-down menu:
1.
2.
You are the public buyer of service from a private company that is not an NTD reporter and the service is being
captured in this report as PT.
o
This is the most common case. The seller is a private company without an NTD ID and service is reported
in the public agency's NTD report.
o
The public buyer is an NTD reporter.
o
The private seller does not report to NTD.
You are the public buyer of service from a public NTD reporter and the service is being captured in this report as
directly operated (DO).
o
This occurs when two public NTD reporters buy and sell service between them and the buyer reports the
service. Contractual agreements between public NTD reporting agencies for transit services can be
reported as DO service by either the seller or the buyer of service. In this case, the buyer is reporting the
service. When the buyer (who is the reporting agency in this case) makes this menu selection, the seller
selects type 7 in the seller's report.
Contractual Relationship form (B-30) — 65
2013 Urban Reporting Manual
o
3.
Public buyer and public seller are both NTD reporters.
You are the public buyer of service from a private NTD reporter and the service is being captured in this report as
PT.
o
This occurs when two NTD reporters buy and sell service between them and the public buyer would
reports the service from the private seller as PT. When the buyer (who is the reporting agency in this case)
makes this menu selection, the seller selects type 8 in the seller's report.
o
Public buyer and private seller are both NTD reporters.
4.
No longer available.
5.
You are the public buyer of service and the service is being captured in the public seller's report as DO.
6.
7.
8.
9.
o
This occurs when two public NTD reporters buy and sell service between them and the seller reports the
services as DO. Neither the buyer nor the seller is reporting as a brokerage. When the buyer (who is the
reporting agency in this case) makes this menu selection, the seller selects type 6 in the seller's report.
o
Public buyer and public seller are both NTD reporters.
You are the public seller of service with a public buyer that is an NTD Reporter and the service is being captured in
this report as DO.
o
This occurs for sellers who are not public transit agencies and the seller reports the service as DO. When
the seller (who is the reporting agency in this case) makes this menu selection, the buyer selects type 5 in
the buyer's report.
o
Public buyer and public seller are both NTD reporters.
You are the public seller of service and the service is being captured in the public buyer's report as DO.
o
This occurs when two public NTD reporters buy and sell service between them and the buyer reports the
service as DO. When the seller (who is the reporting agency in this case) makes this menu selection, the
buyer selects type 2 in the buyer's report.
o
Public buyer and public seller are both NTD reporters.
You are the private seller of service and the service is being captured in the public buyer's report as PT.
o
This occurs when two NTD reporters buy and sell service between them and the public buyer reports the
service as PT. When the seller (who is the reporting agency) makes this menu selection, the buyer selects
type 3 in the buyer's report.
o
Public buyer and private seller are both NTD reporter
You are the public buyer of service from a public seller who is a brokerage and the service is being captured in the
seller’s report as PT.
o
This usually occurs with demand response (DR) services. The public buyer purchases service from a
public brokerage comprised of private and/or public providers. The broker assigns trips to the providers. In
this case, the buyer and seller each file only one B-30 form showing the relationship between them and the
service is captured in the broker's report as PT. When the buyer (who is the reporting agency) makes this
menu selection, the seller selects type 10 in the seller’s report.
o
Public buyer and public seller are both NTD reporters.
10. You are the public seller of service (brokerage) and the service is being captured in this report as PT.
o
This usually occurs with DR services. The public seller (broker) sells service to a public agency (buyer)
and the service is captured in the seller’s report as PT. When the seller (who is the reporting agency)
makes this menu selection, the buyer selects type 9 in the buyer’s report.
o
Public buyer and private seller are both NTD reporters.
11. You are the public seller of service with a private buyer that is not an NTD reporter and the service is being
captured in this report as DO.
o
The buyer is a private company without an NTD ID and service is reported in the public agency's NTD
report.
o
Public seller is an NTD reporter.
o
Private buyer does not report to NTD.
66 — Contractual Relationship form (B-30)
2013 Urban Reporting Manual
12. You are the public buyer of service with a private seller who is an NTD reporter and service is being captured in the
seller's report as DO.
o
This occurs when two NTD reporters buy and sell service between them. Usually, the service would be
reported in the public agency's report as PT. However, in rare cases the private company will report the
service. In these cases, permission must be obtained from FTA in advance. When the buyer (who is the
reporting agency) makes this menu selection, the seller selects type 13 in the seller’s report.
o
Public buyer and private seller are both NTD reporters.
13. You are the private seller of service with a public buyer who is an NTD reporter and service is being captured in this
report as DO.
o
This occurs when two NTD reporters buy and sell service between them. Usually, the service would be
reported in the public agency's report as PT. However, in rare cases the private company will report the
service. In these cases, permission must be obtained from FTA in advance. When the seller (who is the
reporting agency) makes this menu selection, the buyer selects type 12 in the buyer's report.
o
Public buyer and private seller are both NTD reporters.
14. You are the private seller of service with a public buyer who is not an NTD reporter and the service is being
captured in this report as DO.
o
The buyer is a public agency without an NTD ID. Usually, the public agency would submit a request for an
NTD identification number (NTD ID) and the service would be captured in the public agency's NTD report
as PT. However, in rare cases the private seller will report the service as directly operated. In these cases,
permission must be obtained from FTA in advance.
o
Private seller is an NTD reporter.
o
Public buyer does not report to NTD.
NTD Reporter. This menu is used to select public transit agencies or private operators that file NTD reports and have a NTD
ID. If you selected types 2, 3, 5 through 10, 12 and 13 to describe the type of contractual relationship, select the other party
to the contractual relationship from the drop-down menu.
Company. This menu is used to select private operators that do not file NTD reports. If you selected types 1, 11 or 14 to
describe the type of contractual relationship, select the other party to the contractual relationship. If the operator is not in the
menu, click on the Add/Edit Company button to enter the name of a new private company. If you are a private company who
had a contract with an NTD reporter that filed a report last year, but this year is not filing a report, the agency will no longer
be listed in the NTD reporter drop-down menu.
Type of Contract. Select the contract specified between your agency and the contractor. Click on competitively-bid contract
or negotiated contract or agreement.
Primary Feature. Select the monetary nature of the contract: the buyer pays the seller a negotiated fixed rate per unit of
service delivered or the buyer reimburses the seller’s net operating expenses, based on an approved budget.
Other Features. Select any of the options that apply to the agency’s contract.
Section B – Key Financial and Operating Statistics
Line 03: Contracted Services.
•
Click on the Add Mode button; Internet Reporting will generate a column of data items to complete. At the top of
the column is a drop-down menu that contains all modes identified on the B-10 form. Select the mode for this
contractual relationship. If additional modes are operated under this contract, click again on the Add Mode button
to generate another column, and select the next mode.
Line 04: Vehicles / Passenger Cars Operated in Annual Maximum Service – by Mode and Type of Service.
•
Enter the number of revenue vehicles operated under the PT agreement to meet annual maximum service
requirements.
•
If a vehicle is used for more than one mode or contract, report the vehicle for each mode and for each contract and
describe. Click on the Add Form Note link at the top of the screen and enter your note on the Notes screen.
Indicate the number of vehicles used and for which modes or contracts.
Line 05: Number of Months Seller Operated Service During Report Year – by Mode and Type of Service.
Contractual Relationship form (B-30) — 67
2013 Urban Reporting Manual
•
Enter the number of months that the seller operated service during the report year. If service was operated less
than a full report year, describe the term of the contract (beginning date and number of months service was to be
provided). Click on the Add Form Note link at the top of the screen and enter your note on the Notes screen.
Line 06: Purchased Transportation Fare Revenues – by Mode and Type of Service.
•
Enter all purchased transportation fare revenues from the service under the PT agreement, regardless of whether
the fares are retained by the seller or returned to the buyer.
•
Fares are usually collected by the seller, but also include fares collected or sold by the buyer for users of the
purchased transportation service. For example, if the buyer sells tickets, tokens or passes for these users, this
revenue is part of purchased transportation fare revenues. Describe any unusual circumstances regarding fare
revenues or to confirm that no fares are charged. Click on the Add Form Note link at the top of the screen and
enter your note on the Notes screen.
Line 06a: Vehicle Lease Expenses- by Mode and Type of Service.
Line 07: Net Contract Expenditures – by Mode and Type of Service.
•
Enter payments or accruals, not including purchased transportation fare revenues from the service, under the PT
agreement.
Line 07a: Total Contract Operating Expenses (sum of line 06 and line 07). This is an auto-calculated field and cannot be
edited, review for accuracy.
Line 07b: Capital Leases Expenditures – by Mode and Type of Service.
•
Enter the expenses incurred by the buyer for use of the seller’s capital assets.
Line 07c: Total Contract Cost- by Mode and Type of Service. This is an auto-calculated field and cannot be edited, review
for accuracy.
Line 08: Other Costs Incurred by the Buyer – by Mode and Type of Service.
•
Enter any other operating expenses (OE) that the transit agency reporter (identified on the B-10) has incurred as
buyer (other costs incurred by the buyer) of the PT services. If you are the seller filing this NTD report, this field will
not be available to you.
Line 09: Total Modal Expenses, by Mode – by Mode and Type of Service.
•
This is an auto-calculated field and cannot be edited, review for accuracy. This is the buyer's total Operating
Expenses for the PT service equal to the sum of net contract expenditures by the buyer (line), purchased
transportation fare revenues (line 06), and other costs incurred by the buyer (line 08).
68 — Contractual Relationship form (B-30)
2013 Urban Reporting Manual
Financial Module
The Financial Module contains five forms:
•
Sources of Funds — Funds Expended and Funds Earned form (F-10);
•
Uses of Capital form (F-20);
•
Operating Expenses form (F-30);
•
Operating Expenses Summary form (F-40); and
•
Statement of Finances form (F-60).
All data are reported using accrual accounting principles.
Sources of Funds — Funds Expended and Funds Earned form (F-10)
The objectives of the F-10 form are to:
•
Identify the origin and amount of capital and operating funds that transit agencies receive from federal, state and
local governments and from their own (directly generated) sources; and
•
Determine the amounts of these funds that transit agencies use to pay for capital projects and operating expenses.
The data are reported system wide, except for passenger fares, which are reported by mode and type of service (TOS).
This form is required for all transit agencies.
Uses of Capital form (F-20)
The F-20 form identifies the funds expended for capital projects by type of project, and by project need as either an
improvement for existing transit services or for expansion of transit services. The required data for uses of capital funds are
reported on one form by mode and TOS.
This form is required for all transit agencies.
Operating Expenses form (F-30)
The F-30 form identifies total operating expenses by object class and function. The required data use standard expense
object classes (line items) detailed by function (activity performed), as specified in the Uniform System of Accounts (USOA).
Transit agencies complete, by mode, separate forms for directly operated (DO) and purchased transportation (PT) services.
This form is required for all transit agencies.
Operating Expenses Summary form (F-40)
The F-40 form is a system wide summary of the operating expenses reported, by mode and TOS, on the F-30 form.
Operating expenses are summarized by function and expense object class. The summarized data also includes reconciling
items to handle items where accounting practices vary due to local ordinances and conditions such as depreciation, interest
payments and leases.
This form is required for all transit agencies.
Statement of Finances form (F-60)
The F-60 form is a statement of selected financial assets and financial liabilities. The purpose of the form is to present a
picture of the financial capacity of the transit system. This form is required for transit agencies that are independent political
entities.
Financial Module — 69
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Sources of Funds — Funds Expended and Funds Earned form (F-10)
70 — Sources of Funds – Funds Expended and Funds Earned form (F-10)
2013 Urban Reporting Manual
Sources of Funds – Funds Expended and Funds Earned form (F-10) — 71
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72 — Sources of Funds – Funds Expended and Funds Earned form (F-10)
2013 Urban Reporting Manual
Overview
The F-10 form collects data on your transit agency's sources of funds for transit operations and capital by funding category.
The funding categories cover sources generated by your transit agency and received from federal, state and local
governments. For each category of funds, the form collects the following data by original revenue source:
•
The total amount earned;
•
The amount expended (applied) for operating expenses for agencies reporting transit service; and
•
The amount expended (applied) for capital expenses.
Reporting Requirements and Thresholds
All transit agencies and agencies reporting capital investment for future service must complete the F-10 form. The form
covers all modes for directly operated (DO) and purchased transportation (PT) services.
What Has Changed from Prior Year
New federal funding categories for MAP-21 Fixed Guideway Capital Investment (§5309), State of Good Repair (§5337), and
Bus and Bus Facilities Formula (§5339) have been added.
Approach
This form details, by source, the total funds for transit earned during the year (revenues) and the total funds actually
expended (applied) for capital expenses and operating expenses during the year. It follows accrual accounting principles
regarding the recognition of funds earned and expended (applied) during the reporting period.
Capital expenses relate to the purchase of equipment. The equipment has a useful life of more than one year and an
acquisition cost threshold consistent with federal and local government requirements.
Operating expenses relate to the day-to-day operation of your transit agency. OEs are classified by activity and the goods
and services purchased.
In addition to the accrual accounting principles, there are four additional areas, which must be considered when completing
the F-10 form:
•
Transit-related projects;
•
PT services;
•
In-kind services; and
•
Pass-through funds.
You should contact your finance and grants management personnel to obtain the information required to
complete this form.
Accrual Accounting
You should report funds earned and expended based on accrual accounting principles. In accrual accounting:
•
Funds earned are reported for the period in which they are earned with no consideration of when your agency
received payment; and
•
Funds expended are reported for the period in which expenses (liabilities) are incurred with no consideration of
when your agency paid these expenses.
For each funding source, you need to understand the logical relationship between funds earned and funds expended. There
are two types of relationships:
•
Funds earned based on expenses incurred, and
•
Funds earned based on non-cost factors.
Funds Earned Based on Expenses Incurred
Most federal, state and local grants are earned on a reimbursement basis. Generally, transit agencies will earn grant funds
only when the related expenditure occurs. Therefore, on an accrual basis, funds earned must equal funds expended for
the reporting period.
Sources of Funds – Funds Expended and Funds Earned form (F-10) — 73
2013 Urban Reporting Manual
There also can be a difference between: (1) the amount of funding that is provided in an approved grant application for your
agency (e.g., $6M) and (2) the amount of funding your agency expended (and earned) during a reporting period (e.g., $3M
for new buses delivered). You should report only the grant funds earned from an incurred expenditure during the period
($3M) and not the total amount of funding in your agency’s approved grant application (e.g., $6M).
When you report funds earned based on expenses incurred, the amount you report for funds earned (e.g., $10M) should
equal the sum of the amounts that you report for funds expended on operations (e.g., $1M) and funds expended on capital
(e.g., $9M).
Exhibit 20 — Reporting Funding Sources
Example: Coaster Transit Agency (Coaster) has a fleet replacement schedule as part of its capital improvement program. The
fleet replacement includes vehicles for Coaster's PT contractor, DJ Transit Company. Coaster agrees to buy 10 demand
response (DR) vehicles for DJ Transit Company at a cost of $600,000, or $60,000 each. The vehicles will be leased to DJ Transit
(seller) as part of the PT agreement for DR service. Coaster received and accepted only 5 of the vehicles before fiscal year end
(FYE). Coaster uses FTA Urbanized Area Formula Program (UAF) funds and state dedicated gasoline tax funds: 80% federal
funds matched with 20% non-federal funds. What should be reported on the Sources of Funds — Funds Expended and Funds
Earned form (F-10)?
Solution: Report the funding sources Coaster used to purchase the vehicles on the F-10 form under funds expended on capital
as follows:
State Sources
State government funds — transit dedicated gasoline tax: (5 * $60,000 * 20%) = $60,000, which goes on line 49, column e
Federal Government Sources
UAF funds: (5 * $60,000 * 80%) = $240,000, which goes on line 59, column e
Report the purchase of the vehicles on the F-20 form under Revenue Vehicles for DR/PT.
Funds Earned Based on Non-Cost Factors
Some funds are earned based on non-cost factors. Examples of these funds include passenger revenues, dedicated taxes,
and bridge, tunnel and highway tolls.
Often, there will be a difference in the reporting year between the funds earned and the funds expended. For example,
dedicated sales tax revenues earned in one year (e.g., $15M) may be greater than sales tax revenues expended (e.g., $10M
for operating expenses and $1M on capital). The net balance of unexpended ($4M) sales tax revenues may be carried over
to fund the capital or operating expenses for the following year.
When you report funds earned based on expenses incurred, the amount you report for funds earned (e.g., $15M) often will
not equal the sum of the amounts that you report for funds expended on operating expenses (e.g., $10M) and funds
expended on capital (e.g., $1M).
Relationship of Funds Expended (Applied) to Key NTD Financial Forms
This form has key relationships with the following two key NTD financial forms that also are based on accrual accounting
principles:
•
Uses of Capital form (F-20) — the total sources of funds expended on capital must equal the total uses of capital
reported in the F-20 form; and
•
Operating Expenses Summary form (F-40) —the total sources of funds expended on operations must equal the
total operating expenses reported in the F-40 form.
Transit-Related Projects
Since this form covers transit uses, you should report only those funds that were earned by your transit agency and were or
will be expended on transit-related projects. For example, you should not report revenues from dedicated sales taxes that
are used to fund highway improvements for mobility projects not related to transit.
Public Funding Reporting Relationships
Often another public entity will help support transit operations by providing funding to the public NTD reporter. These
relationships may be a memorandum of understanding (MOU), part of the budgeting process of a state or local governmental
entity, or there may be an actual contract. On the F-10, report such funds provided to you according to their original source,
under the relevant category of federal, state, local or other funds.
74 — Sources of Funds – Funds Expended and Funds Earned form (F-10)
2013 Urban Reporting Manual
Purchased Transportation (PT)
In most cases, the reporting requirements for PT are simple because: (1) the buyer is the public agency that includes the PT
in its NTD Annual report, and (2) the seller is a private or private non-profit agency that is not filing a separate NTD Annual
report. In this common situation:
•
You report the funds that your transit agency earns and expends on operations and capital. For capital
expenditures, this applies regardless of whether your agency retains ownership of the capital; and
•
You do not report funds that the seller may have expended on operations or capital from the seller’s own resources.
There are a limited number of cases in which both the buyer and the seller file separate NTD Annual reports. The following
principles apply to these limited cases:
•
The buyer reports all funds expended on operations (column d). These are from the buyer’s sources of funds only;
the seller’s sources are not included.
There is no double counting of funds when a seller files a separate NTD Annual report.
Public Agency Sellers — for public agency sellers, the funds received from the buyer are tracked and accounted
for in the sources of funds expended on PT in the revenues accrued through a PT agreement (Directly-Generated
Funds, line 13a). If additional expenditures are made by the public agency selling the PT service, they are reported
in the appropriate functions and object classes in the seller’s NTD Annual report.
Private and Private Non-Profit Sellers — for private and private non-profit sellers, the funds received from the
buyer are tracked and accounted for in the sources of funds expended on PT in the revenues accrued through a PT
agreement (Directly-Generated Funds, line 13a). If additional expenditures are made by the private or private nonprofit agency selling the PT service, they are reported in the appropriate functions and object classes in the seller’s
NTD Annual report. Any costs incurred by the buyer of service are reported in both the buyer’s and seller’s report
on the Contractual Relationship form (B-30).
•
Whether the buyer or the seller reports funds for capital expenditures depends on whether the seller is a private or
private non-profit or public provider.
Public Agency Sellers — for public agency sellers, the seller reports the funds for capital expenditures if the seller
is a public transit agency.
Private and Private Non-Profit Sellers — for private and private non-profit sellers, the buyer reports all funds for
capital expenditures regardless of whether the buyer retains ownership of the capital. These are from the buyer’s
sources of funds only; the seller’s own sources of funds for purchase of equipment or capital projects are not
reported to NTD.
For private or private non-profit or public agency providers, in the seller’s separate NTD Annual report, the funds
earned during the period (column c) equal the funds expended on operations (column d) under the PT agreement.
In-Kind Services
In-kind services are a type of contributed service where your transit agency derives a benefit from another entity but is under
no obligation to pay for that benefit.
For example, a city government may donate staff to help a transit agency plan and promote a new downtown transit shuttle
service. Your transit agency is under no obligation to pay for the staff resources.
Typically, in-kind services are used for the local share (some or all) in federal grants. For these in-kind matches, you should
report the monetary value of the services in the appropriate category of state and local sources in this form. You should
report in-kind services as contributed services only if there is no obligation to pay for the services.
Pass-Through Funds
Pass-through funds are funds that the designated recipient receives from FTA and gives to another transit agency. The
funds do not support directly operated (DO) or purchased transportation (PT) services provided by the designated recipient.
If your transit agency serves as a designated recipient, you should report only the funds that relate to your transit services,
DO or PT. You should not report funds that belong to other transit agencies that your transit agency gave them as passthrough funds.
Sources of Funds – Funds Expended and Funds Earned form (F-10) — 75
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Detailed Instructions
The instructions are divided into the following four categories of funds:
•
Sources of Directly-Generated Funds, which can be either:
o
Derived from revenues generated by or donated to your transit agency (all transit agencies);
o
Funds dedicated to transit at their source (only those transit agencies that are independent political
entities); or
o
Other directly-generated funds;
•
Local government sources;
•
State government sources; and
•
Federal government sources.
Directly-Generated Funds by the Transit Agency
Directly-Generated Funds are funds obtained from non-governmental sources. These funds are derived from revenues
generated by your transit agency, and by transit agencies that are independent political entities that have the ability to
impose taxes.
You should report sources of funds earned, sources of funds expended on (applied to) operations, and sources of funds
expended on (applied to) capital during the period, using the revenue categories described below.
Derived from Revenues or Donated
Passenger fares are the revenues earned from carrying passengers. They are usually the amounts paid by the rider to use
transit services but may also include special transit fares. Special transit fares are fares from contracts to your transit agency
in which an agency or organization pays a set amount in return for unlimited transit service for the persons covered by the
contract.
Passenger Fares
Passenger fares may include special programs such as reduced passes or ticket prices for students, the elderly or
individuals with disabilities. However, passenger fares should reflect the amount of the fare that the passengers pay on their
own behalf.
Passenger fares may be collected in several ways, including:
•
Before service is provided (e.g., through the sale of media such as passes, tickets and tokens sold to passengers);
•
Directly at the point of service (e.g., farebox, turnstile); or
•
After the service is provided, (e.g., through weekly or monthly billing).
Please note that fees paid by universities are considered fares and should be reported as fares.
Passenger fares do not include subsidies or passenger fare assistance from other entities, such as governments to provide a
reduced fare or free fare. Subsidies are provided to support the general provision of transit service. Passenger fare
assistance is targeted to help specific classes of users (e.g., senior citizens, students) and helps to offset the reduced or free
fares offered these users. Subsidies and fare assistance are reported in the appropriate state and local government source
of funds.
For ferryboat (FB) and vanpool (VP) modes, the following rules apply:
Ferryboat
For FB services, passenger fares are determined from three categories:
•
Walk-on pedestrians and bicyclists;
•
Non-public transit vehicles (e.g., private automobiles and commercial trucks); and
•
Public transportation vehicles (e.g., buses and VP using a FB for part of their trip).
76 — Sources of Funds – Funds Expended and Funds Earned form (F-10)
2013 Urban Reporting Manual
For walk-on pedestrians and bicyclists, you should report passenger fares for each person using the fee charged for
personal travel not including any additional ferriage fees for transporting the bicycle. For vehicles, you should report
passenger fares for each occupant of the vehicle including the driver, and not include any vehicle ferriage fees.
For example, if the ferriage fee is $20 for the vehicle and its driver, you should report the passenger fare for the driver
passenger fare/fee charged for pedestrians (e.g., $2). You should deduct the passenger fare ($2) from the ferriage revenues
($20) collect and report the difference ($18) under other transportation revenues (line 06).
Vanpool
For publicly sponsored VP services, passenger fares have unique provisions. For these services passenger fares include all
the fees paid by the riders, which often include fuel costs, maintenance expenses, lease payments, tolls and other out-ofpocket costs.
Allocation of Fare Revenues
You may have to allocate fares to modes and types of service. This is frequently the case when:
•
There is a fixed fare for the initial segment of a multi-mode trip and the transfer charge is minimal;
•
A large portion of passengers use prepaid fare media that is accepted on all modes;
•
Many or most passengers use multiple modes; or
•
The route structure encourages (or forces) transfers.
In these cases, you should allocate fare revenues to each mode and type of service based on a reasonable allocation
methodology, which can be locally determined. You may use one of the following methodologies to allocate fare revenues by
mode or you may develop another methodology:
•
Allocation by unlinked passenger trips (UPT). Fare revenues are allocated to modes based on the proportion of
annual unlinked trips by mode to the total annual unlinked trips across modes.
For example, if 75 percent of unlinked trips are on MB/DO and 25 percent are on MB/PT, then fare revenues are
allocated to MB/DO and MB/PT using the same 75/25 percent split.
•
Allocation by passenger miles traveled (PMT). Fare revenues are allocated to modes based on the proportion of
annual PMT by mode to the total PMT across modes.
For example, if 60 percent of PMT are on MB/DO and 40 percent are on MB/PT, then fare revenues are allocated to
MB/DO and MB/PT using the same 60/40 split.
•
Allocation by operating expenses (operating expenses): Fare revenues are allocated to modes based on the
proportion of annual operating expenses by mode to the total operating expenses.
For example, if 65 percent of operating expenses is for MB/DO and 35 percent are for LR/DO, then fare revenues
are allocated to MB and LR using the same 65/35 split.
Passenger Fares for Directly-Operated (DO) Service
You should report passenger fares, by mode, for DO service. Internet Reporting generates the appropriate DO modes.
Internet Reporting automatically calculates the total passenger fares for DO service earned during the period for all modes.
You should report the total passenger fares for DO transit service that were expended on operations and expended on
capital during the year. Many transit agencies apply the total DO fare revenues to funds expended on operations. Other
transit agencies split the total fare revenues between operations and capital.
Passenger Fares for Purchased Transportation (PT) Service
Only the buyer of PT service reports purchased transportation (PT) fare revenues. Sellers of PT filing their own report will
report passenger fares as DO.
PT fare revenues are the fares derived from the transit services provided under the PT agreement. The PT fares often
involve the buyer and the seller since they may be:
•
Sold by the buyer or seller;
•
Collected by the buyer or seller; or
•
Retained by the seller or returned to the buyer.
Internet Reporting automatically calculates the total PT fare revenues earned during the period by mode from data entered in
the Contractual Relationship form (B-30) and enters these totals on the F-10. It also calculates the total for all modes.
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You should report the total amount of PT fares expended on operations and expended on capital. Many transit agencies
apply the total PT fare revenues to funds expended on operations. Other transit agencies split the total fare revenues
between operations and capital.
Park-and-Ride Parking Revenue
Park-and-ride parking revenue is the parking fees paid by passengers who drive to park-and-ride facilities to use transit
service. It includes parking revenues for both DO and PT services.
You should report park-and-ride parking revenue only in column c.
Other Transportation Revenues
This category is for miscellaneous sources of non-public transportation revenue and is infrequently used by transit agencies.
Other transportation revenues include school bus service revenues, charter service revenues and freight tariffs.
You should report other transportation revenues only in column c.
Auxiliary Transportation Revenues
Auxiliary transportation revenues are earned from activities closely related to the provision of transit service. The revenues
are generated from the by-products of the transit service such as advertisements on-board vehicles, concessions stands in
station areas; fees paid for transit ID cards, or fines paid for fare evasion.
You should report auxiliary transportation revenues using the following categories:
•
Concessions (station concessions and vehicle concessions)
•
Advertising revenues
•
Other auxiliary transportation revenues, including ID card fees (seniors, persons with disabilities, employees), fare
evasion and park-and-ride lot fines, and automotive vehicle freight.
You should report auxiliary transportation revenues only in column c for the three categories. Internet Reporting
automatically totals the categories.
Non-Transportation Funds
You should report other funds earned through activities not associated with the provision of transit service as nontransportation funds.
Non-transportation funds include:
•
Investment earnings;
•
Other non-transportation sources, including:
o
Revenues earned from sales of maintenance services on property not owned or used by your transit
agency;
o
Rentals of revenue vehicles to other operators;
o
Rentals of transit agency buildings and property to other organizations;
o
Parking fees generated from parking lots not normally used as park-and-ride locations;
o
Donations;
o
Grants from private foundations;
o
Development fees; and
o
Rental car fees.
You should report non-transportation funds only in column c.
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Total Park-and-Ride, Other Transportation, Auxiliary and Non-Transportation Revenues
Internet Reporting automatically totals the park-and-ride parking, other transportation, auxiliary transportation and nontransportation revenues.
Of this total, you should report the total amount expended on operations and expended on capital.
Revenues Accrued through a Purchased Transportation Agreement
Revenues accrued through a purchased transportation (PT) agreement only apply to sellers of PT services filing an NTD
report. The seller reports the contract revenues earned (payments and accruals) as a result of the PT agreement. Revenues
accrued through a PT agreement are differentiated by whether the seller is an NTD reporting agency and both the buyer and
seller are filing NTD reports (seller uses line 13a) or whether buyer is a non-NTD reporting agency (seller uses line 13b).
If your transit agency is the seller and is a private or private non-profit provider, you should report funds only for funds earned
during the period (column c) and for funds expended on operations (column d) since the buyer of service reports any capital
purchases and funding. If your transit agency is a public agency, you should also report funds for funds expended on capital
(column e).
Contributed Services
In-kind services are a type of contributed services from another entity where there is no obligation to pay for the services.
You should report in-kind services as contributed services only if there is no obligation to pay for the services. If in-kind
services are used for the local share in federal grants, then you should report their monetary value in the appropriate
category of state and local sources; you should rot report these match funds as contributed services.
Subsidy from Other Sectors of Operations
Occasionally, transit agencies receive subsidies from other sectors of operations to help cover the cost of transit. Typically,
the transit operation is only one part of a larger transportation entity, for example a transportation authority that is responsible
for airports, ports, or bridges as well as for public transit.
Funds Dedicated to Transit at their Source
Transit agencies may be independent political entities, such as a transit or transportation authority, or transit agencies may
be a part of local or state government. Reporting funds dedicated to transit at their source is based on whose taxation
authority has generated the revenues, as described below.
Independent Political Entities
Transit agencies that are organized as independent political entities with their own taxation authority also may earn funds
from taxes, tolls and fees that they put into place specifically to generate revenue to support transit programs and projects.
These are funds dedicated to transit at their source; they can only be used for transit.
This section will only appear if you have indicated that your transit agency is an independent agency with an elected or an
appointed board of directors on the Identification form (B-10).
If your transit agency is not identified as an independent agency on the identification form, you should report the revenues to
your transit agency raised through the taxing authority of the grant or governmental unit in the local and state sections of this
form. This situation applies to transit agencies that are a part of the local or state government.
There are four categories of funds dedicated to transit at their source:
•
Dedicated taxes;
•
Bridge, tunnel and highway tolls;
•
High occupancy / toll (HO/T) lane tolls; and
•
Other dedicated funds.
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Dedicated Taxes
If your transit agency is an independent political entity and has the legal authority to impose a dedicated tax, this tax is called
a directly levied tax, and your report it under directly generated sources of funds. If the tax is levied by the legal authority of
the local or state government for transit use, you report it under local or State Government Sources of Funds.
For administrative convenience, directly levied taxes may be collected through another governmental entity. For example, a
transit agency may use its legal authority to add one percent to the county sales tax for transit uses. The county collects all
of the sales tax and distributes the one percent back to the transit agency. The one percent tax is a directly levied sales tax
by the transit agency reported as directly generated under funds dedicated to transit at their source.
You should report taxes using the following categories:
•
Income taxes;
•
Sales taxes;
•
Property taxes (include mortgage and property transfer taxes and fees);
•
Gasoline taxes;
•
Other taxes;
•
Payroll taxes;
•
Utility taxes;
•
Communication taxes (e.g., telephone taxes and fees);
•
Motor vehicle and tire excise taxes; and
•
Other.
Bridge, Tunnel and Highway Tolls
Another source of funds raised for transit at their source is from tolls collected on bridges, tunnels or highways. Typically,
transit agencies that have the power to impose these taxes are multipurpose transportation agencies that operate and own
these facilities. This reporting category does not include tolls collected on HO/T lanes.
High Occupancy / Toll Lanes
MAP-21 outlines the provisions governing the use and operation of HOV, in particular the use of HOV facilities by HO/T
vehicles. Based on MAP-21 legislature, HO/T toll lanes should not be proposed as segments on the Fixed Guideway
Segments form (S-20). See the S-20 form for more information on these added provisions (23 U.S.C. Section 166). HO/T toll
lanes allow single occupancy vehicles (SOVs) to gain access to high occupancy vehicle (HOV) facilities by paying a toll. If a
transit agency has stricter requirements for HOV facilities than the prohibition of SOVs, then those requirements apply to the
HO/T lane.
A state agency with jurisdiction over the operation of a HOV facility must establish occupancy requirements for HOV lanes
and for any exemptions. The state agency must certify to the US Secretary of Transportation that they have established a
program to monitor, assess, and report on the operation of the facility and the impact of HO/T vehicles and other low
emission and energy efficient vehicles. An adequate enforcement program is also required, and provision made for limiting
or discontinuing the exemptions if traffic speeds on the facility seriously degrade.
Other Dedicated Funds
If there are other sources of dedicated funds not covered by taxes or bridge, tunnel and highway tolls, report the funds as
other dedicated funds. These funds include:
•
Vehicle licensing and registration fees;
•
Communications access fees, surcharges and taxes;
•
Lottery and casino proceeds; and
•
Other.
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Other Directly-Generated Funds
If there are other sources of funds not included in the directly generated sources common to all transit agencies and for
independent political entities (lines 20 through 28), you should report as other Directly-Generated Funds. This includes the
sale of property and assets.
Reporting Loans
During the year the loan is established, report the full amount of the loan, the yearly loan payment and the yearly interest.
The full amount of the loan is reported either under an operational or capital expenditure. The loan payment should be
reported by its original source of funds. In this particular example, the assumption is made that the loan is paid by sales
taxes. The yearly loan payment is reported under Sales Tax as funds earned. The amount of interest paid is reported on the
F-40 under Interest Paid, Funds Applied. In the following years for the duration of the loan, the yearly loan payment is
reported under Sales Tax as funds earned. The amount of interest paid is reported on the F-40 under Interest Paid, Funds
Applied.
Exhibit 21 — Reporting Loans
Example: Suppose Regional Transit takes out a loan for $1,000,000 in 2013. The interest rate is 10% per year. The agency pays
it back over 5 years using money from a sales tax – its yearly loan payment is $254,964. It spends it all in 2013 on capital.
Solution:
2013
F10: On the line for sales tax, it reports $254,964 earned and $1,000,000 spent on capital.
F40: It reports the amount of interest paid, $92,696, as funds applied.
2014
F10: On the line for sales tax, it reports $254,964 earned and $0 spent.
F40: It reports the amount of interest paid, $75,705, as funds applied.
2015
F10: On the line for sales tax, it reports $254,964 earned and $0 spent.
F40: It reports the amount of interest paid, $56,934, as funds applied.
2016
F10: On the line for sales tax, it reports $254,964 earned and $0 spent.
F40: It reports the amount of interest paid, $36,198, as funds applied.
2017
F10: On the line for sales tax, it reports $254,964 earned and $0 spent.
F40: It reports the amount of interest paid, $13,120, as funds applied.
At the end of the 5-year period, Regional Transit has reported a total of $1,274,820 earned and $1,000,000 spent on the F-10
forms.
It has reported a total of $274,823 funds applied to interest on the F-40 forms.
Local and State Government Sources
You should report the sources from state government funds and from local government funds. These funds assist with
paying the operating and capital costs of providing transit services and include:
•
•
Operating assistance, which includes:
o
General operating assistance to support service for all classes of passengers;
o
Fare assistance to meet the difference between full adult fares and special reduced fares for persons with
disabilities, senior citizens, students and other special reduced fare riders;
o
Reimbursements of payments for taxes, interest, snow removal, maintenance and security costs; and
o
Special demonstration project assistance; and
Capital assistance.
Sources of local and state government funds use the same categories for reporting:
•
Funds allocated to transit out of general revenues of the government entity. These funds are often part of the
government’s annual budgeting process from general revenues rather than dedicated funds for transit;
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•
Funds dedicated to transit at their source. These are funds from state taxes, tolls and fees; bridge, tunnel and
highway tolls, bonds and loans, and other sources that are put into place specifically to generate revenue to support
transit programs and projects. Bonds should be reported by the source of funds used to back the bond; and
•
Other funds.
Funds Allocated to Transit Out of General Revenues of the Government Entity
The funds in this category come from general government revenues and are not designated for transit. As general revenues,
funding for transit annually competes for funding with other government programs such as police, fire and education.
Funds Dedicated to Transit at their Source
Funds dedicated to transit at their source are the same category described under Directly-Generated Funds (see discussion
above). The same four categories of dedicated funds are used:
•
Dedicated taxes;
•
Bridge, tunnel and highway tolls;
•
High occupancy / toll (HO/T) lane tolls; and
•
Other dedicated funds.
The key principal in reporting dedicated transit funds is to determine the entity that has the legal authority to impose taxes or
other dedicated fund sources. You should report the funds as:
•
Directly generated sources of funds if your transit agency has the legal authority;
•
Local Government Sources of Funds if the local government has the legal authority; and
•
State Government Sources of Funds if the state government has the legal authority.
Other Funds
You should report under other funds for any state government or any local government funding sources that are not
dedicated to transit at their source or are not included in the budgeting process of general revenue funds.
These funds include:
•
Vehicle licensing and registration fees;
•
Communications access fees, surcharges, taxes;
•
Lottery and casino proceeds;
•
Sale of property and assets;
•
Refund of sales tax on fuel; and
•
Other.
You should report reimbursements and refunds such as sales tax on fuel in the original source of revenues used to pay for
the expense.
Federal Government Sources
This section covers payments or accruals from the federal government. These include American Recovery and
Reinvestment Act of 2009 (ARRA) program funds. You should report the funding sources using the following categories:
•
Funds received from Federal Transit Administration (FTA) grant programs;
•
Funds received from other U.S. Department of Transportation (USDOT) grant programs; and
•
Other federal funds
You should consider the following when reporting federal funding:
•
You should refer to your transit agency’s grant applications and grants management personnel to determine the
correct source of funds for reporting;
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•
You should report federal funds based on the program (federal agency) administering the funding. This is
particularly important for programs that transfer funding to FTA (see FTA Urbanized Area Formula Program (UAF)
and flexible funding below).
The applicable formula programs are:
•
FTA Urbanized Area Formula Program (UAF) (§5307);
•
FTA Special Needs of Elderly Individuals and Individuals with Disabilities Formula Program (§5310);
•
FTA Other Than Urbanized Area Formula Program (§5311); and
•
FTA New Freedom Program (§5317).
Funds Received from FTA
There are twelve categories of funds received from FTA:
•
FTA Capital Program (§5309) funds;
•
FTA State of Good Repair (§5337) funds;
•
FTA Bus and Bus Facilities (§5339) funds;
•
FTA Urbanized Area Formula Program (§5307) (UAF) funds;
•
FTA Metropolitan Planning (§5303) funds;
•
FTA Clean Fuels Program (§5308) funds;
•
FTA Special Needs of Elderly Individuals and Individuals with Disabilities Formula Program (§5310) funds;
•
FTA Other Than Urbanized Area Formula Program (§5311) funds;
•
FTA Job Access and Reverse Commute Formula Program (§5316) funds;
•
FTA New Freedom Program (§5317) funds;
•
FTA Alternative Transportation in Parks and Public Lands (§5320) funds; and
•
Other FTA funds.
There are also line items for those FTA programs with ARRA funding.
FTA Capital Program
The FTA Capital Program (§5309) is a discretionary program that provides capital assistance for new FG systems.
FTA State of Good Repair Program
The FTA State of Good Repair Program (SGR) (§5337) is a formula program that replaced the Fixed Guideway
Modernization program. It provides capital assistance to maintain fixed guideway and high intensity bus systems in a state of
good repair.
FTA Bus and Bus Facilities Program
The FTA Bus and Bus Facilities Program (§5339) is a formula program that finances capital projects to replace, rehabilitate,
and purchase buses and related equipment and to construct bus-related facilities. Grants received under the old §5309 Bus
and Bus Facilities program should be reported under §5309; this category should be used only for new grants made under
MAP-21.
FTA Urbanized Area Formula Program
The FTA Urbanized Area Formula Program (UAF) (§5307) is a formula program for:
•
Capital projects;
•
Planning;
•
Operating assistance in UZAs with population less than 200,000; and
•
Capitalized operating assistance (e.g., preventive maintenance using FTA UAF (capital) funds.
FTA UAF funds include flexible funding programs. Several programs of the federal Highway Administration (FHWA) of the
USDOT allow transfer of funds to the FTA UAF, under the flexible funding provision, for transit projects:
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•
Surface Transportation Program (STP);
•
Congestion Mitigation and Air Quality Improvement Program (CMAQ);
•
National Highway System (NHS);
•
Construction of Ferry Boats & Ferry Terminal Facilities;
•
Federal Lands Highways Program (FLHP);
•
Transportation, Community, and System Preservation Program (TCSP);
•
Coordinated Border Infrastructure Program (CBIP); and
•
Nonmotorized Transportation Pilot Program.
For FTA formula programs, transit agencies may use capital funds for eligible operating expenses, such as preventive
maintenance costs. For the NTD, you should report the operating expenses accrued as operating expenses on the
Operating Expenses form (F-30) regardless of grant eligibility for capital assistance, and report the funds expended (applied)
under funds expended on operations on the F-10.
When the flexible fund programs from the FHWA are administered by FTA under the UAF program, you should report the
funds under the FTA Urbanized Area Formula Program. For example, a transit agency may receive FHWA Congestion
Mitigation Air Quality (CMAQ) funding through the FTA UAF program. You should report the FHWA CMAQ funding should
be reported as FTA UAF program funds, not under other USDOT grant programs. For more detailed information, see
www.fta.dot.gov/funding/grants/grants_financing_2484.html, in particular Attachment 2--FHWA and FTA Funds That May be
Used for Either Highway or Transit Purposes.
In most cases, the funding reporting is straightforward. However, you should first refer to your grant agreements to determine
the appropriate category to use.
FTA Metropolitan Planning
The FTA Metropolitan Planning Program (§5303) supports the cooperative, continuous and comprehensive planning
program for making transportation investment decisions in urbanized areas (UZA). These funds are allocated to the
Metropolitan Planning Organizations (MPO) and are designated by local elected officials as being responsible for carrying
out the urban transportation and other planning process, including short and long-range transportation plans that prioritized
projects for implementation.
FTA Clean Fuels Program
The FTA Clean Fuels Program (§5308) is a formula program that supports the use of alternative fuels. Projects are eligible in
air quality maintenance or nonattainment areas for ozone or carbon monoxide, for both for UZA and nonurbanized areas
(non-UZA).
The program assists transit systems in purchasing low emission buses and related equipment, constructing alternative fuel
fueling facilities, modifying existing garage facilities to accommodate clean fuel vehicles and assisting in the utilization of
biodiesel fuel.
Funds may be used for the purchase or lease of clean fuel buses, the construction of clean fuel electrical recharging
facilities, improvement to existing facilities to accommodate clean fuel buses, and the re-powering and retrofit or rebuild of
pre-1993 engines if before a mid-life rebuild.
This program has been discontinued in MAP-21 grant programs.
FTA Special Needs of Elderly Individuals and Individuals with Disabilities Formula
The FTA Special Needs of Elderly Individuals and Individuals with Disabilities Formula Program (§5310) is a formula
program that provides capital assistance to state and local governments and private non-profit groups in meeting the
transportation needs of elderly individuals and individuals with disabilities. The state (or state-designated agency)
administers the §5310 program.
States may allocate funds to private non-profit organizations and to public agencies if they are designated to provide
coordinated service. Map-21 increases coordination requirements by requiring that projects be on a locally-developed human
service transportation coordination plan. That planning process includes representatives of public, private, and non-profit
transportation and human services providers and the public.
§5310 funds may be transferred to and administered through the §5311 program.
FTA Other Than Urbanized Area Formula Program
The FTA Other Than Urbanized Area Formula Program (§5311) is a formula program for rural transportation for:
84 — Sources of Funds – Funds Expended and Funds Earned form (F-10)
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•
Capital projects;
•
Planning; and
•
Operating assistance in non-UZAs with population less than 50,000.
Federal operating and capital assistance under §5311 includes any §5310, §5307, §5316 or §5317 funds transferred to the
program or flexible highway funds transferred to the program and administered through the §5311 program.
Please note that if you receive §5311 funds then you should also be reporting data to the rural module.
The data reported in your rural report must be identical to what is reported on your urban report.
FTA Job Access and Reverse Commute Formula Program
The Job Access and Reverse Commute (JARC) Formula Program (§5316) is a formula program to states and designated
recipients to support the development and maintenance of job access projects designed to transport welfare recipients and
eligible low-income individuals to and from jobs and activities related to their employment, and for reverse commute projects
designed to transport residents of UZAs and non-UZAs to suburban employment opportunities.
Section 5316 funds may be transferred to and administered through the §5311 program.
This program has been discontinued in MAP-21 grant programs.
FTA New Freedom Program
The FTA New Freedom Program (§5317) is a formula program for new public transportation services and public
transportation alternatives beyond those required by the Americans with Disabilities Act (ADA) that assist individuals with
disabilities with transportation, including transportation to and from jobs and employment support services. Projects must be
included in locally-developed human service transportation coordinated plan beginning in FY 2007. Funds may be used for:
•
Capital projects;
•
Operating assistance; and
•
Planning.
Section 5317 funds may be transferred to and administered through the §5311 program.
This program has been discontinued in Map-21 grant programs.
FTA Alternative Transportation in Parks and Public Lands Program
The FTA Alternative Transportation in Parks and Public Lands Program (§5320) is a program for preserving our parklands
and enhancing visitor enjoyment. The program is administered jointly by FTA, US Department of Interior (DOI) and the US
Department of Agriculture Forest Service (USFS). Projects include capital and planning.
This program has been discontinued in MAP-21 grant programs.
Other FTA Funds
Any FTA funds not described above are reported as Other FTA funds. These funds include:
•
FTA Research, Development, Demonstration and Training Projects (§5312); and
•
Interstate Transfer Program.
Other FTA funds reported should be described using the Other FTA Funds — Describe field.
Funds Received from Other USDOT Grant Programs
Report funding through Other U.S. Department of Transportation (USDOT) Programs, where funds were not transferred to
FTA, as funds received from other USDOT grant programs. This includes funds from the federal Railroad Administration
(FRA) (including AMTRAK) that occurs for commuter rail operations.
Other Federal Funds
You should report funding from the federal government (other than through USDOT programs) as Other Federal Funds.
These include federal Emergency Management Agency (FEMA), Housing and Urban Development Programs (HUD) and
Department of Justice (DOJ) programs (e.g., JOBS).
You should describe other federal funds using the Other Federal Funds — Describe field.
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Summary
NTD Internet Reporting automatically calculates the totals from all sources — directly generated, federal, state and local
sources. The totals include:
•
Total funds earned during the period;
•
Funds expended on (applied to) operations during the period; and
•
Funds expended on (applied to) capital during the period.
Line by Line Instructions for Funds Expended and Funds Earned form (F-10)
You should complete one form. The form covers all modes for directly operated (DO) and purchased transportation (PT)
services.
Form Level Help: You should click on the Help tab at the top of the screen for form level help.
Form Notes: A form note can be attached to any form. You should use the Add Form Note link for relevant information to a
specific field, to the entire form or to multiple forms. You should click on the Add Form Note link at the top of the screen and
enter your note on the Notes screen. You can review or edit a form note from the Notes tab. You should not use the Form
Notes feature to answer issues generated from this form. From the Issues tab you should use the Add Comments link next
to the specific issue.
Saving or Closing the Form: You should click on the Save button prior to exiting the form and continuing with the report.
You should click on the Close button at the bottom of the screen to close the form without saving.
Sources of Directly-Generated Funds by the Transit Agency — All Transit Agencies
Line 01, column c: Passenger Fares for Directly Operated Service — Funds Earned During Period. By mode, enter the funds
earned during the period from carrying passengers for services that were DO by your transit agency (passenger fares).
Line 02: Total All DO Modes.
•
Column c: Funds Earned During Period. This is an auto-calculated field and cannot be edited. This field displays
the total of funds earned during the period from passenger fares for all DO modes.
•
Column d: Funds Expended on Operations. Enter the passenger fare revenues that were expended on operations
during the period for all DO modes. For most transit agencies, passenger fare revenues are earned and expended
during the current report year, typically on operations. In addition, expenditures may include fare revenues from
prior years or may be less than fare revenues earned in column c if they are not needed to cover expenditures.
•
Column e: Funds Expended on Capital. Enter the passenger fares revenues that were expended on capital during
the period for all DO modes. Most transit agencies do not use passenger fare revenues for capital.
Line 03, column c: Passenger Fares for Purchased Transportation Service — Funds Earned During Period.
•
This field is auto-calculated with data from the Contractual Relationship form (B-30) and cannot be edited. By
mode, this field displays the passenger fares earned during the period from PT services.
Line 04: Total All PT Modes.
Many transit agencies apply the total PT fare revenues to funds expended on operations. Other transit agencies split the
total fare revenues between operations and capital.
•
Column c: Funds Earned During the Period. This is an auto-calculated field and cannot be edited. This field
displays the total of funds earned during the period from passenger fares for all PT modes.
•
Column d: Funds Expended on Operations. Enter the PT fares expended on operations during the period.
•
Column e: Funds Expended on Capital. Enter the purchased transportation fares expended on capital during the
period.
Line 05, column c: Park-and-Ride Parking Revenue — Funds Earned During Period.
•
Enter the parking fees paid by passengers during the period who drive to park-and-ride facilities to use transit
service (park-and-ride parking revenues). Park-and-ride parking revenues include parking revenues for both DO
and PT services. It does not include rental income from surplus land leased to an outside party that may use the
land for parking.
Line 06, column c: Other Transportation Revenues — Funds Earned During Period.
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•
Enter the revenues earned during the period from charter services, school bus services, and freight tariffs.
Auxiliary Transportation Funds
Line 07, column c: Concessions — Funds Earned During Period.
•
Enter the revenues earned during the period from station concessions and vehicle concessions. These are one type
of auxiliary transportation funds.
Line 08, column c: Advertising Revenue — Funds Earned During Period.
•
Enter the revenues earned during the period from advertising revenues. These are one type of auxiliary
transportation funds.
Line 09, column c: Other — Funds Earned During Period.
•
Enter the revenues earned during the period from auxiliary transportation funds other than station concessions,
vehicle concessions and advertising revenues (other auxiliary transportation revenues).
Line 10, column c: Total Auxiliary Transportation Funds — Funds Earned During Period.
•
This is an auto-calculated field and cannot be edited. This field displays the total auxiliary transportation funds
earned during the period equal to the sum of lines 07 through 09, column c.
Line 11, column c: Non-Transportation Funds — Funds Earned During Period.
•
Enter the revenues earned from activities not associated with the provision of transit services (non-transportation
funds).
Line 12: Total Park-and-Ride Parking, Other Transportation, Auxiliary and Non-Transportation Revenues.
•
Column c: Funds Earned During Period. This is an auto-calculated field and cannot be edited. This field displays
the total park-and-ride parking, other transportation, auxiliary and non-transportation revenues earned during the
period.
•
Column d: Funds Expended on Operations. Enter the park-and-ride parking, other transportation, auxiliary and nontransportation revenues that were expended on operations during the period.
•
Column e: Funds Expended on Capital. Enter the park-and-ride parking, other transportation, auxiliary and nontransportation revenues that were expended on capital during the period.
Line 13: Revenues Accrued through a Purchased Transportation Agreement.
Line 13a: With an NTD reporting agency.
•
Column c: Funds Earned During Period. Enter the revenues earned from contract payments and accruals (net of
fare revenues) for PT services (revenues accrued through a PT agreement). This category only applies to sellers of
PT services under contract to an NTD Annual reporter and when both agencies are filing an NTD Annual report.
The seller reports the contract revenues earned (payments and accruals) as a result of the PT agreement. For most
transit agencies, this is the sum of net contract expenditures in line 07 on the B-30 form.
This category only applies to sellers of PT services under contract to an NTD Annual reporter and when both agencies are
filing an NTD Annual report. The seller reports the contract revenues earned (payments and accruals) as a result of the PT
agreement. If the seller is a private for profit provider or non-profit provider, funds should only be reported for funds earned
during period (column c) and for funds expended on operations (column d) since the buyer of service reports any capital
purchases and funding. If the seller is a public agency, funds also can be reported for funds expended on capital (column e).
•
Column d: Funds Expended on Operations. Enter the revenues accrued through a PT agreement that were
expended on operations during the period.
•
Column e: Funds Expended on Capital. Enter the revenues accrued through a PT agreement that were expended
on capital during the period.
Line 13b: With a non-NTD reporting agency.
•
Column c: Funds Earned During Period. Enter the revenues earned from contract payments and accruals (net of
fare revenues) for PT services (revenues accrued through a PT agreement). This category only applies to sellers of
PT services under contract to a non-NTD Annual reporter. Only the seller is filing an NTD Annual report. The seller
reports the contract revenues earned (payments and accruals) as a result of the PT agreement. For most transit
agencies, this is the sum of net contract expenditures in line 07 on the B-30 form.
Sources of Funds – Funds Expended and Funds Earned form (F-10) — 87
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This category only applies to sellers of PT services under contract to a non-NTD reporter. Only the seller is filing an NTD
Annual report. The seller reports the contract revenues earned (payments and accruals) as a result of the PT agreement. If
the seller is a private for profit provider or non-profit provider, funds should only be reported for funds earned during period
(column c) and for funds expended on operations (column d) since the buyer of service reports any capital purchases a
•
Column d: Funds Expended on Operations. Enter the revenues accrued through a PT agreement that were
expended on operations during the period. If the seller is a public agency, funds also can be reported for funds
expended on capital (column e).
•
Column e: Funds Expended on Capital. Enter the revenues accrued through a PT agreement that were expended
on capital during the period.
Contributed Services
Line 15: State and Local Government.
•
Column c: Funds Earned During Period. Enter the estimated value of services during the period received from
another entity where there is no obligation to pay (contributed services). In-kind services are a form of contributed
services. Report in-kind services only if there is no obligation to pay for the services. If in-kind services are used for
the local (non-federal) share in federal grants, then report their monetary value in the appropriate category of state
and local sources; do not report these matching funds as contributed services.
•
Column d: Funds Expended on Operations. Enter the amount of contributed services received during the period
that were expended on operations.
•
Column e: Funds Expended on Capital. Enter the amount of contributed services received during the period that
were expended on capital.
Line 16: Contra Account for Expenses.
•
Column c: Funds Earned During Period. This is an auto-calculated field and cannot be edited. This field displays a
negative amount equal to line 15, column c.
•
Column d: Funds Expended on Operations. This is an auto-calculated field and cannot be edited. This field
displays a negative amount equal to line 15, column d.
•
Column e: Funds Expended on Capital. This is an auto-calculated field and cannot be edited. This field displays a
negative amount equal to line 15, column e.
Line 17: Net Contributed Services.
•
Column c: Funds Earned During Period. This is an auto-calculated field and cannot be edited. This field displays
the net contributed services or zero.
•
Column d: Funds Expended on Operations. This is an auto-calculated field and cannot be edited. This field
displays the net contributed services or zero.
•
Column e: Funds Expended on Capital. This is an auto-calculated field and cannot be edited. This field displays
the net contributed services or zero.
Line 18: Subsidy from Other Sectors of Operations.
•
Column c: Funds Earned During Period. Enter the funds earned during the period from subsidies from other sectors
of operations. These funds are used to help cover the cost of providing transit service and include subsidies from
utility rates where the transit agency is a utility company, subsidies from bridge and tunnel tolls where the transit
agency owns and operates the bridges and tunnels, and subsidies from other sources provided by the same entity
that operates the transit agency. This usually occurs with transportation authorities that operate other transportation
services (e.g., airports, ports) in addition to transit services.
•
Column d: Funds Expended on Operations. Enter the funds expended on operations during the period received
from subsidies from other sectors of operations.
•
Column e: Funds Expended on Capital. Enter the funds expended on operations during the period received from
subsidies from other sectors of operations.
Funds Dedicated to Transit at their Source — Independent Political Entities
Lines 20 – 24 will only appear for reporters who have indicated that they are an Independent Agency with an elected or an
appointed Board of Directors on the B-10.
88 — Sources of Funds – Funds Expended and Funds Earned form (F-10)
2013 Urban Reporting Manual
Dedicated Taxes
Line 20: Income Taxes.
These are directly generated funds dedicated to transit at their source. These are directly levied by your transit agency.
•
Column c: Funds Earned During Period. Enter the revenues generated from income taxes dedicated to transit uses
that were earned during the period.
Line 21: Sales Taxes.
These are Directly-Generated Funds dedicated to transit at their source. These are directly levied by your transit agency.
•
Column c: Funds Earned During Period. Enter the revenues generated from sales taxes dedicated to transit uses
that were earned during the period.
Line 22: Property Taxes.
These are Directly-Generated Funds dedicated to transit at their source. These are directly levied by your transit agency.
•
Column c: Funds Earned During Period. Enter the revenues generated from property taxes dedicated to transit
uses that were earned during the period.
Line 23: Gasoline Taxes.
These are Directly-Generated Funds dedicated to transit at their source. These are directly levied by your transit agency.
•
Column c: Funds Earned During Period. Enter the revenues generated from gasoline taxes dedicated to transit
uses that were earned during the period.
Line 24: Other Taxes.
These are Directly-Generated Funds dedicated to transit at their source. These are directly levied by your transit agency.
•
Column c: Funds Earned During Period. Enter the revenues generated from other taxes dedicated to transit uses
that were earned during the period. Describe the taxes in the Other Taxes — Describe Other field.
Line 25: Bridge, Tunnel and Highway Tolls.
These are Directly-Generated Funds dedicated to transit at their source. These are directly levied by your transit agency.
•
Column c: Funds Earned During Period. Enter the revenues generated from bridge, highway or tunnel tolls earned
during the period.
Line 26: High Occupancy / Tolls.
These are Directly-Generated Funds dedicated to transit at their source. These are directly levied by your transit agency.
•
Column c: Funds Earned During Period. Enter the revenues generated from high occupancy / toll (HO/T) lanes
earned during the period.
Line 27: Other Dedicated Funds.
These are Directly-Generated Funds dedicated to transit at their source. These are directly levied by your transit agency.
•
Column c: Funds Earned During Period. Enter the revenues generated from any funds other than income, sales,
property, gasoline and other taxes; and, bridges, tunnels and highway tolls dedicated to transit uses that were
earned during the period (other dedicated funds).
Line 28: Total Funds Dedicated to Transit at their Source.
•
Column c: Funds Earned During Period. This is an auto-calculated field and cannot be edited. This field displays
the total Directly-Generated Funds of independent political entities dedicated to transit at their source earned during
the period equal to the sum of lines 20 through 27, column c.
•
Column d: Funds Expended on Operations. Enter the total Directly-Generated Funds of independent political
entities dedicated to transit at their source that were expended on operations during the period , column d.
•
Column e: Funds Expended on Capital. Enter the total Directly-Generated Funds of independent political entities
dedicated to transit at their source that were expended on capital during the period.
Line 29: Other Directly-Generated Funds.
•
Column c: Funds Earned During Period. Enter the revenues generated from any other Directly-Generated Funds
not reported on lines 1 through 28 that were earned during the period.
Sources of Funds – Funds Expended and Funds Earned form (F-10) — 89
2013 Urban Reporting Manual
•
Column d: Funds Expended on Operations. Enter the revenues generated from any other Directly-Generated Funds
not reported on lines 1 through 28 that were expended on operations during the period.
•
Column e: Funds Expended on Capital. Enter the revenues generated from any other Directly-Generated Funds not
reported on lines 1 through 28 that were expended on capital during the period.
Line 30: Total Directly-Generated Funds.
•
Column c: Funds Earned During Period. This is an auto-calculated field and cannot be edited. This field displays
the total Directly-Generated Funds earned during the period equal to the sum of lines 02, 04, 12 through 18, 28 and
29, column c.
•
Column d: Funds Expended on Operations. This is an auto-calculated field and cannot be edited. This field
displays the total local funds that were expended on operations during the period equal to the sum of lines 02, 04,
12 through 18, 28 and 29, column d.
•
Column e: Funds Expended on Capital. This is an auto-calculated field and cannot be edited. This field displays
the total local funds that were expended on capital during the period equal to the sum of lines 02, 04, 12 through
18, 28 and 29, column e.
Local Government Sources of Funds
Line 32: Funds Allocated to Transit out of the General Revenues of the Government Entity.
These are the funds received from the local government’s annual budgeting process.
•
Column c: Funds Earned During Period. Enter the funds earned during the period that were allocated to transit out
of the general revenues of the local government.
•
Column d: Funds Expended on Operations. Enter the funds expended on operations during the period that were
allocated to transit out of the general revenues of the local government.
•
Column e: Funds Expended on Capital. Enter the funds expended on capital during the period that were allocated
to transit out of the general revenues of the local government.
Funds Dedicated to Transit at their Source
Dedicated Taxes
Line 33: Income Taxes.
These are local government funds dedicated to transit at their source rather than through an appropriation of general funds.
•
Column c: Funds Earned During Period. Enter the revenues generated from income taxes dedicated to transit uses
that were earned during the period.
Line 34: Sales Taxes.
These are local government funds dedicated to transit at their source rather than through an appropriation of general funds.
•
Column c: Funds Earned During Period. Enter the revenues generated from sales taxes dedicated to transit uses
that were earned during the period.
Line 35: Property Taxes.
These are local government funds dedicated to transit at their source rather than through an appropriation of general funds.
•
Column c: Funds Earned During Period. Enter the revenues generated from property taxes dedicated to transit
uses that were earned during the period.
Line 36: Gasoline Taxes.
These are local government funds dedicated to transit at their source rather than through an appropriation of general funds.
•
Column c: Funds Earned During Period. Enter the revenues generated from gasoline taxes dedicated to transit
uses that were earned during the period.
Line 37: Other Taxes.
These are local government funds dedicated to transit at their source rather than through an appropriation of general funds.
90 — Sources of Funds – Funds Expended and Funds Earned form (F-10)
2013 Urban Reporting Manual
•
Column c: Funds Earned During Period. Enter the revenues generated from other taxes dedicated to transit uses
that were earned during the period. Describe the taxes in the Other Taxes — Describe Other field.
Line 38: Bridge, Tunnel and Highway Tolls.
These are local government funds dedicated to transit at their source rather than through an appropriation of general funds.
•
Column c: Funds Earned During Period. Enter the revenues generated from bridge, highway or tunnel tolls earned
during the period.
Line 39: High Occupancy / Tolls.
These are local government funds dedicated to transit at their source rather than through an appropriation of general funds.
•
Column c: Funds Earned During Period. Enter the revenues generated from HO/T lanes earned during the period.
Line 40: Other Dedicated Funds.
These are local government funds dedicated to transit at their source rather than through an appropriation of general funds.
•
Column c: Funds Earned During Period. Enter the revenues generated from any funds other than income, sales,
property, gasoline and other taxes; and, bridges, tunnels and highway tolls dedicated to transit uses that were
earned during the period (other dedicated funds).
Line 41: Total Funds Dedicated to Transit at their Source.
•
Column c: Funds Earned During Period. This is an auto-calculated field and cannot be edited. This field displays
the total local government funds dedicated to transit at their source earned during the period equal to the sum of
lines 33 through 40, column c.
•
Column d: Funds Expended on Operations. Enter the total local government funds dedicated to transit at their
source that were expended on operations during the period.
•
Column e: Funds Expended on Capital. Enter the total local government funds dedicated to transit at their source
that were expended on capital during the period.
Line 42: Other Funds.
•
Column c: Funds Earned During Period. Enter the funds earned during the period from local government sources
other than funds allocated to transit out of the general revenues of the government entity and funds dedicated to
transit at their source (other funds). Describe the taxes in the Other Funds — Describe Other field.
•
Column d: Funds Expended on Operations. Enter the funds that were expended on operations during the period
from local government sources other than funds allocated to transit out of the general revenues of the government
entity and funds dedicated to transit at their source (other funds). Describe the taxes in the Other Funds —
Describe Other field.
•
Column e: Funds Expended on Capital. Enter the funds expended on capital during the period from local
government sources other than funds allocated to transit out of the general revenues of the government entity and
funds dedicated to transit at their source (other funds). Describe the taxes in the Other Funds — Describe Other
field.
Line 43: Total Local Funds.
•
Column c: Funds Earned During Period. This is an auto-calculated field and cannot be edited. This field displays
the total local funds earned during the period equal to the sum of lines 32, 41 and 42, column c.
•
Column d: Funds Expended on Operations. This is an auto-calculated field and cannot be edited. This field
displays the total local funds that were expended on operations during the period equal to the sum of lines 32, 41
and 42, column d.
•
Column e: Funds Expended on Capital. This is an auto-calculated field and cannot be edited. This field displays
the total local funds that were expended on capital during the period equal to the sum of lines 32, 41 and 42,
column e.
State Government Sources of Funds
Line 45: Funds Allocated to Transit out of the General Revenues of the Government Entity.
These are the funds received from the state government’s annual budgeting process.
Sources of Funds – Funds Expended and Funds Earned form (F-10) — 91
2013 Urban Reporting Manual
•
Column c: Funds Earned During Period. Enter the funds earned during the period that were allocated to transit out
of the general revenues of the government entity.
•
Column d: Funds Expended on Operations. Enter the funds expended on operations during the period that were
allocated to transit out of the general revenues of the government entity.
•
Column e: Funds Expended on Capital. Enter the funds expended on capital during the period that were allocated
to transit out of the general revenues of the government entity.
Funds Dedicated to Transit at their Source
Dedicated Taxes
Line 46: Income Taxes.
These are state government funds dedicated to transit at their source rather than through an appropriation of general funds.
•
Column c: Funds Earned During Period. Enter the revenues generated from income taxes dedicated to transit uses
that were earned during the period.
Line 47: Sales Taxes.
These are state government funds dedicated to transit at their source rather than through an appropriation of general funds.
•
Column c: Funds Earned During Period. Enter the revenues generated from sales taxes dedicated to transit uses
that were earned during the period.
Line 48: Property Taxes.
These are state government funds dedicated to transit at their source rather than through an appropriation of general funds.
•
Column c: Funds Earned During Period. Enter the revenues generated from property taxes dedicated to transit
uses that were earned during the period.
Line 49: Gasoline Taxes.
These are state government funds dedicated to transit at their source rather than through an appropriation of general funds.
•
Column c: Funds Earned During Period. Enter the revenues generated from gasoline taxes dedicated to transit
uses that were earned during the period.
Line 50: Other Taxes.
These are state government funds dedicated to transit at their source rather than through an appropriation of general funds.
•
Column c: Funds Earned During Period. Enter the revenues generated from other taxes dedicated to transit uses
that were earned during the period. Describe the taxes in the Other Taxes — Describe Other field.
Line 51: Bridge, Tunnel and Highway Tolls.
These are state government funds dedicated to transit at their source rather than through an appropriation of general funds.
•
Column c: Funds Earned During Period. Enter the revenues generated from bridge, highway or tunnel tolls earned
during the period.
Line 52: High Occupancy / Tolls.
These are state government funds dedicated to transit at their source rather than through an appropriation of general funds.
•
Column c: Funds Earned During Period. Enter the revenues generated from high occupancy / toll (HO/T) lanes
earned during the period.
Line 53: Other Dedicated Funds.
These are state government funds dedicated to transit at their source rather than through an appropriation of general funds.
•
Column c: Funds Earned During Period. Enter the revenues generated from any funds other than income, sales,
property, gasoline and other taxes; and, bridges, tunnels and highway tolls dedicated to transit uses that were
earned during the period (other dedicated funds).
Line 54: Total Funds Dedicated to Transit at their Source.
•
Column c: Funds Earned During Period. This is an auto-calculated field and cannot be edited. This field displays
the total state government funds dedicated to transit at their source earned during the period equal to the sum of
lines 46 through 53, column c.
92 — Sources of Funds – Funds Expended and Funds Earned form (F-10)
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•
Column d: Funds Expended on Operations. Enter the total state government funds dedicated to transit at their
source that were expended on operations during the period.
•
Column e: Funds Expended on Capital. Enter the total state government funds dedicated to transit at their source
that were expended on capital during the period.
Line 55: Other Funds.
•
Column c: Funds Earned During Period. Enter the funds earned during the period from state government sources
other than funds allocated to transit out of the general revenues of the government entity and funds dedicated to
transit at their source (other funds). Describe the sources in the Other Funds — Describe Other field.
•
Column d: Funds Expended on Operations. Enter the funds that were expended on operations during the period
from state government sources other than funds allocated to transit out of the general revenues of the government
entity and funds dedicated to transit at their source (other funds). Describe the sources in the Other Funds —
Describe Other field.
•
Column e: Funds Expended on Capital. Enter the funds expended on capital during the period from state
government sources other than funds allocated to transit out of the general revenues of the government entity and
funds dedicated to transit at their source (other funds). Describe the sources in the Other Funds — Describe
Other field.
Line 56: Total State Funds.
•
Column c: Funds Earned During Period. This is an auto-calculated field and cannot be edited. This field displays
the total state funds earned during the period equal to the sum of lines 45, 54 and 55, column c.
•
Column d: Funds Expended on Operations. This is an auto-calculated field and cannot be edited. This field
displays the total state funds that were expended on operations during the period equal to the sum of lines 45, 54
and 55, column d.
•
Column e: Funds Expended on Capital. This is an auto-calculated field and cannot be edited. This field displays
the total state funds that were expended on capital during the period equal to the sum of lines 45, 54 and 55,
column e.
Federal Government Sources of Funds
Most federal grants are earned on a reimbursement basis. Generally, transit agencies will earn grant funds only when
expenditure occurs. Therefore, on an accrual basis, funds earned must equal funds expended for the reporting period. For
the federal programs below, unless your transit agency borrowed against future year grants, columns d + e will equal column
c.
Line 58: FTA Capital Program Funds (§5309).
•
Column c: Funds Earned During Period. Enter the funds earned during the period from the FTA Capital Program
Funds (§5309).
•
Column d: Funds Expended on Operations. Enter the funds expended on operations during the period from §5309
funds. These items include capital maintenance expenses (see F-30 form).
•
Column e: Funds Expended on Capital. Enter the funds expended on capital during the period from §5309 funds.
Line 58a: ARRA Fixed Guideway Modernization Funds (§5309).
•
Column c: Funds Earned During Period. Enter the funds earned during the period from the ARRA Fixed Guideway
Modernization funds (§5309).
•
Column d: Funds Expended on Operations. Enter the funds expended on operations during the period from ARRA
§5309 funds. These items include capital maintenance expenses (see F-30 form).
•
Column e: Funds Expended on Capital. Enter the funds expended on capital during the period from ARRA §5309
funds.
Line 58b: ARRA Major Capital Investments (New Starts) funds (§5309).
•
Column c: Funds Earned During Period. Enter the funds earned during the period from the Major Capital
Investments (New Starts) funds (§5309).
•
Column d: Funds Expended on Operations. Enter the funds expended on operations during the period from ARRA
§5309 funds. These items include capital maintenance expenses (see F-30 form).
Sources of Funds – Funds Expended and Funds Earned form (F-10) — 93
2013 Urban Reporting Manual
•
Column e: Funds Expended on Capital. Enter the funds expended on capital during the period from ARRA §5309
funds.
Line 58c: MAP-21 Bus and Bus Facilities funds (§5339).
•
Column c: Funds Earned During Period. Enter the funds earned during the period from the MAP-21 Bus and Bus
Facilities funds (§5339).
•
Column d: Funds Expended on Operations. Enter the funds expended on operations during the period from §5339
funds. These items include capital maintenance expenses .
•
Column e: Funds Expended on Capital. Enter the funds expended on capital during the period from §5339 funds.
Line 58d: MAP-21 State of Good Repair funds (§5337).
•
Column c: Funds Earned During Period. Enter the funds earned during the period from the MAP-21 State of Good
Repair funds (§5337).
•
Column d: Funds Expended on Operations. Enter the funds expended on operations during the period from §5337
funds. These items include capital maintenance expenses .
•
Column e: Funds Expended on Capital. Enter the funds expended on capital during the period from §5337 funds.
Line 59: FTA Urbanized Area Formula (UAFP) Program (§5307).
•
Column c: FTA UAFP Funds. Enter the funds earned during the period from the FTA Urbanized Area Formula
Program (UAF) (§5307).
•
Column d: FTA UAFP Funds – Eligible Operating Assistance. Enter the funds expended on operations during the
period from §5307 funds – operating assistance. This applies to transit agencies in urbanized areas (UZAs) with a
population of 200,000 or less according to the 2000 Census and some Americans with Disabilities Act of 1990
complementary paratransit service costs for UZAs of any size.
•
Column e: FTA UAFP Funds – Spent on Capital Projects. Enter the funds expended on capital during the period
from §5307 funds.
Line 60, column d: FTA UAFP Funds – Capital Assistance Spent on Operations (Including Maintenance Expenses).
•
Enter the funds expended on operations during the period from §5307 funds – capital assistance. These are
formula capital funds eligible for operating expenses (operating expenses) such as preventive maintenance costs.
Line 60a: ARRA Urbanized Area Formula (UAFP) Program (§5307).
•
Column c: ARRA UAFP Funds. Enter the funds earned during the period from the FTA Urbanized Area Formula
Program (UAF) (§5307).
•
Column d: ARRA UAFP Funds – Eligible Operating Assistance. Enter the funds expended on operations during the
period from §5307 funds – operating assistance. This applies to transit agencies in urbanized areas (UZAs) with a
population of 200,000 or less according to the 2000 Census and some Americans with Disabilities Act of 1990
complementary paratransit service costs for UZAs of any size.
•
Column e: ARRA UAFP Funds – Spent on Capital Projects. Enter the funds expended on capital during the period
from §5307 funds.
Line 60b, column d: ARRA UAFP Funds – Capital Assistance Spent on Operations (Including Maintenance Expenses).
•
Enter the funds expended on operations during the period from ARRA §5307 funds – capital assistance. These are
formula capital funds eligible for operating expenses (operating expenses) such as preventive maintenance costs.
Line 61: FTA Metropolitan Planning (§5303).
•
Column c: Funds Earned During Period. Enter the funds earned during the period from the FTA Metropolitan
Planning Program (§5303). These are funds allocated to Metropolitan Planning Organizations (MPO).
•
Column d: Funds Expended on Operations. Enter the funds expended on operations during the period. These are
planning activities which are an operations expense under the General Administration function on the Operating
Expenses form (F-30).
Line 62: FTA Clean Fuels Program (§5308).
•
Column c: Funds Earned During Period. Enter the funds earned during the period from the FTA Clean Fuel
Program (§5308).
94 — Sources of Funds – Funds Expended and Funds Earned form (F-10)
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•
Column d: Funds Expended on Operations. Enter the funds expended on operations during the period from §5308
funds. These items include capital maintenance expenses.
•
Column e: Funds Expended on Capital. Enter the funds expended on capital during the period from §5308 funds.
Line 63, FTA Special Needs of Elderly Individuals and Individuals with Disabilities Formula Program (§5310).
•
Column c: Enter the funds earned during the period from the FTA Special Needs of Elderly Individuals and
Individuals with Disabilities Formula Program (§5310).
•
Column d: FTA Special Needs of Elderly Individuals and Individuals with Disabilities Formula Program – Eligible
Operating Assistance. Enter the funds expended on operations during the period from §5310 funds – operating
assistance.
•
Column e: FTA Special Needs of Elderly Individuals and Individuals with Disabilities Formula Program – Spent on
Capital Projects. Enter the funds expended on capital during the period from §5310 funds.
Line 64, column d: FTA Special Needs of Elderly Individuals and Individuals with Disabilities Formula Program – Capital
Assistance Spent on Operations (Including Maintenance Expenses).
•
Enter the funds expended on operations during the period from §5310 funds – capital assistance. These are
formula capital funds eligible for operating expenses such as preventive maintenance costs.
Line 65, FTA Other Than Urbanized Area (§5311).
•
Column c: Enter the funds earned during the period from the FTA Other Than Urbanized Area Program (§5311).
•
Column d: FTA Other Than Urbanized Area Program – Eligible Operating Assistance. Enter the funds expended on
operations during the period from §5311 funds – operating assistance.
•
Column e: FTA Other Than Urbanized Area – Spent on Capital Projects. Enter the funds expended on capital
during the period from §5311 funds.
Line 66 column d: FTA Other Than Urbanized Area – Capital Assistance Spent on Operations (Including Maintenance
Expenses).
•
Enter the funds expended on operations during the period from the §5311 funds – capital assistance. These are
formula capital funds eligible for operating expenses such as preventive maintenance costs.
Line 66a, FTA ARRA FTA Other Than Urbanized Area (§5311).
•
Column c: Enter the funds earned during the period from the FTA ARRA Other Than Urbanized Area Program
(§5311).
•
Column d: ARRA FTA Other Than Urbanized Area Program – Eligible Operating Assistance. Enter the funds
expended on operations during the period from FTA ARRA §5311 funds – operating assistance.
•
Column e: FTA ARRA Other Than Urbanized Area – Spent on Capital Projects. Enter the funds expended on
capital during the period from FTA ARRA §5311 funds.
Line 66b, column d: FTA ARRA Other Than Urbanized Area – Capital Assistance Spent on Operations (Including
Maintenance Expenses).
•
Enter the funds expended on operations during the period from the FTA ARRA §5311 funds – capital assistance.
These are formula capital funds eligible for operating expenses such as preventive maintenance costs.
Line 67: FTA Job Access and Commute Formula Program (§5316).
•
Column c: Funds Earned During Period. Enter the funds earned during the period from the FTA Job Access and
Reverse Commute Formula Program (§5316).
•
Column d: Funds Expended on Operations. Enter the funds expended on operations during the period from §5316
funds. These items include capital maintenance expenses.
•
Column e: Funds Expended on Capital. Enter the funds expended on capital during the period from §5316 funds.
Line 68, FTA New Freedom Program (§5317).
•
Column c: Funds Earned During Period. Enter the funds earned during the period from the FTA New Freedom
Program (§5317).
•
Column d: FTA New Freedom Program – Eligible Operating Assistance. Enter the funds expended on operations
during the period from §5317 funds – operating assistance.
Sources of Funds – Funds Expended and Funds Earned form (F-10) — 95
2013 Urban Reporting Manual
•
Column e: FTA New Freedom Program – Spent on Capital Projects. Enter the funds expended on capital during the
period from §5310 funds.
Line 69, FTA New Freedom Program (UAF) (§5317).
•
Column d: FTA New Freedom Program – Capital Assistance Spent on Operations (Including Maintenance
Expenses). Enter the funds expended on operations during the period from §5317 funds – capital assistance.
These are formula capital funds eligible for operating expenses such as preventive maintenance costs.
Line 70: FTA Alternative Transportation in Parks and Public Lands (5320).
•
Column c: Funds Earned During Period. Enter the funds earned during the period from the FTA Alternative
Transportation in Parks and Public Lands (§5320).
•
Column d: Funds Expended on Operations. Enter the funds expended on operations during the period §5320 funds.
These items include capital maintenance expenses.
•
Column e: Funds Expended on Capital. Enter the funds expended on capital during the period from §5320 funds.
Line 70a: ARRA TIGGER (Greenhouse Gas and Energy Reduction) Funds.
•
Column c: Funds Earned During Period. Enter the funds earned during the period from the ARRA TIGGER
(Greenhouse Gas and Energy Reduction) funds.
•
Column d: Funds Expended on Operations. Enter the funds expended on operations during the period from ARRA
TIGGER (Greenhouse Gas and Energy Reduction) funds. These items include capital maintenance expenses.
•
Column e: Funds Expended on Capital. Enter the funds expended on capital during the period from ARRA TIGGER
(Greenhouse Gas and Energy Reduction) funds.
Line 71: Other FTA Funds.
•
Column c: Funds Earned During Period. Enter the funds earned during the period from other FTA programs not
detailed above, such as the FTA Research, Development, Demonstration and Training Projects Program (§5312) or
Interstate Transfer Program.
•
Column d: Funds Expended on Operations. Enter the funds expended on operations during the period other FTA
programs not detailed above, such as §5312 or Interstate Transfer Program funds. These items include capital
maintenance expenses.
•
Column e: Funds Expended on Capital. Enter the funds expended on capital during the period from other FTA
programs not detailed above, such as §5312 or Interstate Transfer Program funds.
Line 72, column d: Other FTA Funds – Capital Assistance Spent on Operations (Including Maintenance Expenses).
•
Enter the funds expended on operations during the period from the Other FTA Program Funds – capital assistance.
•
These are formula capital funds eligible for operating expenses such as preventive maintenance costs.
Line 73: Total FTA Funds.
•
Column c: Funds Earned During Period. This is an auto-calculated field and cannot be edited. This field displays
the total funds earned from FTA programs equal to the sum of lines 58 through 72, column c.
•
Column d: Funds Expended on Operations. This is an auto-calculated field and cannot be edited. This field
displays the total funds expended on operations from FTA programs equal to the sum of lines 58 through 72,
column d.
•
Column e: Funds Expended on Capital. This is an auto-calculated field and cannot be edited. This field displays
the total funds expended on capital from FTA programs equal to the sum of lines 58 through 72, column e.
Line 74: Funds Received from other USDOT Grant Programs.
•
Column c: Funds Earned During Period. Enter the funds earned during the period from other USDOT grant
programs.
•
Column d: Funds Expended on Operations. Enter the funds expended on operations during the period from other
USDOT grant programs.
•
Column e: Funds Expended on Capital. Enter the funds expended on capital during the period from other USDOT
grant programs.
Line 74a: ARRA TIGER (Transportation Investment Generating Economic Recovery) Multimodal Discretionary Funds.
96 — Sources of Funds – Funds Expended and Funds Earned form (F-10)
2013 Urban Reporting Manual
•
Column c: Funds Earned During Period. Enter the funds earned during the period from ARRA TIGER
(Transportation Investment Generating Economic Recovery) funds.
•
Column d: Funds Expended on Operations. Enter the funds expended on operations during the period from ARRA
TIGER (Transportation Investment Generating Economic Recovery) funds.
•
Column e: Funds Expended on Capital. Enter the funds expended on capital during the period from ARRA TIGGER
(Transportation Investment Generating Economic Recovery) funds.
Line 75: Other Federal Funds.
•
Column c: Funds Earned During Period. Enter the funds earned during the period from other federal programs
(Other federal funds). Describe the sources in the Other Federal Funds — Describe Other field.
•
Column d: Funds Expended on Operations. Enter the funds expended on operations during the period from (Other
federal funds).
•
Column e: Funds Expended on Capital. Enter the funds expended on capital during the period from (Other federal
funds).
Line 76: Total Federal Funds.
•
Column c: Funds Earned During Period. This is an auto-calculated field and cannot be edited. This field displays
the total federal funds earned during the period equal to the sum of lines 73 through 75, column c.
•
Column d: Funds Expended on Operations. This is an auto-calculated field and cannot be edited. This field
displays the total federal funds expended on operations during the period equal to the sum of lines 73 through 75,
column d.
•
Column e: Funds Expended on Capital. This is an auto-calculated field and cannot be edited. This field displays
the total federal funds expended on capital during the period equal to the sum of lines 73 through 75, column e.
Summary
Line 78, column c: Total Funds Earned During Period.
•
This is an auto-calculated field and cannot be edited. This field displays the total funds earned during the period
equal to the sum of total Directly-Generated Funds (line 30, column c), total local funds (line 43, column c), total
state funds (line 56, column c) and total federal funds (line 76, column c).
Line 79, column d: Total Funds Expended on Operations During Period. This is an auto-calculated field and cannot be
edited.
•
This field displays the total funds expended on operations during the period equal to the sum of total DirectlyGenerated Funds (line 30, column d), total local funds (line 43, column d), total state funds (line 56, column d) and
total federal funds (line 76, column d).
Line 80, column e: Total Funds Expended on Capital During Period. This is an auto-calculated field and cannot be edited.
•
This field displays the total funds expended on capital during the period equal to the sum of total Directly-Generated
Funds (line 30, column e), total local funds (line 43, column e), total state funds (line 56, column e) and total federal
funds (line 76, column e).
Line 82: ARRA Total Funds Earned During Period.
•
This is an auto-calculated field and cannot be edited. This field displays the total ARRA funds earned during the
period equal to the sum of ARRA Fixed Guideway Modernization (§5309) funds (line 58a, column c), ARRA Major
Capital investment(New Starts) (§5309)funds (line 58b, column c), ARRA Urbanized Area Program (§5307) funds
(line 60a, column c), ARRA TIGGER(Greenhouse Gas and Energy Reduction) funds (line 70a, column c) and
ARRA TIGER Multimodal Discretionary funds (line 74a, column c).
Line 83: ARRA Total Funds Expended on Operations During Period.
•
This is an auto-calculated field and cannot be edited. This field displays the total ARRA funds expended on
operations during the period equal to the sum of ARRA Fixed Guideway Modernization (§5309) funds (line 58a,
column d), ARRA Major Capital investment(New Starts) (§5309)funds (line 58b, column d), ARRA Urbanized Area
Program (§5307) funds (line 60a, column d), ARRA Urbanized Area Program Funds(§5307)- Capital assistance
spent on operations(including maintenance expenses) funds (line 60b, column d), ARRA TIGGER(Greenhouse Gas
and Energy Reduction) funds (line 70a, column d) and ARRA TIGER Multimodal Discretionary funds (line 74a,
column d).
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Line 84: ARRA Total Funds Expended on Capital During Period.
•
This is an auto-calculated field and cannot be edited. This field displays the total ARRA funds expended on capital
during the period equal to the sum of ARRA Fixed Guideway Modernization (§5309) funds (line 58a, column e),
ARRA Major Capital investment(New Starts) (§5309)funds (line 58b, column e), ARRA Urbanized Area Program
(§5307) funds (line 60a, column e), ARRA TIGGER(Greenhouse Gas and Energy Reduction) funds (line 70a,
column e) and ARRA TIGER Multimodal Discretionary funds (line 74a, column e).
98 — Sources of Funds – Funds Expended and Funds Earned form (F-10)
2013 Urban Reporting Manual
Uses of Capital form (F-20)
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Overview
The Uses of Capital form (F-20) details the amount of funds expended by category of capital asset and by project
classification as either an improvement for existing transit services or expansion of service.
Reporting Requirements and Thresholds
All transit agencies must complete this form. You should complete one form. The form lists each mode and type of service
(TOS) identified on the Identification form (B-10).
What Has Changed from Prior Year
There are no changes for the 2013 report year.
Approach
This form collects capital expenses by mode and TOS, and by nine project categories classified as either improvements for
existing transit services or expansion for new services.
The project categories are:
•
Guideway;
•
Passenger stations;
•
Administrative buildings;
•
Maintenance buildings;
•
Revenue vehicles;
•
Service vehicles (non-revenue);
•
Fare revenue collection equipment;
•
Communications and information systems; and
•
Other.
Projects are further classified by whether the capital projects are for:
•
Rehabilitation, reconstruction or replacement projects for existing transit services; or
•
Expansion of service resulting in new capital projects.
The capital expenses for the two classifications are then summed by the Internet reporting system into total expenditures by
the nine project categories for each mode by TOS.
Capital expenses are expenses for items of tangible property that have a useful life of more than one year and an acquisition
cost threshold consistent with federal and local requirements. The federal cost threshold cannot exceed $5,000.
Transit agencies often report planning and service development costs as operating expenses on the Operating
Expenses form (F-30) rather than as capital expenses. Once a commitment is made for a specific capital project,
these costs are capital expenses on the Capital Funding form (F-20).
The following discusses five major concepts necessary to complete the F-20 form:
•
Accrual accounting;
•
Relationship to sources of funds;
•
Capital maintenance expenses;
•
Purchased transportation (PT); and
•
Project classification.
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2013 Urban Reporting Manual
Accrual Accounting
Capital expenses are reported using the accrual accounting principle that expenses are reported in the period they are
incurred; i.e., the year in which they result in liabilities for benefits received, regardless of whether or not the expenditure is
paid during the reporting period.
Relationship to Sources of Funds
The total capital expenses reported on the F-20 form must equal the total funds expended for capital reported on the F-10
form.
Capital Maintenance Expenses
Operating expenses (operating expenses) that are paid with capital funds are not reported on this form. The Uniform System
of Accounts (USOA) defines operating expenses (Section 5.2) regardless of grant eligibility for federal capital assistance.
You should go to the Operating Expenses form (F-30) for reporting capital maintenance expenses.
Purchased Transportation
You should report all capital expenditures made by your transit agency for transit, whether the expenditures are used for DO
service or for PT service. You should not report capital expenditures incurred by your PT provider in your report.
For the rare cases when your transit agency is a seller and files a separate NTD Annual report, the following rules apply:
•
If your transit agency is a private for profit or private non-profit seller filing a separate report, you should not report
capital expenditures; and
•
If your transit agency is a public agency that is a seller of service, you should report capital expenditures.
Project Classification
There are three parts to capital project classification necessary for completing this form:
•
Determining the project need as an improvement to existing services or expansion for new service;
•
Determining the appropriate mode and TOS ; and
•
Determining the project category when there are multiple uses for the project.
The following provides the rules that transit agencies should follow. These rules simplify reporting requirements.
Capital Project Need
Project need is classified into two categories:
•
Improvements relating to existing transit services through rehabilitation, reconstruction or replacement of capital;
and
•
Capital for expansion of service (e.g., light rail (LR) line extension), implementing new services (e.g., new mode of
service), or building a new facility to accommodate planned services.
In classifying a project as an improvement relating to existing transit services or as new capital for expansion of
service, you should refer to the project justification in grant applications and other documents used in their capital
projects program.
When a project need is a combination of these two categories, you should report the capital project cost attributed to each
category. An example follows the discussion of these two categories.
Improvements for Existing Transit Services
Improvements relating to existing transit services are done to extend their useful life or to replace existing equipment and
buildings that have become obsolete. Typical projects are replacing an obsolete garage or vehicles that have reached their
useful life, doing midlife overhaul on rail passenger cars, re-roofing a maintenance facility or rehabilitating a bus. As long as
the improvement extends the useful life of the equipment or replaces capital for existing transit services, you should report
the project as an improvement for existing transit services.
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2013 Urban Reporting Manual
Expansion of Transit Service
Expansion of service requires new capital equipment. Expansion of service may be for capital projects such as the extension
of a rail line, or starting a new mode of service, or buying additional buses for new MB routes in developing areas, or
constructing an additional maintenance facility for planned expansions of service.
Expansions should be for committed plans to implement new services. A project may also have elements of both
improvements and expansion. If a project is both an improvement and an expansion, you should prorate the project between
the two project needs. These concepts are illustrated in the following example.
Exhibit 22 — Reporting Project Need Classification
Example 1: A transit agency decides to rehabilitate and expand an existing maintenance / operating garage. The garage is
designed for 200 revenue vehicles. The agency recently increased its transit services and expanded its fleet from 200 to 275
buses. How should the project be reported?
Solution: You should report the project costs under maintenance buildings in the
rehabilitation/reconstruction/replacement/improvements section of the form for the part of the project that relates to the original
200 buses. You should report the project costs under maintenance buildings in the expansion section of the form for the part of
the project that accommodates the new 75 buses.
Example 2: A transit agency decides to replace an existing, obsolete garage with a design capacity of 75 buses. The transit
agency decides to expand the size of the facility to a design capacity of 100 buses even though it currently does not need the
additional capacity, nor does it have any commitments for increases in transit services that would require additional revenue
vehicles. How should the project be reported?
Solution: You should report the garage under maintenance buildings in the
rehabilitation/reconstruction/replacement/improvements section of the form since there are no commitments for expansion of
service.
Example 3: A transit agency decides to replace an existing, obsolete garage. The transit agency is also committed to implement
new transit services, phased in over the next several years, which will require additional revenue vehicles. Therefore, the
replacement garage is bigger than the original garage in order to handle these new services. How should the project be reported?
Solution: In this case, there is a commitment for expansion of services and therefore, you should report the project as both
rehabilitation/reconstruction/replacement/improvements and an expansion. You should report the project costs under maintenance
buildings in the rehabilitation/reconstruction/replacement/improvements section of the form for the part of the project that replaces
the original garage. You should report the project costs under maintenance buildings in the expansion section of the form for the
part of the project that accommodates the new transit services.
Example 4: A transit agency purchases 50 new buses (MB). The agency is replacing 40 buses that have reached their useful life
and acquiring 10 buses for new services to developing suburbs. How would the project be reported?
Solution: You should report the cost of the 40 replacement buses under revenue vehicles in the improvements section of the
form. The 10 buses should be reported under expansion of service as revenue vehicles since these MB are for services not
previously operated.
Multiple Modes and Types of Service
Some capital projects may apply to more than one mode or TOS. You should report the project for one mode and TOS
based on the predominant use. Predominant use can be determined by:
•
The primary reason why the project was constructed or acquired; or
•
How it is used as measured by:
o
The amount of passengers served by mode or TOS for passenger facilities; and
o
The square footage or number of revenue vehicles serviced for non-passenger facilities such as
maintenance garages.
Multiple Capital Project Categories
Sometimes a project fits more than one capital project category. You should report the project for one mode and TOS based
on the predominant use.
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2013 Urban Reporting Manual
The following are examples of how to report predominant use.
Exhibit 23 — Reporting Predominant Use
Example 1: A transit agency builds a new heavy rail (HR) passenger station on a new rail line extension. The station is also
served by MB mode for both DO and PT services. Passengers also use the rail station as a transfer center for MB routes. Overall,
there are more MB users than HR users. How would the station be reported?
Solution: The primary reason the station was constructed was to serve rail passengers even though there may be more MB
transit users than HR users. You should report the project under HR mode in the expansion section of the form.
Example 2: A transit agency builds a transit center building for its MB, demand response (DR) and vanpool (VP) services. The
center serves as the major hub for passenger transfers between the modes. More MB riders use the center than DR or VP riders.
Previously, the site consisted of a few off-street passenger shelters. How would the transit center be reported?
Solution: There are more passengers for MB than DR or VP. You should report the project under MB mode. Since the site and
the transit services previously existed, you should report the project under the
rehabilitation/reconstruction/replacement/improvements section of the form.
Example 3: A transit agency builds a new maintenance garage to accommodate new transit services. The garage is used for both
MB and DR services. The garage has a design capacity for 200 buses and 50 DR revenue vehicles. How would the garage be
reported?
Solution: You should report the project under MB mode since it has the larger design capacity. You should report it under
maintenance buildings in the expansion section of the form since it accommodates new services.
Example 4: A large transit agency directly operates LR, MB and DR services and purchases ferryboat (FB) and VP service. It is
replacing its administrative headquarters building. Most transit users are MB riders. Under which mode and type of service (TOS)
should the administrative building be reported?
Solution: You should report the building under administrative buildings for MB DO under the
rehabilitation/reconstruction/replacement/improvements portion of this form as an improvement for existing transit services. You
report it under MB DO since it carries the largest number of riders and probably incurs the most administrative operating
expenses.
Example 5: A small transit agency just beginning service builds a new garage. The agency operates only DR service. The garage
also serves as the agency’s administrative office. How would the garage be reported?
Solution: You should report the garage as DR under maintenance buildings since the primary reason the garage exists is to
service DR vehicles. You should report it in the expansion section of the form since this is not a replacement of an existing
building.
Detailed Instructions
There is one form for all modes and TOS. Internet Reporting automatically generates rows for each applicable mode and
TOS.
Within each of the nine categories of projects, you should classify projects by the project need determined by whether these
are:
•
Improvements for existing transit services through rehabilitation, reconstruction or replacement projects; or
•
Capital for expansion of transit service (e.g., LR line extension), implementing new services (e.g., new mode of
service) or building a new facility to accommodate planned services.
You should divide project cost into each classification if the project involves both classes.
You also should select the predominant use when a project applies to more than one mode or TOS, or to more than one
project category.
These two project need classifications are automatically totaled in Internet Reporting.
As a general rule, projects include all equipment and furniture integral to buildings and structures.
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2013 Urban Reporting Manual
Guideway
You should report capital expenses for guideway including the costs for design and engineering, land acquisition and
relocation, demolition, and purchase or construction of guideway.
Guideway includes the buildings and structures dedicated for the operation of transit vehicles such as at grade, elevated and
subway structures, tunnels, bridges, track and power systems for rail modes; paved highway lanes dedicated to MB mode.
Guideway does not include passenger stations and transfer facilities, bus pull-ins or communication systems (e.g., cab
signaling and train control).
Passenger Stations
You should report capital expenses for passenger stations, including the costs for design and engineering, land acquisition
and relocation, demolition, and purchase or construction of the stations. Passenger stations include park-and-ride facilities.
Station Criteria
The most important step is to determine what is considered a passenger station. The intent is to capture significant
structures in separate rights-of-way (ROW). This usually means a platform area for rail modes and something more than a
street stop or street side passenger shelter for non-rail modes.
The following rules apply:
•
All rail passenger facilities (except LR, SR, and cable car (CC)) are stations;
•
All LR, SR, and CC passenger facilities in a separate right-of-way (ROW) that have platforms are stations;
•
All MB and trolleybus (TB) passenger facilities in a separate ROW that have an enclosed structure (building) for
passengers for such items as ticketing, information, restrooms, concessions, telephones are stations;
•
Stops on-street or in medians for CC, LR, MB, SR, RB, and TB are not stations if at most they have shelters,
canopies, lighting, signage or ramps for accessibility requirements i.e., no separate, enclosed buildings; and
•
All transportation, transit or transfer centers, park-and-ride facilities and transit malls, if they have an enclosed
structure (building) for passengers for such items as ticketing, information, restrooms, concessions, and telephones
are stations.
You should include platforms, shelters, parking and crime prevention and security equipment at stations. You should not
include shelters located at on-street bus stops. These are reported under other capital projects.
Administrative Buildings
You should report capital expenses for administrative buildings, including the costs for design and engineering, land
acquisition and relocation, demolition, and purchase or construction of the administrative buildings.
Administrative buildings are the general administrative offices owned by your transit agency. Administrative buildings usually
house the executive management and supporting activities for overall transit operations such as accounting, finance,
engineering, legal, safety, security, customer services, scheduling and planning. They include separate buildings for
customer information or ticket sales that are owned by your transit agency and which are not part of passenger stations. See
the general administrative function (160) in the F-30 form for activities usually performed in administrative buildings.
Maintenance Buildings
You should report capital expenses for maintenance buildings, including the costs for design and engineering, land
acquisition and relocation, demolition, and purchase or construction of the maintenance buildings.
Maintenance buildings include garages, shops (e.g., body, paint, machine) and operations centers, Include in maintenance
buildings, equipment that enhances the maintenance function for example bus diagnostic equipment. You should not include
information systems such as computers that are used to process maintenance data.
Revenue Vehicles
You should report the capital expenses for revenue vehicles, including acquisition and major rehabilitation of revenue
vehicles.
Revenue vehicles are the vehicles used in providing transit service for passengers. As a capital project, revenue vehicles
include the body and chassis and all fixtures and appliances inside or attached to the body or chassis, except fare collection
104 — Uses of Capital form (F-20)
2013 Urban Reporting Manual
equipment and revenue vehicle movement control equipment (radios). For rubber-tired vehicles, it includes the cost of one
set of tires and tubes to make the vehicle operational, if the tires and tubes are owned by your transit agency.
Capital funds for revenue vehicles may be used for:
•
Replacement (fleet) — the replacement of revenue vehicles having reached the end of their service lives;
•
Rebuilding (fleet) — the installation of new or rebuilt major components (e.g., engines, transmissions, body parts)
and/or structural restoration of revenue vehicles to extend service life;
•
Rail overhaul (fleet) — the one-time rebuild or replacement of major subsystems on revenue producing rail cars and
locomotives, commonly referred to as midlife overhaul; and
•
Expansion (fleet) — the acquisition of revenue vehicles for expansion of transit service.
Service Vehicles
You should report the capital expenses for the acquisition or rebuilding of service vehicles.
Service vehicles are vehicles that are not used in providing transit service for passengers (e.g., supervisor vans, tow trucks,
mobile repair trucks, transit police cars and staff cars).
Fare Revenue Collection Equipment
You should report the capital expenses for the acquisition or rebuilding of fare revenue collection equipment.
Fare revenue collection equipment includes turnstiles, fare boxes (drop), automated fare boxes and related software, money
changers and fare dispensing machines (tickets, tokens, passes).
Communications and Information Systems
You should report the capital expenses for systems. There are two types of systems:
•
Information systems that process information; and
•
Communications systems that relay information between locations.
A system is a group of devices or objects forming a network especially for distributing something or serving a common
purpose (e.g., telephone, data processing systems).
Communication systems include two-way radio systems for communications between dispatchers and vehicle operators, cab
signaling and train control equipment in rail systems, automatic vehicle locator systems, automated dispatching systems,
vehicle guidance systems, telephones, facsimile machines and public address systems.
Information systems include computers, monitors, printers, scanners, data storage devices and associated software that
support transit operations such as general office, accounting, scheduling, planning, vehicle maintenance, non-vehicle
maintenance and customer service functions.
For NTD reporting, you must distinguish between: (1) equipment that collects information, and (2) equipment that processes
that information. For example, you should report a bus diagnostic machine as part of a maintenance building but you should
report the computer that processes the data under systems.
Other
You should report the expense for other capital projects including:
•
Furniture and equipment that are not an integral part of buildings and structures; and
•
Shelters, signs and passenger amenities (e.g., benches) not in passenger stations.
Line by Line Instructions for Uses of Capital form (F-20)
You should complete one form by mode and type of service (TOS).
Form Level Help: You should click on the Help tab at the top of the screen for form level help.
Form Notes: A form note can be attached to any form. You should use the Add Form Note link for relevant information to a
specific field, to the entire form or to multiple forms. You should click on the Add Form Note link at the top of the screen and
Uses of Capital form (F-20) — 105
2013 Urban Reporting Manual
enter your note on the Notes screen. You can review or edit a form note from the Notes tab. You should not use the Form
Notes feature to answer issues generated from this form. From the Issues tab you should use the Add Comments link next
to the specific issue.
Saving or Closing the Form: You should click on the Save button prior to exiting the form and continuing with the report.
You should click on the Close button at the bottom of the screen to close the form without saving.
Check-box: If your transit agency did not have any capital expenditures during the report year for any modes and TOS, you
should click the Check-box, save and exit the form.
Rehabilitation/Reconstruction/Replacement/Improvements for Existing Transit Services
Column a: Guideway. By mode and TOS
•
Enter the capital expenses for rehabilitation/reconstruction/replacement/improvements for existing transit services
for guideway including the costs for design and engineering, land acquisition and relocation, demolition, and
purchase or construction of guideway. Guideway does not include passenger stations and transfer facilities, bus
(pull-ins or communication systems (e.g., cab signaling and train control). Does not apply to demand response
(DR), demand response-taxi (DT), jitney (JT), publico (PB), vanpool (VP) and ferryboat (FB) modes.
Column b: Passenger Stations. By mode and TOS
•
Enter the capital expenses for rehabilitation/reconstruction/replacement/improvements for existing transit services
for passenger stations, including the costs for design and engineering, land acquisition and relocation,
demolition, and purchase or construction of the stations. Include platforms, shelters, parking and crime prevention
and security equipment at stations. Do not include shelters located at on-street bus stops. These are reported under
other capital projects.
Column c: Administrative Buildings. By mode and TOS
•
Enter the capital expenses for rehabilitation/reconstruction/replacement/improvements for existing transit services
for administrative buildings, including the costs for design and engineering, land acquisition and relocation,
demolition, and purchase or construction of the administrative buildings. Include furniture and equipment that are
integral to the building.
Column d: Maintenance Buildings. By mode and TOS
•
Enter the capital expenses for rehabilitation/reconstruction/replacement/improvements for existing transit services
for maintenance buildings, including the costs for design and engineering, land acquisition and relocation,
demolition, and purchase or construction of the maintenance buildings. Include equipment that enhances the
maintenance function for example bus diagnostic equipment, as well as furniture and equipment that are integral to
the building. Do not include information systems such as computers that are used to process maintenance data.
Column e: Revenue Vehicles. By mode and TOS
•
Enter the capital expenses for rehabilitation/reconstruction/replacement/improvements for existing transit services
for revenue vehicles, including acquisition and major rehabilitation of revenue vehicles. As a capital project, revenue
vehicles include the body and chassis and all fixtures and appliances inside or attached to the body or chassis,
except fare collection equipment and revenue vehicle movement control equipment (radios). For rubber-tired
vehicles, it includes the cost of one set of tires and tubes to make the vehicle operational, if the tires and tubes are
owned by your transit agency. Capital funds for revenue vehicles may be used for: Replacement (fleet), Rebuilding
(fleet), and Rail overhaul (fleet).
Column f: Service Vehicles (non-revenue). By mode and TOS
•
Enter the capital expenses for rehabilitation/reconstruction/replacement/improvements for existing transit services
for the acquisition or rehabilitation of service vehicles.
Column g: Fare Revenue Collection Equipment. By mode and TOS
•
Enter the capital expenses for rehabilitation/reconstruction/replacement/improvements for existing transit services
for the acquisition or rebuilding of fare revenue collection equipment.
Column h: Communications and Information Systems. By mode and TOS
•
Enter the capital expenses for rehabilitation/reconstruction/replacement/improvements for existing transit services
for information systems and communication systems. In reporting, it is necessary to distinguish between equipment
that collects information and equipment that processes that information. For example, a bus diagnostic machine
should be reported as part of a maintenance building but the computer that processes the data should be reported
in systems.
106 — Uses of Capital form (F-20)
2013 Urban Reporting Manual
Column i: Other Capital Projects. By mode and TOS
•
Enter the capital expenses for rehabilitation/reconstruction/replacement/improvements for existing transit services
for other capital projects.
Column j: Total Capital Expenditures. By mode and TOS
•
This is an auto-calculated field and cannot be edited. This field displays, by mode and TOS, the total capital
expenses for rehabilitation/reconstruction/replacement/improvements for existing transit services equal to the sum
of columns a through i.
Columns a – j: Total Capital Expenditures — Project Category
•
These are auto-calculated fields and cannot be edited. These fields display, by project category, the total capital
expenses for rehabilitation/reconstruction/replacement/improvements for existing transit services equal to the sum
of all modes and TOS.
Expansion of Service
Column a: Guideway. By mode and TOS
•
Enter the capital expenses for expansion of service for guideway including the costs for design and engineering,
land acquisition and relocation, demolition, and purchase or construction of guideway. Guideway does not include
passenger stations and transfer facilities, bus pull-ins or communication systems (e.g., cab signaling and train
control). Does not apply to DR, JT, PB, VP and FB modes.
Column b: Passenger Stations. By mode and TOS
•
Enter the capital expenses for expansion of service for existing transit services for passenger stations, including the
costs for design and engineering, land acquisition and relocation, demolition, and purchase or construction of the
stations. Passenger stations include park-and-ride facilities. Include platforms, shelters, parking and crime
prevention and security equipment at stations. Do not include shelters located at on-street bus stops. These are
reported under other capital projects.
Column c: Administrative Buildings. By mode and TOS
•
Enter the capital expenses for expansion of service for administrative buildings, including the costs for design and
engineering, land acquisition and relocation, demolition, and purchase or construction of the administrative
buildings. Include furniture and equipment that are integral to the building.
Column d: Maintenance Buildings. By mode and TOS
•
Enter the capital expenses for expansion of service for maintenance buildings, including the costs for design and
engineering, land acquisition and relocation, demolition, and purchase or construction of the maintenance buildings.
Include equipment that enhances the maintenance function for example bus diagnostic equipment, as well as
furniture and equipment that are integral to the building. Do not include information systems such as computers that
are used to process maintenance data.
Column e: Revenue Vehicles. By mode and TOS
•
Enter the capital expenses for expansion of service for revenue vehicles, including acquisition and major
rehabilitation of revenue vehicles. As a capital project, revenue vehicles include the body and chassis and all
fixtures and appliances inside or attached to the body or chassis, except fare collection equipment and revenue
vehicle movement control equipment (radios). For rubber-tired vehicles, it includes the cost of one set of tires and
tubes to make the vehicle operational, if the tires and tubes are owned by your transit agency. Capital funds for
revenue vehicles may be used for Expansion (fleet).
Column f: Service Vehicles (non-revenue). By mode and TOS
•
Enter the capital expenses for expansion of service for the acquisition of service vehicles.
Column g: Fare Revenue Collection Equipment. By mode and TOS
•
Enter the capital expenses expansion of service for the acquisition of fare revenue collection equipment.
Column h: Communications and Information Systems. By mode and TOS
•
Enter the capital expenses for expansion of service for information systems and communication systems. In
reporting systems, it is necessary to distinguish between equipment that collects information and equipment that
processes that information. For example, a bus diagnostic machine should be reported as part of a maintenance
building but the computer that processes the data should be reported in systems.
Uses of Capital form (F-20) — 107
2013 Urban Reporting Manual
Column i: Other Capital Projects. By mode and TOS
•
Enter the capital expenses for expansion of service for other capital projects.
Column j: Total Capital Expenditures — Mode and TOS
•
This is an auto-calculated field and cannot be edited. This field displays, by mode and TOS, the total capital
expenses for expansion of service equal to the sum of columns a through i.
Columns a – j: Total Capital Expenditures — Project Category
•
These are auto-calculated fields and cannot be edited. These fields display, by project category, the total capital
expenses for expansion of service equal to the sum of all modes and TOS.
Total of All Uses of Capital
Column a: Guideway
•
This is an auto-calculated field and cannot be edited. This field displays, by mode and TOS, the sum of capital
expenses for guideway equal to rehabilitation/reconstruction/replacement/improvements for existing transit services
and expansion of service. Does not apply to DR, JT, PB, VP and FB modes.
Column b: Passenger Stations
•
This is an auto-calculated field and cannot be edited. This field displays, by mode and TOS, the sum of capital
expenses for passenger stations equal to rehabilitation/reconstruction/replacement/improvements for existing transit
services and expansion of service.
Column c: Administrative Buildings
•
This is an auto-calculated field and cannot be edited. This field displays, by mode and TOS, the sum of capital
expenses for administrative buildings equal to rehabilitation/reconstruction/replacement/improvements for existing
transit services and expansion of service.
Column d: Maintenance Buildings
•
This is an auto-calculated field and cannot be edited. This field displays, by mode and TOS, the sum of capital
expenses for maintenance buildings equal to rehabilitation/reconstruction/replacement/improvements for existing
transit services and expansion of service.
Column e: Revenue Vehicles
•
This is an auto-calculated field and cannot be edited. This field displays, by mode and TOS, the sum of capital
expenses for revenue vehicles equal to rehabilitation/reconstruction/replacement/improvements for existing transit
services and expansion of service.
Column f: Service Vehicles (non-revenue)
•
This is an auto-calculated field and cannot be edited. This field displays, by mode and TOS, the sum of capital
expenses for service vehicles (non-revenue) equal to rehabilitation/reconstruction/replacement/improvements for
existing transit services and expansion of service.
Column g: Fare Revenue Collection Equipment
•
This is an auto-calculated field and cannot be edited. This field displays, by mode and TOS, the sum of capital
expenses for fare revenue collection equipment equal to rehabilitation/reconstruction/replacement/improvements for
existing transit services and expansion of service.
Column h: Communications and Information Systems
•
This is an auto-calculated field and cannot be edited. This field displays, by mode and TOS, the sum of capital
expenses for systems equal to rehabilitation/reconstruction/replacement/improvements for existing transit services
and expansion of service.
Column i: Other Capital Projects
•
This is an auto-calculated field and cannot be edited. This field displays, by mode and TOS, the sum of capital
expenses for other capital projects equal to rehabilitation/reconstruction/replacement/improvements for existing
transit services and expansion of service.
Column j: Total Capital Expenditures — Mode and TOS
108 — Uses of Capital form (F-20)
2013 Urban Reporting Manual
•
This is an auto-calculated field and cannot be edited. This field displays, by mode and TOS, the total capital
expenses for rehabilitation/reconstruction/replacement/improvements for existing transit services and expansion of
service equal to the sum of columns a through i.
Columns a – j: Total Capital Expenditures — Project Category
•
These are auto-calculated fields and cannot be edited. These fields display, by project category, the total capital
expenses for rehabilitation/reconstruction/replacement/improvements for existing transit services and expansion of
service equal to the sum of all modes and TOS.
Uses of Capital form (F-20) — 109
2013 Urban Reporting Manual
Operating Expenses form (F-30)
110 — Operating Expenses form (F-30)
2013 Urban Reporting Manual
Overview
The purpose of the Operating Expenses form (F-30) is to collect data on your transit agency's operating expenses (operating
expenses) using the Uniform System of Accounts (USOA).
Reporting Requirements and Thresholds
All transit agencies must complete this form. You should complete one form for each mode and type of service (TOS).
What Has Changed from Prior Year
Expense transfers have been eliminated.
Approach
NTD requires the reporting of all operating expenses that are incurred to provide transit service. This form collects operating
expenses which are those expenses associated with the day-to-day operation of your transit agency. They are collected
using the Uniform System of Accounts (USOA), which establishes standard definitions for functions or activities performed
and object classes or categories of expenditures such as labor, fringe expenses and materials (Sections 5.2 and 6.2 of the
USOA).
You need to understand the following concepts to correctly complete the F-30 form:
•
Accrual accounting;
•
Treatment of capital maintenance expenses;
•
Treatment of incidental transit service;
•
Cost allocation for resources shared by modes or types of service (TOS);
•
Treatment of vanpools (VP); and
•
Treatment of vehicle leases and depreciation costs.
Accrual Accounting
Operating expenses are reported using the accrual accounting principle that operating expenses are reported in the year
they are incurred, i.e., the year in which they result in liabilities for benefits received, regardless of whether or not the
expenditure is paid during the reporting period.
Capital Maintenance Expenses
Operating expenses are defined in Section 5.2 of the USOA, regardless of grant eligibility for federal capital assistance. You
should report all maintenance expenses, which are operating expenses that are paid with capital funds, on this form.
For example, preventive maintenance costs reported on the F-30 form are eligible for federal capital assistance in FTA
programs. For the purpose of federal funding assistance under FTA programs, preventive maintenance costs are defined as
all maintenance costs reported under functions 041, vehicle maintenance, and 042, non-vehicle maintenance, on the F-30
form. The FTA funds expended on (applied to) these capital maintenance expenses should be reported as funds expended
on (applied to) operations on the F-10 form.
Incidental Transit Service
There are times when existing transit services cannot meet demand. Transit agencies provide alternate ways to
accommodate transit riders. This often occurs for:
•
Employer-based Guaranteed Ride Home (GRH) programs where the transit agency works with employers to
ensure that employees who took transit to work and who must leave work for a personal emergency (illness, family
crisis) or have unscheduled overtime have a ride home. There are often limits on the number of times an employee
or company may use the GRH;
•
Service interruptions (e.g., vehicle breakdown) and a replacement vehicle is not available; or an accident on light
rail tracks so passengers must transfer to a bus line; or
•
Cancellation of a reserved passenger trip in the demand response mode (vehicle or driver unavailable).
As these occurrences are infrequent, the alternate transit services are “incidental” to the regular mode of service.
Operating Expenses form (F-30) — 111
2013 Urban Reporting Manual
Transit agencies provide incidental services typically in one of two ways:
•
Taxicabs – reimbursing or providing vouchers to pay for the cost of the ride; or
•
Transit agency – using vehicles available from another mode or service vehicles (such as a supervisor van and its
driver) to provide the ride.
Report the cost of incidental services in the mode where the unforeseen event occurred as a miscellaneous expense. For
the light rail accident described above, report the costs under light rail mode, not bus mode. Substituting with taxi service
does not require a separate Contractual Relationship (B-30) form since the costs will be part of the normal transit mode
used.
Cost Allocation
NTD requires the reporting of all operating expenses that are incurred to provide transit service. All of these expenses for
transit operations must be fully allocated to functions by mode and TOS for NTD Annual reporting. This is consistent with
Generally Accepted Accounting Principles. To fully allocate operating expenses you should:
•
Determine which expenses or costs are direct costs and can be easily traced to a particular mode and TOS;
•
Determine which expenses or costs are joint expenses or shared costs. These costs are incurred for the benefit of
more than one mode or TOS and cannot be easily traced to a specific mode or TOS; and
•
Allocate joint expenses or shared costs to each mode and TOS.
Examples of direct costs are:
•
Labor expenses for operators who work only on MB service;
•
Tires and tubes expenses for directly operated (DO) demand response (DR) vehicles;
•
Schedule printing costs incurred by your transit agency for the MB service operated under a purchased
transportation (PT) contract;
•
Printing expenses for ticket issued for DO commuter rail (CR) service; and
•
Gasoline expenses for vans in DR mode when your transit agency tracks fuel consumption by vehicle at the fueling
island or station.
Examples of joint expenses are:
•
Salary expenses for the general manager who is responsible for the provision of MB and DR services;
•
Electric utility expenses for a garage that serves both MB and DR vehicles;
•
Outside audit services that are used annually to meet state and local requirements for a transit agency that provides
DO MB service and PT DR service; and
•
Building maintenance expenses for an administrative building where MB and DR contracts are overseen.
There are many ways to allocate costs. Common allocation variables are revenue hours and miles, total vehicles, number of
employees, and ridership. While these options for allocating costs are common to the transit industry, in some instances
others may be more appropriate.
For example, you might use track miles and passenger stations may be used to allocate certain types of rail system costs.
You also might use number of transactions to allocate the costs of accounts payable department. Any variable or measure
that can be related to the modes and types of services provided, and is logically related to the rate of consumption of an
expense element, is an acceptable basis for allocation.
Reporters must take special care to ensure that joint expenses are allocated to purchased transportation (PT) modes. Even
if the maintenance and storage facilities are owned by the contractor, there will be administrative costs associated with PT
modes. For example, the salary and fringe benefits of a general manager must be allocated across all modes. The salaries
and fringe benefits for transit agency employees who oversee the contract must be included as costs in the PT mode.
Further, those employees all work in an office that is most likely owned and maintained by the transit agency. Thus a portion
of the building expenses—custodial services, electric bills, phone bills, fire insurance, office supplies—must be allocated to
the PT modes.
If your administrative offices are in a building owned by another entity—for example, your city government — the value of
these offices must be captured and reported... You must report the revenue necessary to match these expenses as coming
from local government, or from whatever other entity may own the building, on the F-10 Sources of Funds form.
The following exhibits provide examples of how to allocate joint expenses.
112 — Operating Expenses form (F-30)
2013 Urban Reporting Manual
Exhibit 24 — Allocating Joint Expenses
Example: Coaster Transit Agency (Coaster) has one maintenance facility that it uses for both its directly operated (DO) bus (MB)
and demand response (DR) operations. This facility is used to fuel and maintain the revenue service vehicles for MB and DR
operations. Coaster receives one electric bill for the power used in the maintenance facility. How can Coaster allocate electric
utility expenses?
Solution: Coaster must determine shared (joint) cost for object class (505), Utilities, under function (160), general administration.
Joint expenses (shared costs-electric power) are $1,000,000. Coaster must select the allocation variable and calculate the
allocation percentage:
Allocation Variable – Vehicles Available for Maximum Service:
Service Type
Number of
Vehicles Available
Percentage
of Total
MB
200
80.0%
DR
50
20.0%
Total
250
100.0%
Allocate joint expenses based on above percentages:
Service Type
Calculation
Resulting
Allocation
MB
$1,000,000 x 80.0%
$800,000
DR
$1,000,000 x 20.0%
$200,000
Exhibit 25 — Allocating Joint Expenses
Example: Springfield Transit Authority (STA) operates fixed-route (MB) service directly, and contracts for demand response (DR)
service. It has one administrative building. One person in the building is responsible for overseeing the DR contract; the rest work
on MB. The person who oversees DR has a 200 square foot office. The building is 2,000 square feet in total. How can STA
allocate the cost of maintaining the building?
Solution: STA must determine shared (joint) costs for object class (505), utilities, under function (160), general administration;
and object class (503), services, under function (042), non-vehicle maintenance. STA can allocate these costs to the DR and MB
modes based on square feet of office space. The following joint expenses must be allocated: Electric power (505): $3,000,
Phones (505): $1,000, Water (505): $300, Custodial services (503): $3,700, for a total of $8,000 of joint expenses. STA can
calculate the allocation percentage based on square feet, as follows:
Allocation Variable – Square Feet:
Service Type
Square Feet Used
for Service
Percentage of
Total
MB
1,800
90.0%
DR
200
10.0%
Total
2,000
100.0%
Allocate joint expenses based on above percentages:
Service Type
Calculation
Resulting
Allocation
MB
$8,000 x 90.0%
$7,200
DR
$8,000 x 10.0%
$800
For-profit Service Contractors
If you contract with a for-profit service provider, the amount this company receives from your agency should be larger than
their total operating expenses—in other words, it should make a profit. NTD wishes to capture the cost to your agency of
providing service, not the cost to the contractor. When the contractor reports its total expenses to you, report them on line
Operating Expenses form (F-30) — 113
2013 Urban Reporting Manual
11, broken down by the four functions. These costs should include profit. If they do not, you should allocate the profit among
the four functions on line 11. The following example illustrates.
Exhibit 26 — Accounting for the Contractor’s Profit
Example: Coastal Nebraska Transit (CNT) contracts with Ludwig Vanpool (LV) to provide vanpool service. CNT paid LV
$1,050,000 for the service (this amount is recorded on form B-30, line 07a) and spent $100,000 overseeing the contract (B-30,
line 08).
LV reports its expenses to CNT as: Vehicle Operations, $400,000; Vehicle Maintenance, $300,000; Non-vehicle Maintenance,
$100,000; and General Administration, $200,000, which means that LV made a profit of $50,000 on this contract.. How should
CNT report these expenses on form F-30?
Solution: CNT must allocate the extra $50,000 among the four functions.
First, CNT must determine the percentage of the $1,000,000 reported expenses for each function.
Function
Calculation of Percentage
Percentage of Total Expenses
Vehicle Operations
$400,000 / $1,000,000
40.0%
Vehicle Maintenance
$300,000 / $1,000,000
30.0%
Non-Vehicle Maintenance
$100,000 / $1,000,000
10.0%
General Administration
$200,000 / $1,000,000
20.0%
Now, CNT must distribute the $50,000 of profit across the functions in accordance with these percentages:
Function
Calculation of Additional Expense
Additional Expense
Vehicle Operations
$50,000 x 40.0%
$20,000
Vehicle Maintenance
$50,000 x 30.0%
$15,000
Non-Vehicle Maintenance
$50,000 x 10.0%
$5,000
General Administration
$50,000 x 20.0%
$10,000
Finally, CNT must report the total amounts of expenses, by function, on line 11 as follows:
Function
Calculation of Total Expenses
Total Expenses on Line 11
Vehicle Operations
$400,000 + $20,000
$420,000
Vehicle Maintenance
$300,000 + $15,000
$315,000
Non-Vehicle Maintenance
$100,000 + $5,000
$105,000
General Administration
$200,000 + $10,000
$210,000
Vanpools
You should report only publicly sponsored vanpool (VP) services. A copy of the vanpool certification is available under new
ID requests.
You must report all expenses involved with operating these services, even when VP participants pay for some of the costs.
Operating expenses can include cost of purchased service (if service is provided through a private operator), vehicle leases,
administrative, marketing, maintenance and legal services, plus additional expenses to operate the vans (e.g., fuel, tires,
insurance, tolls, maintenance or repairs) often paid by riders.
Vehicle Leases and Depreciation Costs
You should report vehicle capital lease and depreciation costs as reconciling items. If total costs are based on unit charges
to riders, (e.g., per mile or per trip) you must separate operating costs from any lease and depreciation costs.
If you have purchased transportation (PT) service and the contractor owns the vehicles, then part of the cost the contractor
charges you is intended to cover depreciation costs, i.e. the eventual cost of replacing the vehicles. The effect of this is like a
vehicle lease, and should be reported as a leasing cost on form F-40. Vehicle leasing/depreciation costs should not be
included on form F-30. This will cause total operating expenses on form F-30 to not match total operating expenses
on form B-30. This is a special case in which this mismatch is allowed. If you do not know how much of your payments to
the contractor cover leasing/depreciation, contact the contractor.
114 — Operating Expenses form (F-30)
2013 Urban Reporting Manual
Detailed Instructions
You should complete one form for each DO mode and each PT mode.
You should use the operating chart of accounts for operating expenses that is defined in the USOA. Below, discussion is
provided for each object class and function as well as information about ADA-related expenses.
Chart of Accounts for Modal Operating Expenses
The USOA provides a detailed explanation of the chart of accounts for NTD Annual reporting in Chapter 5, Expense Object
Classes, and Chapter 6, Expense Functions. The operating expenses chart of accounts used in the F-30 form is organized
by expense function (columns) and expense object class (rows).
Functions
A function is an activity performed by a transit agency.
NTD Annual reporting uses four basic functions:
•
Vehicle operations (010);
•
Vehicle maintenance (041);
•
Non-vehicle maintenance (042); and
•
General administration (160).
The activities included under each basic function are detailed in Section 6.2 of the USOA. The following exhibit provides the
basic function equivalency. The detailed functions provide additional clarification on activities.
Operating Expenses form (F-30) — 115
2013 Urban Reporting Manual
Exhibit 27 — Function Equivalency
010 Vehicle operations
010 Transportation
administration
151 Ticketing and fare
collection
161 System security
030 Revenue vehicle operation
011 Transportation administration
012 Revenue vehicle movement control
021 Scheduling of transportation operations
151 Ticketing and fare collection
161 System security
031 Revenue vehicle operation
041 Vehicle maintenance
041 Vehicle maintenance
041 Maintenance administration - vehicles
051 Servicing revenue vehicles
061 Inspection & maintenance of revenue vehicles
062 Accident repairs of revenue vehicles
071 Vandalism repairs of revenue vehicles
081 Servicing and fuel of service vehicles
091 Inspection & maintenance of service
042 Non-vehicle maintenance
042 Non-vehicle maintenance
042 Maintenance administration – non-vehicles
101 Maintenance of vehicle movement control systems
111 Maintenance of fare collection and counting
equipment
121 Maintenance of roadway and track
122 Maintenance of structures, tunnels, bridges and
subways
123 Maintenance of passenger stations
124 Maintenance of operating station buildings,
grounds and equipment
125 Maintenance of garage and shop buildings,
grounds and equipment
126 Maintenance of communication system
127 Maintenance of general administration buildings,
grounds and equipment
128 Accident repairs of buildings, grounds and
equipment
131 Vandalism repairs of buildings, grounds and
equipment
141 Operation and maintenance of electric power
facilities
160 General administration
160 General administration
165 Injuries and damages
166 Safety
167 Personnel administration
168 General legal services
169 General insurance
170 Data processing
171 Finance and accounting
172 Purchasing and stores
173 General engineering
174 Real estate management
175 Office management and services
176 General management
145 Preliminary transit system development
181 General function
162 Customer service
163 Promotion
164 Market research
177 Planning
116 — Operating Expenses form (F-30)
2013 Urban Reporting Manual
Vehicle Operations
Vehicle operations are all the activities associated with dispatching and running vehicles in revenue service to carry
passengers, including administrative and clerical support. There are six detailed functions in the basic vehicle operation
function (010):
•
Transportation administration and support (011) includes supervising garages / operating centers to make sure
operators are available, inspecting and instructing operators, run selection and supervision, reporting accidents,
and appearing as a witness;
•
Revenue vehicle movement control (012) includes dispatching and return of operators and revenue vehicles to
garages / operating centers, and monitoring and supervising revenue vehicle operations;
•
Scheduling of transportation operations (021) includes collecting data, making schedules and run cutting;
•
Revenue vehicle operation (030) includes moving revenue vehicles along routes to carry passengers, and moving
vehicles to and from garages / operating centers to routes (deadheading), layover at the ends of routes, and moving
operators to and from relief points. This is the largest expense category in the vehicle operations function since it
includes all the labor, fringes and fuel to operate the revenue vehicles;
•
Ticketing and fare collection (151) includes producing, distributing and collecting fare instruments (passes, tickets,
tokens), and providing security for collecting and counting the fares; and
•
System security (161) includes patrolling revenue vehicles and passenger stations during revenue operations, and
patrolling and controlling access to yards, buildings and grounds.
Public transportation is a labor-intensive activity. Since vehicle operators generally are the largest employee
group, vehicle operation expenses are typically the largest expense function arising from the labor and fringe
benefit expenses for these employees.
Vehicle Maintenance
Vehicle maintenance is all the activities associated with ensuring revenue vehicles and service vehicles are operable,
cleaned, fueled, inspected and repaired. There are seven detailed functions in the basic vehicle maintenance function (041):
•
Maintenance administration — vehicles (041) includes preparing maintenance records, analyzing data for vehicle
performance and training vehicle maintenance personnel;
•
Servicing revenue vehicles (051) includes fueling, interior cleaning and exterior washing of revenue vehicles;
•
Inspection and maintenance of revenue vehicles (061) includes performing scheduled preventive maintenance,
performing minor repairs, going to vehicle breakdowns to either repair or tow revenue vehicles, rebuilding and
overhauling repairable components, performing major repairs on revenue vehicles (e.g. body work, re-upholstering,
unit rebuilds and replacing major repairable units of revenue vehicles (e.g. engines, transmissions and air
conditioners);
•
Accident repairs of revenue vehicles (062) include repairing damage as a result of collisions, floods and accidental
fires;
•
Vandalism repairs of revenue vehicles (071) include repairing damage as a result of willful or malicious destruction
or defacement of revenue vehicles;
•
Servicing and fuel of service vehicles (081) includes fueling, interior cleaning and exterior washing of service
vehicles; and
•
Inspection and maintenance of service vehicles (091) includes performing scheduled preventive maintenance,
performing minor repairs, going to vehicle breakdowns to either repair or tow service vehicles, rebuilding and
overhauling repairable components, performing major repairs on service vehicles (e.g. body work, re-upholstering,
unit rebuilds and replacing major repairable units of service vehicles (e.g. engines, transmissions and air
conditioners).
For inspection and maintenance of revenue or service vehicles, work on repairable units such as engine rebuilds and
overhauls are an operating expense only if they meet the criteria established by FTA in determining when an item is an
operating or a capital expenditure. If the total labor and materials necessary for the rebuild or overhaul are less than a unit
value of $5,000 or a lesser capitalization level used by the agency such as $3,000, then this is an operating expense
reported on the F-30. If not, then the rebuild or overhaul expenses are a capital expenditure reported on the F-20.
Vehicle maintenance employees typically are the second largest group of employees for non-rail services.
Therefore, vehicle maintenance expenses are typically the second largest expense function.
Operating Expenses form (F-30) — 117
2013 Urban Reporting Manual
Non-Vehicle Maintenance
Non-vehicle maintenance is all the activities associated with ensuring buildings, grounds and equipment (garages,
passenger stations and shelters, administration buildings); fare collection equipment; and communications systems, track,
structures, tunnels and power systems are operable. There are thirteen detailed functions in the basic non-vehicle
maintenance function (042). These are summarized in four categories below:
•
Maintenance administration — non-vehicles (042) include preparing maintenance records and training facility
maintenance personnel;
•
Inspecting, cleaning, repairing and replacing components for:
o
Maintenance of vehicle movement control systems (101) including radios, roadway phones and monitor
units;
o
Maintenance of fare collection and counting equipment (111) including fare boxes, vaults and money
counters, changers and sorters;
o
Maintenance of roadway and track (121) including rails and rail bed;
o
Maintenance of structures, tunnels, bridges and subways (122);
o
Maintenance of passenger stations (123) including shelters and custodial services;
o
Maintenance of operating station buildings, grounds and equipment (124) including mechanics,
electricians, carpenters, plumbers, janitors, groundskeepers and custodial services. Operating stations are
the buildings and rail yards where vehicles are stored and dispatched for revenue service. Often operating
stations and garages are the same facilities;
o
Maintenance of garage and shop buildings, grounds and equipment (125) including mechanics,
electricians, carpenters, plumbers, janitors, groundskeepers and custodial services. Garages and shop
buildings are where repairs and maintenance is performed. Often operating stations and garages are the
same facilities;
o
Maintenance of communication systems (126) including office telephones, fax machines and public
address systems, but not including vehicle movement control systems; and
o
Maintenance of general administration buildings, grounds and equipment (127) including mechanics,
electricians, carpenters, plumbers, janitors, groundskeepers and custodial services;
•
Vandalism repairs of buildings, grounds and equipment (131) includes repairing damage as a result of willful or
malicious destruction or defacement of buildings, grounds and equipment; and
•
Operation and maintenance of electric power facilities (141) includes electric power generation and distribution
facilities for third rail, overhead lines, cable systems, etc.
For rail systems, non-vehicle maintenance is a larger portion of overall operating expenses than for non-rail
systems since there is a large infrastructure to maintain — track, rail beds, signaling, overhead lines and third
rails, and passenger stations, etc.
General Administration
General administration is all the activities associated with supporting the provision of transit service. Usually, you should
report these expenses using a cost allocation plan as discussed above because these activities benefit all modes and TOS.
There are seventeen detailed functions and one residual function in the basic general administration function (160). These
are summarized in five categories below:
•
•
Finance and procurement:
o
Finance and accounting (171) includes maintaining accounting records; payroll processing; paying
vendors; accounting for receivables, assets and investments; investing available cash; obtaining funds
through debt, equity, subsidy and other financing transactions; budgeting; performing internal audits; and,
preparing and submitting financial reports;
o
Purchasing and stores (172) includes preparing specification and procuring materials and supplies from
vendors, receiving at and issuing and distributing supplies from storage facilities, and maintaining
inventory records; and
o
Real estate management (174) includes negotiating purchases and sales of transit real estate, negotiating
property leases and managing concessionaire contracts;
Marketing and customer service:
118 — Operating Expenses form (F-30)
2013 Urban Reporting Manual
•
•
o
Customer services (162) includes telephone information on routes and services, handling customer
complaints and providing information at transit centers and stations;
o
Promotion (163) includes media relations, and developing and distributing promotional materials to
encourage transit use; and
o
Market research (164) includes conducting consumer behavior research and transit service demand
surveys to help define new routes and revisions to existing services;
Accidents:
o
Injuries and damages (165) includes insuring your transit agency against liability losses, receiving and
processing damage claims, investigating accidents, making settlements and defending public liability
cases; and
o
Safety (166) includes providing a system safety plan for employees and the public in order to prevent
accidents and including compiling safety statistics;
Planning and service development:
o
Preliminary transit service development (145) includes researching transit technology and service areas to
determine appropriate technology, route configurations and service level requirements. This covers the
expenses associated with performing these activities before a firm commitment to construct is made. After
a commitment to construct, these costs are often included as part of the capital cost of the project; and
o
Planning (177) includes long range and regional transit needs assessments; and
Transit agencies should report planning and service development costs as operating expenses on the Operating
Expenses form (F-30) rather than as capital expenses. Once a commitment is made for a specific capital
project, these costs should be reported as capital expenses on the Capital Funding form (F-20).
•
General activities:
o
Personnel administration (167) includes employee recruitment, administering pre-employment medical
exams, conducting orientation programs, administering fringe benefits, performing employee evaluations,
conducting grievance procedures, negotiating labor agreements, providing management and supervisory
training, and maintaining employee records;
o
General legal services (168) includes general legal service activities not related to public liability claims for
injuries and damages;
o
General insurance (169) includes preparing, submitting and pursuing insurance claims not related to public
liability including fires, weather related damage such as floods, and accidents not related to public liability;
o
Data processing (170) includes data entry and verification; operating computers, scanners and other
equipment for maintaining data bases and conducting analyses; testing, software development and other
programming activities; and, maintaining data processing equipment;
o
General engineering (173) includes researching available technology for performing transit activities, and
preparing specifications for constructing or purchasing capital assets;
o
All engineering associated with maintenance of vehicles, buildings, structures, communication systems,
equipment, etc. is included in the appropriate vehicle or non-vehicle maintenance function;
o
Office management and services (175) includes managing general office activities including receptionists,
telephone operators, mail rooms, libraries and distribution of office supplies;
o
General management (176) includes establishing policies for the development and operation of your
transit agency and services, and providing top level management to implement these policies; and
o
General function (181) includes expenses not related to or easily associated with the other functions under
the general administration function (180).
Object Classes
There are nine major expense object classes used in NTD Annual Reports:
•
Labor (501);
•
Fringe benefits (502);
•
Services (503);
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2013 Urban Reporting Manual
•
Materials and supplies (504);
•
Utilities (505);
•
Casualty and liability costs (506);
•
Taxes (507);
•
Purchased transportation (PT) service (508); and
•
Miscellaneous expenses (509).
An object is an article or service obtained. An object class is a grouping of expenses for the goods or services purchased.
The object classes include salaries and wages, fringe benefits, services, materials and supplies and other expenses, and are
detailed in Section 5.2 of the USOA.
Labor
Labor (501) is the pay that transit agency employees receive for work performed for your transit agency. The pay to
employees of outside organizations that provide services to your transit agency are not included as labor expenses, but
rather as services (503).
There are two categories for labor (501):
•
Operators' salaries and wages (501.01); and
•
Other salaries and wages (501.02).
Operators' Salaries and Wages
Operators' salaries and wages (501.01) are the labor expenses for your transit agency employees that usually are the
persons driving revenue vehicles. However, there are two other types of transit agency employees that are included as
operators:
•
Conductors and ticket takers in commuter rail (CR) mode; and
•
Attendants aboard vehicles to assist riders in boarding and alighting, securing wheelchairs, etc., typically the elderly
and individuals with disabilities.
Operators do not include the following two categories:
•
Employees aboard vehicles for other purposes than described above such as transit security personnel, employees
conducting surveys and employees monitoring service performance; and
•
Employees permanently removed from performing as operators but who remain classified as operators for payroll.
These employees do not work as operators but perform other functions.
You should report the wages paid for vehicle operators, conductors and other on-board crew in object class 501.01,
operators' salaries and wages, under the appropriate function, as follows:
•
Report wages for performing vehicle operations under the vehicle operations function (010). Include platform time,
student training time, accident reporting time, standby time and revenue vehicle movement control;
•
Report wages for performing inspection and maintenance and servicing revenue vehicles under the vehicle
maintenance function (041);
•
Ordinarily, there are no operators' wages for performing non-vehicle maintenance; and
•
Report wages for performing customer service or marketing duties under the general administration function (160).
The vast majority of operators’ wages and salaries typically are reported in the vehicle operations function. If
there is a sizeable portion of operator wages reported in other functions such as vehicle maintenance or general
administration, you should describe the reasons for these expenses using the Add Form Notes link.
Other Salaries and Wages
Other salaries and wages (501.02) are the labor expenses for all of your transit agency employees who are not revenue
vehicle operators or crew.
You should report other salaries and wages by function using the following rules:
•
Report the wages paid for vehicle operations for employees such as dispatchers, schedulers, ticketing and fare
collection, security, revenue vehicle movement control, traffic managers, terminal managers, as well as
120 — Operating Expenses form (F-30)
2013 Urban Reporting Manual
superintendents and their clerical support in object class 501.02, other salaries and wages under the vehicle
operations function (010);
•
Report wages for performing inspection, servicing and maintenance work on transit agency vehicles or components
of those vehicles under the vehicle maintenance function (041). You should include supervisory, clerical and
cleaning personnel;
•
Report wages under the non-vehicle maintenance function (042) for performing maintenance of roadway and track;
structures; passenger stations; fare collection and counting equipment; vehicle movement control systems;
buildings, grounds and equipment; and associated professional and clerical support; and
•
Report wages for performing marketing, customer information, accounting, data processing, legal, safety, planning
and other administrative functions under the general administration function (160).
Although the majority of vehicle operations labor expenses typically are for operators, labor expenses typically
also are reported for vehicle operations under other salaries and wages. If you are reporting no salaries and
wages expenses for vehicle operations, you should use the Add Form Notes link to describe why.
Fringe Benefits
Fringe benefits (502) are the expenses for employment benefits or services that an employee receives in addition to his / her
basic wages. These payments are your transit agency’s costs over and above labor costs, but still arising from the
employment relationship. Typical benefits include costs related to providing or making contributions to the following:
•
Retirement plans;
•
Pension plans;
•
Medical plans;
•
Dental plans;
•
Life insurance and short-term disability plans;
•
Unemployment insurance;
•
Workers' compensation insurance;
•
Sick leave;
•
Holiday leave;
•
Vacation (and other paid leave such as bereavement leave, jury duty)
•
Uniform and work clothing allowances typically for drivers, security personnel; and
•
Tool allowances for mechanics.
Some accounting systems do not track fringe benefit costs by function. In this situation, you must allocate fringe benefit
expenses by function. One common approach is to allocate fringe benefit costs in proportion to the sum of salaries and
wages listed for labor (501.01 and 501.02) by function.
Services
The services (503) object class is for:
•
Management services;
•
Professional services; and
•
Temporary labor services of personnel who are not employees of your transit agency, the governmental body or the
multifunctional organization.
Services (503) are the expenses for the labor and other work provided by outside organizations for fees and related
expenses. Usually, services from an outside organization are a substitute for in-house employee labor because the skills
offered by the outside organization are needed for only a short period of time or are better than internally available skills.
Some transit agencies are organized as a department of state or local government, or as part of a multifunctional
organization. For NTD Annual reporting purposes, if your transit agency is organized this way, your agency does
not purchase services from other parts of the governmental entity or multifunctional organization. Therefore, you
should not report these expenses in the services object class (503).
Operating Expenses form (F-30) — 121
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Instead, you should report all expenses for activities pertaining to the transit services, but performed by other departments or
offices within the governmental or multifunctional entity, in the appropriate object class and function.
For example, if your transit agency is a department of a county government and the county highway department maintains
the transit vehicles, you should report highway department’s transit maintenance expenses under the vehicle maintenance
function and report maintenance labor expenses in the other salaries and wages object class (501.02), fringe benefit
expenses in object class (502) and materials and supplies in object class (504).
Materials and Supplies
Materials and supplies (504) consumed are expenses for tangible products obtained from outside suppliers or manufactured
internally. Discounts, sales taxes and excise taxes (except on fuel and lubricants) are included in the cost of the material or
supply. Charges to these expense accounts are for the materials and supplies issued from inventory for use and for the
materials and supplies purchased for immediate use; i.e., without going through inventory.
There are three reporting categories for materials and supplies (504) consumed:
•
Fuel and lubricants (504.01);
•
Tires and tubes (504.02); and
•
Other materials and supplies (504.99).
Fuel and Lubricants
Fuel and lubricants (504.01) are the costs of items such as gasoline, diesel fuel, propane, lubricating oil, transmission fluid,
and grease for use in vehicles.
You should report expenses for fuel and lubricants for:
•
Revenue vehicles under the vehicle operations function (010); and
•
Service vehicles under the vehicle maintenance function (041).
Internet Reporting helps you follow the reporting rules by not providing data cells under the non-vehicle maintenance and
general administration functions for fuel and lubricants
You should report the taxes paid on fuel and lubricants, if applicable, in the taxes object class (507). You should
not report these taxes in the fuel and lubricants object class (504.01).
Tires and Tubes
Tires and tubes (504.02) are the lease payments for tires and tubes rented on a time period or mileage basis or the cost of
tires and tubes for replacement of tires and tubes on vehicles.
You should report expenses for tires and tubes for:
•
Revenue vehicles under the vehicle operations function (010); and
•
Service vehicles under the vehicle maintenance function (041).
Internet Reporting helps you follow the reporting rules by not providing data cells under the non-vehicle maintenance and
general administration functions for tires and tubes.
Other Materials and Supplies
Other materials and supplies (504.99) are the costs of materials and supplies not specifically identified in object classes
(504.01) and (504. 02). These materials and supplies may be issued from inventory or purchased for immediate
consumption. Common examples include vehicle repair parts, track materials, cleaning supplies, and office supplies.
In many transit agencies, other materials and supplies expenses reported under vehicle maintenance are the
largest category of materials and supplies expenses. These expenses represent the parts used to repair revenue
and service vehicles.
Utilities
Utilities (505) costs cover payments made to utility companies for the purchase of their energy or services. Utilities include
propulsion power used for electrically driven vehicles, electric power for other uses, water and sewer, natural gas and other
fuels for heating, telephone and garbage collection.
You should report expenses for utilities for:
•
Propulsion power for revenue vehicles under the vehicle operations function (010); and
122 — Operating Expenses form (F-30)
2013 Urban Reporting Manual
•
Other utilities under general administration (160).
Casualty and Liability Costs
Casualty and liability costs (506) are the expenses related to losses incurred by your transit agency including the costs of
loss protection. These expenses include compensation of others for their losses due to acts for which your transit agency is
liable, the costs of protecting your transit agency from losses through conventional insurance and other risk financing
programs (e.g., self-insurance, pools) and agency losses due to the liable actions of others that are covered by other
corporate insurance.
Casualty and liability costs (506) include:
•
Physical damage insurance premiums;
•
Recovery of physical damage losses for public liability and property damage insurance premiums;
•
Insured and uninsured public liability and property damage settlement pay outs and recoveries; and
•
Other corporate insurance premiums (e.g., fidelity bonds, business records insurance).
Transit agencies cover casualty and liability costs using different risk financing techniques. For these techniques, you should
report:
•
The amount of the physical damage insurance as casualty and liability costs under the vehicle maintenance
function (041) if your agency carries physical damage insurance on its rolling stock;
•
The amount of the physical damage insurance as casualty and liability costs under the non-vehicle maintenance
function (042)if your agency carries physical damage insurance on its buildings, grounds and equipment;
•
Casualty and liability costs under the general administration function (160) if your agency is self-insured for repairs
to damaged vehicles; and
•
Other insurance premiums usually carried, such as fire insurance, under the general administration function (160).
Internet Reporting helps you follow the reporting rules by not providing data cells under the vehicle operations function for
casualty and liability costs.
You should classify related expenses in the correct object classes and report:
•
The costs of repairing damaged property in the labor (501), fringe benefits (502), and material and supplies (504)
object classes;
•
The costs of writing off property damaged beyond repair in the depreciation object class (513); and
•
The costs of your agency employees engaged in insuring and processing claims for and against your transit agency
in labor (501) and fringe benefits (502) object classes.
Insurance recoveries should not be reported as revenue, on form F-10. Instead, they should be subtracted from
casualty and liability costs on form F-30. If you recovered more than you spent on premiums, then this will cause
you to have a negative number on this form. This is one of the few cases in which a negative number is allowed
on form F-30.
Taxes
Taxes (507) are the charges and assessments levied against your transit agency by federal, state and local governments.
You should report expenses for:
•
Income taxes;
•
Property taxes;
•
Fuel and lubricant taxes;
•
Electric propulsion power taxes; and
•
Vehicle licensing and registration fees.
You should not report:
•
Sales and excise taxes on materials and services purchased other than fuel and lubricants; or
Operating Expenses form (F-30) — 123
2013 Urban Reporting Manual
o
•
You should report these as part of the base price of the material in materials and supplies (504) or service
in services (503). For example, if you paid $1,000 for a replacement flux capacitor on your bus and paid
$70 in sales tax on it, report $1,070 under other materials and supplies, rather than reporting $70 under
taxes.
Rebates and reimbursements of taxes as a credit against operating expenses.
o
You should report rebates and reimbursements paid as revenue on the F-10 form in either the other funds
line or from the original sources. For example, if you paid $100 to refuel at a local gas station, and you
received a $15 fuel tax rebate from the state, report $100 under fuel and lubricants object class on form F30, $85 in revenue and operating expenses on form F-10 line 02, and $15 revenue and operating
expenses on form F-10, either on line 55 or line 02.
Purchased Transportation Service
Purchased transportation (PT) services (508) are the expenses incurred and billed by PT providers (sellers) in the operation
of the contracted transit services identified on Contractual Relationship (B-30) forms. You only report expenses for this
expense object class for PT services. The PT services object class is not included in the expense object classes for DO
services.
The PT service object class (508) is for the buyer of PT service and covers the payments or accruals made to the PT
provider. This expense object class does not include:
•
Expenses for which your agency has no obligation to pay — for example, if the service costs the seller more than
his contract covers;
•
Expenses incurred by your agency in support of the PT services — for example, salaries and wages of transit
agency personnel administering or working in some capacity in support of the agreement, fuel and tires if provided
to the seller, vehicle maintenance, marketing, advertising, legal services, and ticket sales. These are called other
costs incurred by the buyer and are reported in the appropriate object classes (501) to (507) and (509) to (510); or
•
Depreciation and lease costs for vehicles and facilities. These costs should be reported as reconciling items, not as
operating expenses on form F-30. Some purchased transportation providers provide the revenue vehicles as part of
their contract. Also, commonly the purchased transportation provider may operate the service from its own
maintenance facility. If the purchased transportation provider charges total costs – either in absolute dollars and unit
charges (e.g., per mile or per trip), you must separate operating costs from any lease and depreciation costs.
There are two reporting categories for PT service:
•
One for sellers included in your agency’s report — In report (508.01); and
•
One for sellers filing their own report — Filing separate report (508.02).
As a general rule, public agencies should report all PT service for In Report (508.01), regardless of the number of vehicles
operated in maximum service (VOMS) by the PT seller. Therefore, the public agencies will report PT expenses. The public
agencies also will report the non-financial operating data for these services in their NTD Annual Reports.
However, public agencies buying or selling PT service from to another public agency (NTD Annual Reporter) may determine
locally which public agency will report the data provided only one agency reports the service. If the public seller reports the
service, the public agency buyer of the service will report PT expenses for Filing separate report (508.02). In this case, the
public seller also will report the non-financial data for the service in its NTD Annual Report.
In rare instances, a seller may be a private or non-profit entity reporting separately to the NTD. The seller has a purchased
transportation agreement with a buyer who is public agency NTD reporter. The buyer completes Filing separate report
(508.02).
Filing in Report
Purchased transportation (PT) service in report (508.01) are the expenses for PT services involving sellers whose nonfinancial data are included in the buyer's report.
Filing Separate Report
PT service filing separate report (508.02) are the expenses for PT services involving sellers whose non-financial operating
data are not included in the buyer's report.
Other Costs Incurred by the Buyer
You must report other costs incurred by your agency in the appropriate function and object class. For example, you should
report your agency’s expenses for scheduling under the vehicle operations function (010) for labor (501.02) and fringe
benefits (502).
124 — Operating Expenses form (F-30)
2013 Urban Reporting Manual
Relationship of Purchased Transportation Costs to Contractual Relationship form (B-30)
The purchased transportation costs are reported by contractual relationship on the Contractual Relationship form (B-30).
Each form provides information on:
•
Whether the PT provider is Filing in (buyer’s) Report, or whether the PT provider is Filing Separate Report; and
•
Cost of the PT service, which is reflected as two items:
o
Total contract costs; and
o
Other costs incurred by buyer.
For most transit agencies, the total by mode across all the B-30 of the three items listed above equals the operating
expenses for PT by mode reported on the F-30 Total Modal Expenses on line 15, column e. The total is the sum of the
following:
•
Object Class 508.01 Filing In Report, line 11 column e, is equal to line 07a, the sum of line(s) 07 (contract costs net
of fare revenues) and line(s) 06 (fare revenues for the service under the PT agreement) from the B-30 form(s) when
contractual relationship types are 1, 3 or 10;
•
Object Class 508.02 Filing Separate Report, line 12 column e, is equal to the sum of line(s) 07 (contract costs net of
fare revenues) and line(s) 06 (fare revenues for the service under the PT agreement) from the contracted agencies’
B-30 form(s) when contractual relationship types are 5, 7, 8, 9, or 12;
•
Object Classes 501-507, 509-510, lines 01-10, 13 and 14, are equal to the sum of line(s) 08 (other costs incurred
by the buyer) from the B-30 form(s) for PT service when contractual relationship types are 1, 3, 5, 9 and 12; and
•
All Object Classes, line 15 column e, is equal to the sum of line(s) 09 (total operating expenses) from the B-30
form(s) for PT service for this mode, filed in this report and in a separate report, when contractual relationship types
are 1, 3, 5, 7, 8, 9, 10 and 12.
For some transit agencies, the total by mode across all the B-30 of the three items listed will not equal the operating
expenses by PT mode reported on the F-30 Total Modal Expenses on line 15, column e. This is because the contract
includes items such as vehicle capital lease and depreciation costs which are reported as reconciling items on the Operating
Expenses Summary form (F-40).
Miscellaneous Expenses
Miscellaneous expenses (509) are expenses that cannot be classified in expense object classes (501) through (508).
Miscellaneous expenses include:
•
Dues and subscriptions;
•
Travel and meeting expenses;
•
Bridge, tunnel and highway tolls;
•
Entertainment expenses;
•
Charitable donations;
•
Fines and penalties;
•
Bad debt expense;
•
Advertising and promotion expenses; and
•
Incidental transit services.
Report the costs of incidental transit services under Vehicle Operations (010).
Americans with Disabilities Act of 1990 Related Expenses (Complementary Paratransit)
NTD requires reporting the total expenses for operating complementary paratransit services, in compliance with Americans
with Disabilities Act of 1990 (ADA) requirements. You should report total operating expenses for these services on the F-30
form for demand response (DR) and demand response-taxi (DT) modes only on line 16, column e. These expenses should
be less than or equal to the total DR or DT modal expenses reported on line 15, column e. You may estimate these
expenses. You should compare the proportion of operating expenses attributable to ADA to the proportion of ADA trips on
form S-10, line 19 to ensure they are consistent.
Operating Expenses form (F-30) — 125
2013 Urban Reporting Manual
Line by Line Instructions for Operating Expenses form (F-30)
You should complete one form for each mode and type of service (TOS).
Form Level Help: You should click on the Help tab at the top of the screen for form level help.
Form Note: A form note can be attached to any form. You should use the Add Form Note link for relevant information to a
specific field, to the entire form or to multiple forms. You should click on the Add Form Note link at the top of the screen and
enter your note on the Notes screen. You can review or edit a form note from the Notes tab. You should not use the Form
Notes feature to answer issues generated from this form. From the Issues tab you should use the Add Comments link next
to the specific issue.
Saving or Closing the Form: You should click on the Save button prior to exiting the form and continuing with the report.
You should click on the Close button at the bottom of the screen to close the form without saving.
Labor (501)
Line 01: Operators’ Salaries and Wages (501.01).
Report the operators' salaries and wages paid for vehicle operations (010), vehicle maintenance (041), non-vehicle
maintenance (042) and general administration (160) functions.
•
Column a: Vehicle Operations (010). Enter the wages paid for vehicle operators and other on-board crew for
performing vehicle operations. Include platform time, student training time, accident reporting time, standby time
and revenue vehicle movement control.
•
Column b: Vehicle Maintenance (041). Enter the wages paid for vehicle operators, and other on-board crew
performing inspection and maintenance, and servicing revenue vehicles.
•
Column c: Non-Vehicle Maintenance (042). Ordinarily there are no operators' wages for performing non-vehicle
maintenance functions.
•
Column d: General Administration (160). Enter the wages paid for vehicle operators and other on-board crew for
performing customer service or marketing duties. Using the Add Form Notes link, describe if there is a sizeable
portion of operators' wages in general administration activities.
•
Column e: Total Modal Expenses. This is an auto-calculated field and cannot be edited. This field displays the total
wages paid for vehicle operators and other on-board crew equal to the sum of operators' salaries and wages for the
vehicle operations (010), vehicle maintenance (041), non-vehicle maintenance (042) and general administration
(160) functions.
Line 02: Other Salaries and Wages (501.02).
Report the other salaries and wages paid for vehicle operations (010), vehicle maintenance (041), non-vehicle maintenance
(042) and general administration (160) functions.
•
Column a: Vehicle Operations (010). Enter the wages paid for dispatchers, schedulers, ticketing and fare collection,
security, revenue vehicle movement control, traffic managers, terminal managers, and superintendents and their
clerical support for performing vehicle operations.
•
Column b: Vehicle Maintenance (041). Enter the wages paid for dispatchers, schedulers, ticketing and fare
collection, security, revenue vehicle movement control, traffic managers, terminal managers, and superintendents
and their clerical support for performing inspection, servicing and maintenance work on transit agency vehicles or
components of those vehicles. Include supervisory, clerical and cleaning personnel.
•
Column c: Non-Vehicle Maintenance (042). Enter the wages paid for dispatchers, schedulers, ticketing and fare
collection, security, revenue vehicle movement control, traffic managers, terminal managers, and superintendents
and their clerical support for performing maintenance of roadway and track; structures; passenger stations; fare
collection and counting equipment; vehicle movement control systems; buildings, grounds and equipment. Include
associated professional and clerical support.
•
Column d: General Administration (160). Enter the wages paid for dispatchers, schedulers, ticketing and fare
collection, security, revenue vehicle movement control, traffic managers, terminal managers, and superintendents
and their clerical support for performing marketing, customer information, accounting, data processing, legal, safety,
planning and other administrative functions.
•
Column e: Total Modal Expenses: This is an auto-calculated field and cannot be edited. This field displays the total
wages paid for dispatchers, schedulers, ticketing and fare collection, security, revenue vehicle movement control,
traffic managers, terminal managers, and superintendents and their clerical support equal to the sum of other
126 — Operating Expenses form (F-30)
2013 Urban Reporting Manual
salaries and wages the vehicle operations (010), vehicle maintenance (041), non-vehicle maintenance (042) and
general administration (160) functions.
Line 03: Fringe Benefits (502).
Report the fringe benefits expenses (i.e., vacation, sick, holiday, personal insurance plans, retirement plans, etc.).
Attributable to vehicle operations (010), vehicle maintenance (041), non-vehicle maintenance (042) and general
administration (160) functions.
•
Column a: Vehicle Operations (010). Enter benefits expenses attributable vehicle operations based on the salaries
and wages (operators and others) reported by function.
•
Column b: Vehicle Maintenance (041). Enter benefits expenses attributable to vehicle maintenance based on the
salaries and wages (operators and others) reported by function.
•
Column c: Non-Vehicle Maintenance (042). Enter benefits expenses attributable to non-vehicle maintenance based
on the salaries and wages (operators and others) reported by function.
•
Column d: General Administration (160). Enter benefits expenses attributable to general administration based on
the salaries and wages (operators and others) reported by function.
•
Column e: Total Modal Expenses: This is an auto-calculated field and cannot be edited. This field displays the total
expenses attributable to benefits, i.e., vacation, sick, holiday, personal insurance plans, retirement plans, etc. equal
to the sum of fringe benefits expenses for the vehicle operations (010), vehicle maintenance (041), non-vehicle
maintenance (042) and general administration (160) functions.
Line 04: Services (503).
Report the services expenses for the vehicle operations (010), vehicle maintenance (041), non-vehicle maintenance (042)
and general administration (160) functions.
If your transit agency is organized as a department of state or local government, or as part of a multifunctional organization,
your agency does not purchase services from other parts of the governmental entity or multifunctional organization. Do not
report these expenses in the services object class (503). Report all expenses for activities pertaining to the transit services,
but performed by other departments or offices within the governmental or multifunctional entity, in the appropriate object
class and function.
•
Column a: Vehicle Operations (010). Enter expenses for management, professional or temporary labor services of
personnel who are not employees of your transit agency performing vehicle operations functions.
•
Column b: Vehicle Maintenance (041). Enter expenses for management, professional or temporary labor services
of personnel who are not employees of your transit agency performing vehicle maintenance functions.
•
Column c: Non-Vehicle Maintenance (042). Enter expenses for management, professional or temporary labor
services of personnel who are not employees of your transit agency performing non-vehicle maintenance functions.
•
Column d: General Administration (160). Enter expenses for management, professional or temporary labor services
of personnel who are not employees of your transit agency performing general administration functions.
•
Column e: Total Modal Expenses: This is an auto-calculated field and cannot be edited. This field displays the total
expenses for management, professional or temporary labor services of personnel who are not employees of your
transit agency equal to the sum of services expenses for the vehicle operations (010), vehicle maintenance (041),
non-vehicle maintenance (042) and general administration (160) functions.
Materials and Supplies (504)
Line 05: Fuel and Lubricants (504.01).
Report the fuel and lubricants expenses for vehicle operations (010) and vehicle maintenance (041) functions.
•
Column a: Vehicle Operations (010). Enter expenses for fuel and lubricants for revenue vehicles.
•
Column b: Vehicle Maintenance (041). Enter expenses for fuel and lubricants for service vehicles.
•
Column e: Total Modal Expenses: This is an auto-calculated field and cannot be edited. This field displays the total
expenses for fuel and lubricants equal to the sum of fuel and lubricants expenses for the vehicle operations (010)
and vehicle maintenance (041) functions.
Line 06: Tires and Tubes (504.02).
Report the tires and tubes expenses for the vehicle operations (010) and vehicle maintenance (041) functions.
Operating Expenses form (F-30) — 127
2013 Urban Reporting Manual
•
Column a: Vehicle Operations (010). Enter expenses for tires and tubes for revenue vehicles.
•
Column b: Vehicle Maintenance (041). Enter expenses for tires and tubes for service vehicles.
•
Column e: Total Modal Expenses: This is an auto-calculated field and cannot be edited. This field displays the total
expenses for tires and tubes equal to the sum of tires and tubes expenses for the vehicle operations (010) and
vehicle maintenance (041).
Line 07: Other Materials and Supplies (504.99).
Report the other materials and supplies expenses for the vehicle operations (010), vehicle maintenance (041), non-vehicle
maintenance (042) and general administration (160) functions.
•
Column a: Vehicle Operations (010). Enter expenses for other materials and supplies used for vehicle operations
functions.
•
Column b: Vehicle Maintenance (041). Enter expenses for other materials and supplies used for vehicle
maintenance functions.
•
Column c: Non-Vehicle Maintenance (042). Enter expenses for other materials and supplies used for non-vehicle
maintenance functions.
•
Column d: General Administration (160). Enter expenses for other materials and supplies used for general
administration functions.
•
Column e: Total Modal Expenses: This is an auto-calculated field and cannot be edited. This field displays the total
expenses for other materials and supplies equal to the sum of other materials and supplies expenses for the vehicle
operations (010), vehicle maintenance (041), non-vehicle maintenance (042) and general administration (160)
functions.
Line 08: Utilities (505).
Report the expenses for utilities equal to the expenses for the vehicle operations (010) and general administration (160)
functions.
•
Column a: Vehicle Operations (010). Enter the expenses associated with electricity used to propel revenue
vehicles.
•
Column d: General Administration (160). Enter the expenses associated with utilities other than electricity used to
propel revenue vehicles.
•
Column e: Total Modal Expenses: This is an auto-calculated field and cannot be edited. This field displays the total
expenses for utilities equal to the expenses for the vehicle operations (010) and general administration (160)
functions.
Line 09: Casualty and Liability Costs (506).
Report the expenses for casualty and liability for the vehicle maintenance (041), non-vehicle maintenance (042) and general
administration (160) functions.
•
Column b: Vehicle Maintenance (041). Enter expenses for physical damage insurance on revenue vehicles.
•
Column c: Non-Vehicle Maintenance (042). Enter expenses for physical damage insurance on buildings, grounds,
and equipment.
•
Column d: General Administration (160). Enter expenses for all other insurance premiums.
•
Column e: Total Modal Expenses: This is an auto-calculated field and cannot be edited. This field displays the total
casualty and liability costs equal to the expenses for casualty and liability for the vehicle maintenance (041), nonvehicle maintenance (042) and general administration (160) functions.
Line 10: Taxes (507).
Report the federal, state and local taxes (including federal and state income tax, property tax, vehicle licensing and
registration fees, fuel, lubricant and electric power taxes) for taxes for vehicle operations (010), vehicle maintenance (041),
non-vehicle maintenance (042) and general administration (160) functions.
Do not report sales and excise taxes on materials and services purchased other than fuel and lubricants. These are
accounted for as part of the base price of the material in materials and supplies (504) or service in services (503).
Do not report rebates and reimbursements of taxes as a credit against an operating expense (operating expenses). Rebates
and reimbursements paid are reported as revenue on the Sources of F-10 in either the other funds line or from the original
sources.
128 — Operating Expenses form (F-30)
2013 Urban Reporting Manual
•
Column a: Vehicle Operations (010). Enter federal, state, and local taxes attributable to vehicle operations
functions.
•
Column b: Vehicle Maintenance (041). Enter federal, state, and local taxes attributable to vehicle maintenance
functions.
•
Column c: Non-Vehicle Maintenance (042). Enter federal, state, and local taxes attributable to non-vehicle
maintenance functions.
•
Column d: General Administration (160). Enter federal, state, and local taxes attributable to general administration
operations functions.
•
Column e: Total Modal Expenses: This is an auto-calculated field and cannot be edited. This field displays the total
federal, state and local taxes equal to the expenses for taxes for the vehicle operations (010), vehicle maintenance
(041), non-vehicle maintenance (042) and general administration (160) functions.
Purchased Transportation (508)
Line 11: In Report (508.01).
Report total contract costs to sellers. These costs may include payments, accruals, and retaining of fares.
•
Column a: Vehicle Operations (010). Enter expenses for vehicle operations for PT contractors that are included in
your report.
•
Column b: Vehicle Maintenance (041). Enter expenses for vehicle maintenance for PT contractors (sellers) that are
included in your report.
•
Column c: Non-Vehicle Maintenance (042). Enter expenses for non-vehicle maintenance for PT contractors
(sellers) that are included in your report.
•
Column d: General Administration (160). Enter expenses for general administration for PT contractors (sellers) that
are included in your report.
•
Column e: Total Modal Expenses: This is an auto-calculated field and cannot be edited. This field displays the total
expenses for PT, including payments or accruals to sellers under the contracts and PT fare revenues (regardless of
whether or not the contractor retains the fares) for contractors (sellers) included in your report equal to the PT
expenses for the vehicle operations (010), vehicle maintenance (041), non-vehicle maintenance (042) and general
administration (160) functions.
Report all other expenses incurred by your transit agency as a result of the contracts in the appropriate object class and
function. These can include salaries and wages of your transit agency personnel administering or working in some capacity
in support of the agreement; fuel and tires if provided to the seller; maintenance of vehicles; marketing; advertising; legal
services; ticket sales, etc.
Line 12: Filing Separate Report (508.02).
Report total contract costs to sellers. These costs may include payments, accruals, and retaining of fares.
•
Column a: Vehicle Operations (010). Enter expenses for vehicle operations for PT contractors (sellers) submitting a
complete and separate report.
•
Column b: Vehicle Maintenance (041). Enter expenses for vehicle maintenance for PT contractors (sellers)
submitting a complete and separate report
•
Column c: Non-Vehicle Maintenance (042). Enter expenses for non-vehicle maintenance for PT contractors
(sellers) submitting a complete and separate report.
•
Column d: General Administration (160). Enter expenses for general administration for PT contractors (sellers)
submitting a complete and separate report.
•
Column e: Total Modal Expenses: This is an auto-calculated field and cannot be edited. This field displays the total
expenses for PT, including payments or accruals to sellers under the contracts and PT fare revenues (regardless of
whether or not the contractor retains the fares) for contractors (sellers) submitting a complete and separate report
equal to the PT expenses for the vehicle operations (010), vehicle maintenance (041), non-vehicle maintenance
(042) and general administration (160) functions.
Report all other expenses incurred by your transit agency as a result of the contracts in the appropriate object class and
function. These can include salaries and wages of your transit agency personnel administering or working in some capacity
in support of the agreement; fuel and tires if provided to the seller; maintenance of vehicles; marketing; advertising; legal
services; ticket sales, etc.
Operating Expenses form (F-30) — 129
2013 Urban Reporting Manual
Line 13: Miscellaneous Expenses (509).
Report expenses that cannot be attributed to any other expense category. Include dues and subscriptions; travel and
meeting expenses; bridge, tunnel, and highway tolls; entertainment expenses; charitable donations; fines and penalties, bad
debt expense and advertising and promotion expenses.
•
Column a: Vehicle Operations (010). Enter all miscellaneous expenses for vehicle operations functions.
•
Column b: Vehicle Maintenance (041). Enter all miscellaneous expenses for vehicle maintenance functions.
•
Column c: Non-Vehicle Maintenance (042). Enter all miscellaneous expenses for non-vehicle maintenance
functions.
•
Column d: General Administration (160). Enter all miscellaneous expenses for general administration functions.
•
Column e: Total Modal Expenses: This is an auto-calculated field and cannot be edited. This field displays the total
expenses for miscellaneous expenses equal to the expenses for utilities for the vehicle operations (010), vehicle
maintenance (041), non-vehicle maintenance (042) and general administration (160) functions.
Line 15: Total Modal Expenses.
•
Column a: Vehicle Operations (010). This is an auto-calculated field and cannot be edited. This field displays the
total modal expenses for the vehicle operations function equal to the sum of the expenses reported for each object
class for the vehicle operations (010) function.
•
Column b: Vehicle Maintenance (041). This is an auto-calculated field and cannot be edited. This field displays the
total modal expenses for the vehicle maintenance function equal to the sum of the expenses reported for each
object class for the vehicle maintenance (041) function.
•
Column c: Non-Vehicle Maintenance (042). This is an auto-calculated field and cannot be edited. This field
displays the total modal expenses for the non-vehicle maintenance function equal to the sum of the expenses
reported for each object class for the non-vehicle maintenance (042) function.
•
Column d: General Administration (160). This is an auto-calculated field and cannot be edited. This field displays
the total modal expenses for the general administration function equal to the sum of the expenses reported for each
object class for the general administration (160) function.
•
Column e: Total Modal Expenses: This is an auto-calculated field and cannot be edited. This field displays the total
modal expenses for the all functions equal to the sum of the expenses reported for each object class for the vehicle
operations (010), vehicle maintenance (041), non-vehicle maintenance (042), and general administration (160)
functions.
Line 16, column e: Americans with Disabilities Act of 1990 (ADA) Related Expense.
•
Enter total expenses for complementary paratransit services (demand response (DR) and demand response-taxi
(DT)) attributable to ADA compliance requirements. These expenses should be less than or equal to the total modal
expenses for DR on line 15, column e. Applies only to DR and DT modes.
130 — Operating Expenses form (F-30)
2013 Urban Reporting Manual
Operating Expenses Summary form (F-40)
Operating Expenses Summary form (F-40) — 131
2013 Urban Reporting Manual
Overview
The Operating Expenses Summary form (F-40) form has two purposes:
•
To summarize total agency expenses reported by mode and type of service (TOS) on the F-30. NTD Internet
Reporting summarizes the system wide expenses automatically; and
•
To reconcile expenses reported on the F-30 with expenses reported by your transit agency in other published
reports, typically your transit agency’s audited financial statement. This reconciliation is done through the reporting
of reconciling expenses on the F-40 form. Transit agencies that are multifunctional organizations should reconcile
expenses for their transit operations only.
Reporting Requirements and Thresholds
All transit agencies must complete this form. There is one form covering all modes and TOS.
What Has Changed from Prior Year
There are no changes to the F-40 form for the 2013 report year.
Approach
You should complete only one F-40 form. All data from the F-30 form by mode and TOS are automatically summarized and
transferred to the summary form by object class and function, providing a system wide summary of modal expenses. You
should enter data only for any reconciling items at the system level.
Reconciling items vary among agencies in how they are treated in their accounting systems. Accounting practices may vary
as a result of local ordinances on accounting treatments. Typical reconciling items are depreciation, interest expenses and
leases and rentals. They are called reconciling items because they are needed to provide an overall total that is consistent
with local published reports, typically the audited financial statement.
Funds Applied and Funds Not Applied
The chart of accounts used for reconciling items is organized by expenditure type (columns) and expense object class
(rows). There are two types of expenditures:
•
Funds applied; and
•
Funds not applied.
Funds applied means that your transit agency has incurred expenses and that its payment involves a transfer of money
between the agency and another party such as a contractor or another government agency. Examples of object classes with
expenses that usually are classified as funds applied include interest expenses and leases and rentals.
The total operating expenses (operating expenses) for which funds where applied and reported on the F-40 form must equal
the total sources of funds applied to operations reported on the F-10.
Funds not applied means that the expenses do not involve a transfer of money between your agency and another party.
They are typically valued using accounting principles. Examples of object classes with expenses that usually are classified
as funds not applied include depreciation of vehicles and amortization of intangibles.
Detailed Instructions
You should report reconciling items by object class for the funds applied and funds not applied categories. An object is an
article or service obtained. An object class is a grouping of expenses on the basis of goods or services purchased.
Reconciling Items
There are five major object classes and a residual category to capture reconciling items. One category, amortization of
intangibles is a special form of depreciation:
•
Interest expenses (511);
•
Leases and rentals (512);
•
Purchase lease payments (514);
132 — Operating Expenses Summary form (F-40)
2013 Urban Reporting Manual
•
Related parties lease agreement (515);
•
Depreciation (513), including Amortization of intangibles (513.3); and
•
Other reconciling items (516).
There is also a category to report reconciling items for Americans with Disabilities Act of 1990 (ADA) related expenses for
complementary paratransit.
Interest expenses (511) are the charges incurred for borrowed money by your transit agency, and include both long and
short-term debt obligations. You should not report interest charges pertaining to construction debt that is capitalized as an
interest expense.
Depreciation (513) is probably the largest expense for most transit agencies and is usually reported in the funds not applied
category. Depreciation reflects the loss in service value of your transit agency's capital assets. As capital assets, depreciated
items have a high initial cost and a useful life of more than one year. To reflect the consumption or use of the asset over its
service life, a portion of the asset’s cost is expensed each year. Transit agencies may use different methods to arrive at the
yearly depreciation expense.
Amortization of intangibles (513.3) is a special form of depreciation that applies to intangible assets such as franchises,
patents, and goodwill. Typically, transit agencies receive intangible assets when they acquire other transit providers. Since
these acquisitions have become less and less frequent, very few transit agencies report amortization expenses.
Leasing often covers two types of costs:
•
Capital equipment lease costs; and
•
Operating and maintenance costs.
When reporting leases, you must separate costs associated with operating or maintaining the equipment from costs
associated with leasing capital equipment. You should report the operating and maintenance costs in the appropriate object
classes and functions by mode on the F-30 form. You should report the lease cost for the capital equipment in the
appropriate object class under reconciling items.
Leases are payments for the use of capital assets not owned by your transit agency. There can be different leasing
arrangements involving:
•
Leases and rentals (512) are true leases and cover the total cost of the capital asset plus interest. At the end of the
lease the capital asset is still owned by the lessor (entity providing the capital asset) rather than your transit agency;
•
Purchase lease agreements (514) are financing plans that enable your transit agency to acquire (own) the capital
asset at the end of the lease, sometimes with an additional payment due. The property covered by such leases may
or may not have been recorded as owned assets, either during or after the period of the lease, your transit agency's
internal accounting records. If purchase leases have not been capitalized in your transit agency's internal
accounting records, this category includes the lease payments for the purchase lease agreement. If the lease has
been capitalized in the internal accounting records of your transit agency, you should report it as it has been
accounted for internally; and
•
Related parties lease (515) where the terms and amount of payments by your transit agency are substantially less
than in a true lease because your transit agency is related to the lessor. For example, a transit agency may lease
surplus equipment from another transit agency or local government.
Other reconciling (516) items are any other costs that cannot be captured in object classes (511) through (515), such as
funds to another agency through a cooperative agreement and expenses for purchased transportation (PT) services not
meeting NTD requirements for a contractual agreement.
The most common other reconciling item is other post-employment benefits, which government entities are required to
report under GASB 45. If you have a large amount of other reconciling items representing OPEB costs, please make note of
this in a form note.
A detailed explanation of these expense object classes is provided in Chapter 5, Expense Object Classes, in the
(USOA).
Americans with Disabilities Act of 1990 Related Expenses
For demand response (DR) and demand response-taxi (DT) modes only, you should report the portion of the total
reconciling items that result from ADA requirements for complementary paratransit. These expenses should be less than or
equal to the total reconciling expenses.
Operating Expenses Summary form (F-40) — 133
2013 Urban Reporting Manual
Line by Line Instructions for Operating Expenses Summary form (F-40)
You should complete one form. This is a system wide form for all modes and types of service (TOS). Expenses are
summarized from the modal detail forms (F-30). You should enter expenses for reconciling items.
Note: Your transit agency may handle reconciling items differently than other transit agencies depending upon local
ordinances and conditions.
Form Level Help: You should click on the Help tab at the top of the screen for form level help.
Form Note: A form note can be attached to any form. You should use the Add Form Note link for relevant information to a
specific field, to the entire form or to multiple forms. You should click on the Add Form Note link at the top of the screen and
enter your note on the Notes screen. You can review or edit a form note from the Notes tab. You should not use the Form
Notes feature to answer issues generated from this form. From the Issues tab you should use the Add Comments link next
to the specific issue.
Saving or Closing the Form: You should click on the Save button prior to exiting the form and continuing with the report.
You should click on the Close button at the bottom of the screen to close the form without saving.
Summarized Data from Operating Expenses form (F-30)
Lines 01 – 14: Object Classes 501 – 510.
•
Column a: Vehicle Operations (010). These are auto-calculated fields and cannot be edited. These fields display,
by object class, the sum of all modal operating expenses for vehicle operations from the detail pages, column a.
•
Column b: Vehicle Maintenance (041). These are auto-calculated fields and cannot be edited. These fields
display, by object class, the sum of all modal operating expenses for vehicle maintenance from the detail pages,
column b.
•
Column c: Non-Vehicle Maintenance (042). These are auto-calculated fields and cannot be edited. These fields
display, by object class, the sum of all modal operating expenses for non-vehicle maintenance from the detail
pages, column c.
•
Column d: General Administration (160). These are auto-calculated fields and cannot be edited. These fields
display, by object class, the sum of all modal operating expenses for general administration from the detail pages,
column d.
•
Column e: Total Expenses for Period. These are auto-calculated fields and cannot be edited. These fields display,
by object class, the sum of all modal operating expenses from the detail pages, column e.
Lines 15: Total Agency Expenses by Function.
•
Column a: Vehicle Operations (010). This is an auto-calculated field and cannot be edited. This field displays the
sum of object classes (501-510) for vehicle operations function (010), lines 1-14, column a.
•
Column b: Vehicle Maintenance (041). This is an auto-calculated field and cannot be edited. This field displays the
sum of object classes (501-510) for vehicle maintenance function (041), lines 1-14, column b.
•
Column c: Non-Vehicle Maintenance (042). This is an auto-calculated field and cannot be edited. This field
displays the sum of object classes (501-510) for non-vehicle maintenance function (042), lines 1-14, column c.
•
Column d: General Administration (160). This is an auto-calculated field and cannot be edited. This field displays
the sum of object classes (501-510) for general administration function (160), lines 1-14, column d.
•
Column e: Total Modal Expenses: This is an auto-calculated field and cannot be edited. This field displays the total
operating expenses, equal to the sum of total operating expenses for each function, line 15, columns a-d.
Line 16, column e: Americans with Disabilities Act of 1990 (ADA) Related Expenses.
•
This is an auto-calculated field and cannot be edited. This field displays the sum of all operating expenses for
complementary paratransit services (DR) attributable to Americans with Disabilities Act of 1990 (ADA) compliance.
Total ADA related expenses should be less than or equal to the total modal expenses on line 15, column e.
Reconciling Items
Line 17: Interest Expenses (511).
•
Column a: Funds Applied. Enter interest expenses for which you have applied funds to pay for the expenditures.
Interest is the charges incurred for borrowed money by your transit agency, and include both long and short-term
134 — Operating Expenses Summary form (F-40)
2013 Urban Reporting Manual
debt obligations. Interest charges pertaining to construction debt that is capitalized are not reported as interest
expense. Interest expenses are usually under Funds Applied.
•
Column b: Funds Not Applied. (not common) Enter interest expenses for which you have not applied funds to pay
for the expenditures. Interest is the charges incurred for borrowed money by your transit agency, and include both
long and short-term debt obligations. Interest charges pertaining to construction debt that is capitalized are not
reported as interest expense.
•
Column c: Total Expenses for Period. This is an auto-calculated field and cannot be edited. This field displays the
total interest expenses equal to the sum of columns a and b.
Line 18: Leases and Rentals (512).
Leases and rentals are the expenses for the use of capital assets not owned by your transit agency. True leases are those in
which the lessor and lessee are not related parties; the total lease payments cover the lessor's cost of the property for the
period of the lease plus interest; and the ownership of the property remains with the lessor upon expiration of the lease. For
the true lease, this object class includes the lease payments on true lease property. This also includes the special case in
which a purchased transportation contractor owns the vehicles used in service, and depreciation is part of the cost of the
contract.
•
Column a: Funds Applied. Enter leases and rentals expenses for which you have applied funds to pay for the
expenditures. Leases and rentals are usually under Funds Applied.
•
Column b: Funds Not Applied. (not common) Enter leases and rentals expenses for which you have not applied
funds to pay for the expenditures.
•
Column c: Total Expenses for Period. This is an auto-calculated field and cannot be edited. This field displays the
total expenses for leases and rentals equal to the sum of columns a and b.
Line 19: Purchase Lease Agreement (514).
Purchase lease agreements are financing plans that enable your transit agency to acquire (own) the capital asset at the end
of the lease, sometimes with an additional payment due. The property covered by such leases may or may not have been
booked as owned assets, either during or after the period of the lease, in your transit agency's internal accounting records. If
purchase leases have not been capitalized in your transit agency's internal accounting records, this category includes the
lease payments for the purchase lease agreement. If the lease has been capitalized in the internal accounting records of
your transit agency, it is to be accounted for in the NTD system as it has been accounted for internally.
•
Column a: Funds Applied. Enter purchase lease agreement expenses for which you have applied funds to pay for
the expenditures. Purchase lease agreement expenses are usually under Funds Applied.
•
Column b: Funds Not Applied. (not common) Enter purchase lease agreement expenses for which you have not
applied funds to pay for the expenditures.
•
Column c: Total Expenses for Period. This is an auto-calculated field and cannot be edited. This field displays the
total expenses for purchase lease agreements equal to the sum of columns a and b.
Line 20: Related Parties Lease Agreement (515).
•
Column a: Funds Applied. Enter related parties lease agreement expenses for which you have applied funds to pay
for the expenditures. Related parties leases are where the terms and amount of payments by your transit agency
are substantially less than in a true lease because your transit agency is related to the lessor. For example, a transit
agency may lease surplus equipment from another transit agency or local government. Related parties leases are
usually under Funds Applied.
•
Column b: Funds Not Applied. (not common) Enter related parties lease agreement expenses for which you have
not applied funds are substantially less than in a true lease because your transit agency is related to the lessor. For
example, a transit agency may lease surplus equipment from another transit agency or local government.
•
Column c: Total Expenses for Period. This is an auto-calculated field and cannot be edited. This field displays the
total expenses for related parties lease agreements equal to the sum of columns a and b.
Line 21: Depreciation (513).
Depreciation is probably the largest expense for most transit agencies and is usually reported in the funds not applied
category. Depreciation reflects the loss in service value of your transit agency's assets. Depreciated items have a high initial
cost and a useful life of more than one year. In order to account for the reduction in value (usefulness) of the asset, a portion
of the cost is expensed each year of the asset's life. Transit agencies may use different methods to arrive at the yearly
depreciation expense.
Operating Expenses Summary form (F-40) — 135
2013 Urban Reporting Manual
•
Column a: Funds Applied. (not common) Enter depreciation expenses for which you have applied funds to pay for
the expenditures.
•
Column b: Funds Not Applied. Enter depreciation expenses for which you have not applied funds to pay for the
expenditures. Depreciation is usually under Funds Not Applied.
•
Column c: Total Expenses for Period. This is an auto-calculated field and cannot be edited. This field displays the
total expenses for depreciation equal to the sum of columns a and b.
Line 22: Amortization of Intangibles (513.13).
The amortization of the intangible costs of your transit agency includes organization costs, franchises, patents, goodwill and
other intangible assets.
•
Column a: Funds Applied. (not common) Enter the amortization of the intangible expenses for which you have
applied funds to pay for the expenditures.
•
Column b: Funds Not Applied. Enter the amortization of the intangible expenses for which you have not applied
funds to pay for the expenditures. Amortization is usually under Funds Not Applied.
•
Column c: Total Expenses for Period. This is an auto-calculated field and cannot be edited. This field displays the
total expenses for amortization of intangibles equal to the sum of columns a and b.
Line 23: Other Reconciling Items (516).
•
Column a: Funds Applied. Enter any other expenses for which you have applied funds that cannot be captured in
object classes (511 through 515). Some examples of other reconciling items are expenses for non-transit programs,
funds to another agency through a cooperative agreement and expenses for PT services not meeting NTD
requirements for a contractual agreement. Describe in the Other Reconciling Items — Other Describe field.
•
Column b: Funds Not Applied. Enter any other expenses for which you have not applied funds that cannot be
captured in object classes (511 through 515). Some examples of other reconciling items are expenses for nontransit programs, funds to another agency through a cooperative agreement and expenses for PT services not
meeting NTD requirements for a contractual agreement. Describe in the Other Reconciling Items — Other
Describe field.
•
Column c: Total Expenses for Period. This is an auto-calculated field and cannot be edited. This field displays the
total expenses for other reconciling items equal to the sum of columns a and b.
Line 24: Total Reconciling Items.
•
Column a: Funds Applied. This is an auto-calculated field and cannot be edited. This field displays the total
expenses for reconciling items for which you have applied funds equal to the sum of lines 17-23, column a.
•
Column b: Funds Not Applied. This is an auto-calculated field and cannot be edited. This field displays the total
expenses for reconciling items for which you have not applied funds equal to the sum of lines 17-23, column b.
•
Column c: Total Expenses for Period. This is an auto-calculated field and cannot be edited. This field displays the
total expenses for the period equal to the sum of columns a and b.
Line 25: Americans with Disabilities Act of 1990 (ADA) Related Expenses.
•
Column a: Funds Applied. Enter the sum of all reconciling items for which you have applied funds to pay for the
expenditures for complementary paratransit services (DR) attributable to ADA compliance. Total ADA related
expenses should be less than or equal to the total reconciling items on line 24, column a.
•
Column b: Funds Not Applied. Enter the sum of all reconciling items for which you have not applied funds to pay for
the expenditures for complementary paratransit services (DR) attributable to ADA. Total ADA related expenses
should be less than or equal to the total reconciling items on line 24, column a.
•
Column c: Total Expenses for Period. This is an auto-calculated field and cannot be edited. This field displays the
total expenses for reconciling items attributable to ADA related expenses (DR only) equal to the sum of columns a
and b.
Line 26: Total Expenses from Published Reports for Transit Operations.
•
Column a: Funds Applied. This is an auto-calculated field and cannot be edited. This field displays the total
expenses for which you have applied funds to pay for the expenditures. The total expenses should reconcile to
published reports for transit operations and should be equal to the sum of line 15, column e and line 24; column a.
Published reports are typically your transit agency’s audited financial statement.
136 — Operating Expenses Summary form (F-40)
2013 Urban Reporting Manual
•
Column b: Funds Not Applied. This is an auto-calculated field and cannot be edited. This field displays the total
expenses for which you have not applied funds to pay for the expenditures. The total expenses should reconcile to
published reports for transit operations and should be equal to the sum of line 15, column e and line 24; column b.
Published reports are typically your transit agency’s audited financial statement.
•
Column c: Total Expenses for Period. This is an auto-calculated field and cannot be edited. This field displays the
total expenses from published reports for transit operations equal to columns a and b.
Operating Expenses Summary form (F-40) — 137
2013 Urban Reporting Manual
Statement of Finances form (F-60)
The F-60 form is a statement of selected financial assets and financial liabilities. The purpose of the form is to present a
picture of the financial capacity of the transit system.
138 — Statement of Finances form (F-60)
2013 Urban Reporting Manual
Overview
Reporting Requirements and Thresholds
Transit agencies that are not operating as units of city or local Government, and that have their own financial assets and
liabilities are required to submit this form. If your agency type, reported on form B-10, is on the list at right, you must
complete this form.
What Has Changed from Prior Year
Exhibit 28 — Agency Types that Complete
the F-60
There are no changes in the 2013 Report Year.
1
Independent public agency or authority for
transit services
2
Subsidiary unit of a transit agency, reporting
separately
3
Area agency on aging
4
Other publicly-owned or
corporation
Please note that you should not report the value of
physical assets like vehicles and buildings.
5
Private for-profit corporation
6
Private non-profit corporation
This form is divided into two sections. One is for assets and one for
liabilities. Since the form does not require the reporting of all asset and
liability categories, the sums of the reported assets and liabilities do not
balance, i.e., Total Assets does not equal Total Liabilities.
7
Private provider reporting on behalf of a public
entity
8
Consolidated reporter
9
Other
Approach
This form is used for the consolidated reporting of a selected set of
financial assets and financial liabilities according to categories established
in the Uniform System of Accounts (USOA). Since it is difficult to place a
market value on many transit capital assets, you are not required to report
of the value of your capital assets to the NTD.
publicly-chartered
Detailed Instructions
Assets
The first half of this form details the assets in four categories:
•
Cash (101) and receivables (102);
•
Investments (131);
•
Special Funds (141); and
•
Other Assets (151).
The asset portion of the form does not require the reporting of the following assets defined and described in Appendix A
Asset Definitions in the USOA:
•
Materials And Supplies Inventory (103);
•
Other Current Assets (104);
•
Work In Process (105);
•
Tangible Transit Operating Property (111);
•
Tangible Property Other Than For Transit Operations (112); and
•
Intangible Assets (121).
Cash (101) and Receivables (102)
This reporting category is the consolidation of Cash and Cash Items (101) and Receivables (102) as defined in the USOA.
Cash and Cash Items (101)
These categories cover cash on hand and in banks available for the liquidation of transit agency liabilities, including special
deposits for which a current liability exists.
01. Cash and Cash Items - Cash
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•
The amount of current funds available for use on demand. They may be in the hands of financial officers or on
deposit in banks and trust companies.
02. Cash and Cash Items - Working (Imprest) Funds
•
The amounts advanced to officers, agents, employees, masters, pursers and others as petty cash or working funds
from which certain expenditures are to be made and accounted for.
03. Cash and Cash Items - Special Deposits, Interest
•
The monies and bank credits specially deposited in the hands of fiscal agents or others for the payment of interest
on behalf of the transit agency. When interest is paid from such deposits, this account shall be credited and the
appropriate accrued or matured interest liability account shall be debited.
04. Cash and Cash Items - Special Deposits, Dividends
•
The monies and bank credits in the hands of fiscal agents or others for the payment of dividends on behalf of the
transit agency. When dividends are paid from such deposits, this account shall be credited and the appropriate
dividend account shall be debited.
05. Cash and Cash Items - Special Deposits, Other
•
The monies and bank credits in the hands of fiscal agents or others for special purposes other than the payment of
interest or dividends. This includes cash or securities deposited with federal, state or municipal authorities, public
utilities or others as a guarantee for the fulfillment of obligations. When the purposes for which the deposit exists
have been satisfied, this account shall be credited with the amount of the deposit disbursed or released.
06. Cash and Cash Items - Temporary Cash Investments
•
The book cost of investments such as time drafts receivable and time loans, bankers' acceptances, United States
Treasury certificates, marketable securities and other similar investments acquired for the purpose of temporarily
investing cash. Any securities included herein must be of such a nature as to be readily convertible into cash at
substantially the book value.
Receivables (102)
These categories cover amounts owed to the transit agency by other parties.
01. Receivables - Accounts Receivable
•
The amounts due from others (except associated companies) for material and supplies furnished and services
rendered, including transportation and storage charges, property use charges, other matured rents, amounts owing
by public authorities, amounts of collectible judgments, current accounts with officers and employees and other
accounts and claims upon which responsibility is acknowledged by solvent concerns or individuals.
02. Receivables - Notes Receivable
•
The book cost of all collectible obligations in the form of notes receivable, contracts receivable and similar
evidences of money receivable on demand or within a time not exceeding one year from date of issue.
03. Receivables - Interest and Dividends Receivable
•
The amount of current interest accrued to the date of the balance sheet on bonds, mortgages, notes and other
commercial paper owned; on loans made; and on open accounts, bank deposits, etc. The amount of dividends
receivable on stocks owned.
04. Receivables - Receivables from Associated Companies
•
The total of amount of receivables from associated companies that are subject to current settlement, such as
balances in open accounts for services rendered, material furnished, traffic accounts, claims, rent for use of
property and similar items, including interest and dividends receivable from associated companies and loans, notes
and drafts for which associated companies are liable.
05. Receivables - Receivable Subscriptions to Capital Stock
•
The balance due from subscribers upon legally enforceable subscriptions to capital stock.
06. Receivables - Receivables for Capital Grants
•
Grant amounts receivable from federal, state and local governments or other parties, for capital projects and
acquisitions.
07. Receivables - Receivables for Operating Assistance
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•
Amounts receivable from federal, state and local governments or other parties, for general operating assistance,
special fare subsidies, demonstration project assistance, and purchase-of- service payments.
08. Receivables - Other Receivables
•
Amounts receivable from solvent debtors based on debtor-creditor relationships other than those specified in
categories 102.01 through 102.07.
09. Receivables - Reserve for Uncollectible Accounts
Investments
These categories cover investments of transit agency funds in the operation of other entities for purposes other than the
temporary investment of surplus cash.
01. Investments - Investments and Advances, Associated Companies
•
The book cost of the transit agency's investments in securities issued or assumed by associated companies. The
notes of associated companies maturing more than one year from date of issue. The amount of advances to
associated companies not subject to current settlement including accrued interest on such advances when not
subject to current settlement.
02. Investments - Other Investments and Advances
•
The book cost of the transit agency's investments in securities issued or assumed by non-associated companies.
Special Funds (141)
These categories cover cash and near cash items whose use is restricted to satisfying a specific class of transit agency longterm obligations.
01. Special Funds - Sinking Funds
•
The cash, cost of securities of other companies, and cost of other assets placed on deposit or in the hands of
trustees or segregated from the transit agency's other assets as a sinking fund to meet obligations maturing in the
future or to carry out such operations as the retirement of preferred stock or the procurement of serial bonds.
02. Special Funds - Capital Asset Funds
•
The cash, cost of securities of other companies, and cost of other assets that have been specifically set aside for
the purpose of providing a fund for the acquisition of units of depreciable property.
03. Special Funds - Insurance Reserve Funds
•
The cash, cost of securities of other companies and cost of other assets placed on deposit or in the hands of
trustees to guarantee the satisfaction of obligations for losses that related to the current or a prior accounting period
in instances where the transit agency is a "self-insurer" in whole or in part.
04. Special Funds - Pension Funds
•
The cash, cost of securities of other companies and cost of other assets which have been specifically set aside,
placed on deposit or in the hands of trustees to provide for employees' pensions, relief, savings, and hospital
benefits accruing to employees for performance of their labor services.
05. Special Funds - Other Special Funds
•
The cash, cost of securities of other companies and cost of other assets that have been specifically set aside for
special purposes not provided for in the above categories.
Other Assets (151)
These categories cover the assets not properly included in major categories 101through 141 above.
01. Other Assets - Prepayments
•
The payments for items whose benefit is to be realized subsequent to the time of the payment, e.g., prepaid rent,
prepaid insurance, etc. As the benefit is realized, the prepayment will be reduced and the appropriate expense
category charged.
02. Other Assets - Miscellaneous Other Assets
•
The cost of all assets not provided for in any other asset object class.
Statement of Finances form (F-60) — 141
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Please note that you should not report the value of physical assets like vehicles and buildings.
Liabilities
The second half of the form details liabilities in the following four categories.
•
Long-Term Debt (221);
•
Estimated Long-Term Pension Liabilities (231.01);
•
Other Estimated Liabilities (231.02, 231.03); and
•
Other Liabilities (201-211,241).
The liabilities portion of the form requires the reporting of all liabilities defined and described in Appendix B Liability
Definitions in the USOA.
Long-Term Debt (221)
These categories cover obligations of the transit agency due after one year from the current period ending date and
evidenced by formal long-term debt instruments such as equipment obligations, bonds, etc.
01. Long-Term Debt - Equipment Obligations
•
The face value of equipment obligations issued by the transit agency which will mature more than one year from the
current period ending date or, if payable in installments, the face amount of such installments not due within one
year from that date. This includes equipment bonds, equipment notes, chattel mortgages and other obligations for
which equipment is pledged as security or held under a conditional sales agreement. It also includes the face value
of equipment obligations issued by others, the payment of which has been assumed by the transit agency, and
equipment obligations so issued or assumed, the majority of which has been extended by specific agreement.
02. Long-Term Debt - Bonds
•
The face value of bonds, other than equipment obligations, issued by the transit agency that will mature more than
one year from the reporting date. Unsecured debentures and general revenue bonds are to be included in this
category. This category also includes the face value of such bonds issued by others, the payment of which has
been assumed by the transit agency.
03. Long-Term Debt - Receivers' and Trustees' Securities
•
The par value of evidences of indebtedness issued or assumed by receivers or trustees acting under the orders of a
court.
04. Long-Term Debt - Long-Term Construction Liabilities
•
The amount of construction retentions scheduled as due after one year from the current period ending date.
05. Long-Term Debt - Other Long-Term Obligations
•
The amount of long-term obligations not provided for in the above categories and maturing more than one year from
the current period ending date. This covers such items, executed or assumed, as real estate mortgages,
assessments for public improvements, receipts outstanding for long-term obligations and other obligations maturing
more than one year from the reporting date.
06. Long-Term Debt - Unamortized Debt Discount and Expense
•
The amount of unamortized discount and expense incurred in connection with the issuance of the transit agency's
outstanding long-term debt instruments.
07. Long-Term Debt - Unamortized Premium on Debt
•
The amount of unamortized premium incurred in connection with the issuance of the transit agency's outstanding
long-term debt instruments.
08. Long-Term Debt - Reacquired and Nominally Issued Long- Term Obligations
•
The par value of long-term debt of the transit agency nominally issued or reacquired by the transit agency and held
canceled by it, except debt held in sinking or other special funds.
142 — Statement of Finances form (F-60)
2013 Urban Reporting Manual
Estimated Liabilities
These categories cover amounts which have been established and segregated as estimates of future liabilities.
Estimated Long Term Pension Liabilities (231.01)
This is one category in the USOA defined under Estimated Liabilities (231).
231.01. The estimated obligations of the transit agency, due more than one year from the current period ending date, to
make payments to employees, their beneficiaries or trustees or managers of pension funds for pension, savings, relief and
hospital benefits accruing to employees for the performance of their labor services.
Other Estimated Liabilities (231.02, 231.03)
These are two categories in the USOA defined under Estimated Liabilities (231).
231.02. Estimated Liabilities - Uninsured Public Liability and Property Damage Losses The estimated amounts required from
which to pay settlements for injuries and damages to the person or property of others which are not covered by outside
insurance.
231.03. Estimated Liabilities - Other Estimated Liabilities - Estimated obligations other than those for pensions and
satisfaction of uninsured public liability settlements.
Other Liabilities (201-211,241)
This reporting category is the consolidation of the remaining categories that are defined and described in Appendix B Liability
Definitions in the USOA.
Trade Payables – Accounts Payable (201)
The amounts payable to others (except associated companies) for materials and services received, including use of
property, other matured rents, amounts due to public authorities, amounts of payable judgments, current accounts with
officers and employees, personal injury and property damage claims and other similar items. 01. Trade Payables - Payables
to Associated Companies The amounts payable to associated companies which are subject to current settlement, such as
credit balances in open accounts for services rendered, materials furnished, claims, rents for use of property and similar
items.
Accrued Liabilities (202)
This category covers obligations to pay for the labor services rendered by employees of the transit agency, including
deductions from employees' wages for Social Security, income taxes and other similar items.
Accrued Tax Liabilities (203)
This category covers obligations to pay taxes (income, property, payroll, etc.) which have accrued during the accounting
period.
Short-Term Debt (204)
These categories cover obligations to repay borrowings for periods of less than one year and current maturities of longer
term financing transactions.
01. Short-Term Debt - Notes Payable
•
The face value of outstanding obligations in the form of notes, drafts, acceptances and other similar evidences of
indebtedness which, by their terms, do not run for a period in excess of one year, including the face value of notes
receivable discounted or sold without releasing the transit agency from liability as endorser thereon.
02. Short-Term Debt - Matured Equipment and Long-Term Obligations
•
The amount (including obligations for premiums) of equipment obligations, long-term obligations and receiver's
certificates which have matured, but are unpaid, without any specific agreements for extension of maturity. This
category includes unpresented bonds called for redemption.
03. Short-Term Debt - Unmatured Equipment and Long-Term Obligations, Current Portion
•
The amount of bonds, equipment obligations and other long-term debt obligations, including obligations maturing
serially or payable in installments, which are due and payable within one year from the current period ending date,
for which arrangements for refunding have not been made and for which no sinking funds have been provided.
04. Short-Term Debt - Matured Interest Payable
Statement of Finances form (F-60) — 143
2013 Urban Reporting Manual
•
The amount of matured (i.e., past due) and unpaid interest on obligations of the transit agency, whether the cause
of the failure to pay the interest is on the part of the creditor or for other reasons, except where such interest is
added to the principal of the obligation.
05. Short-Term Debt - Accrued Interest Payable
•
The amount of interest accrued to the date of the balance sheet, but not payable until after that date, on all
indebtedness of the transit agency, except interest which is added to the principal.
06. Short-Term Debt - Current Pension Liabilities
•
The amount to be paid within one year of the current period ending date to retired employees, their beneficiaries or
a trustee or manager of a pension fund for the pension, savings, relief or hospital benefits accruing to employees for
their labor services.
Other Current Liabilities (205)
These categories cover miscellaneous obligations of the transit agency due within one year of the current period ending date
and not properly included in the above categories.
01. Other Current Liabilities - Unredeemed Fares
•
The amount of the obligation to provide transit service upon the redemption of tickets or tokens in the possession of
patrons.
02. Other Current Liabilities - CODs Unremitted
•
The net amount of CODs collected from consignees, but not remitted to shippers.
03. Other Current Liabilities - Dividends Declared and Payable
•
The amount of dividends declared, but not paid, on any issue of capital stock of the transit agency.
04. Other Current Liabilities - Short-Term Construction Liabilities
•
The amount of construction retentions scheduled as due within one year of the current period ending date.
05. Other Current Liabilities - Miscellaneous Other Current Liabilities
•
The amount of obligations due within one year of the current period ending date and not properly included in the
above categories.
Advances Payable (211)
These categories cover longer term obligations of the transit agency evidenced by open accounts and notes rather than by
more conventional long-term debt instruments, such as equipment obligations, bonds, etc.
01. Advances Payable - Advances Payable to Associated Companies
•
The amount of advances from associated companies, whether evidenced by notes or open accounts, which are not
subject to current settlement, including interest accrued thereon when such interest is not subject to current
settlement.
02. Advances Payable - Other Advances Payable
•
The amount of advances from individuals and companies other than associated companies, whether evidenced by
notes or open accounts, which are not subject to current settlement, including interest accrued thereon when such
interest is not subject to current settlement.
Deferred Credits (241)
This category covers credit balances in suspense accounts that cannot be entirely cleared and disposed of until additional
information is received and other items of a deferred nature.
Line by Line Instructions for Statement of Finances form (F-60)
Line 1, column a, Cash and Receivable (101, 102)
Line2, column a, Investments (131)
Line 3, column a, Special Funds (141)
Line 4, column a, Other Assets (151)
144 — Statement of Finances form (F-60)
2013 Urban Reporting Manual
Total Assets. This is an auto-calculated field and cannot be edited, review for accuracy.
Line 1, column b, Long Term Debt (221)
Line 2, column b, Estimated Long Term Pension Liabilities (231.01)
Line 3, column b, Other Estimated Liabilities (231.02, 231.03)
Line 4, column b, Other Liabilities (201-211, 241)
Total Liabilities. This is an auto-calculated field and cannot be edited, review for accuracy.
Statement of Finances form (F-60) — 145
2013 Urban Reporting Manual
Asset Module
The Asset Module contains three forms:
•
Stations and Maintenance Facilities form (A-10);
•
Transit Way Mileage form (A-20); and
•
Revenue Vehicle Inventory form (A-30).
Stations and Maintenance Facilities form (A-10)
The A-10 form collects data on passenger stations and maintenance facilities.
NTD requires all reporting transit agencies to complete this form. You will complete separate forms for directly operated (DO)
and for purchased transportation (PT) services by mode. The form is not applicable for demand response taxi (DT).
Transit Way Mileage form (A-20)
The A-20 form collects mileage data on all fixed route and fixed schedule modes.
This form is required for all transit agencies with fixed route and fixed schedule modes that operate on fixed guideway.
Transit agencies complete separate forms for DO and for PT services by mode. The form is not applicable to ferryboat (FB),
demand response (DR), demand response-taxi (DT), jitney (JT), publico (PB), and vanpool (VP) modes.
Revenue Vehicle Inventory form (A-30)
The A-30 form collects data on the revenue vehicle inventory at the end of the fiscal year and identifies the characteristics of
the vehicles in the fleet.
This form is required for all transit agencies. Transit agencies complete separate forms for DO and for PT services by mode.
146 — Asset Module
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Stations and Maintenance Facilities form (A-10)
Statement and Maintenance Facilities form (A-10) — 147
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148 — Stations and Maintenance Facilities form (A-10)
2013 Urban Reporting Manual
Overview
The purpose of the A-10 form is to collect data on: (1) the number of passenger stations, both accessible and nonaccessible, in accordance with the Americans with Disabilities Act of 1990 (ADA); (2) the number of elevators and escalators
within passenger stations; and (3) the number of maintenance facilities by size and ownership categories.
Reporting Requirements and Thresholds
All transit agencies must complete this form even if there are no facilities to report. Complete one form for each mode and
type of service (TOS) except for demand response taxi (DT).
What Has Changed from Prior Year
There are no changes to the A-10 form for the 2013 report year.
Approach
The reported data represents the inventory of passenger stations and maintenance facilities used for directly operated (DO)
and purchased transportation (PT) services at the end of the fiscal year.
Passenger Stations
The passenger station information is only reported for fixed route, fixed schedule services (rail modes, bus modes, trolleybus
(TB), ferryboat (FB), aerial tramway (TR)). All passenger stations are reported, even though the NTD reporter may not own
them. All passenger stations that are served by the public transportation services contained in the NTD Annual report must
be reported.
Exhibit 29 — Reporting Passenger Stations
Example: Coaster Transit Agency provides MB service to a FB passenger station that is owned by Coast Transportation
Authority. How should the passenger station be reported?
Solution: Coaster Transit Agency should report 1 passenger station while Coast Transportation Authority also reports 1
passenger station. Stations are reported by use, not ownership.
Station Criteria
The intent of the definition of a passenger station is to capture significant structures in separate rights-of-way (ROW). This
usually means a platform area for rail modes and something more than a street stop or street side passenger shelter for nonrail modes.
The following rules apply:
•
All rail passenger facilities are stations (except for LR, CC, and SR modes);
•
All LR, CC, and SR passenger facilities serving track that is in a separate ROW (not in mixed street traffic) that
have platforms are stations;
•
All MB, RB, CB, and TB passenger facilities in a separate ROW that have an enclosed structure (building) for
passengers for such items as ticketing, information, restrooms, concessions, and telephones are stations;
•
If the track is in mixed traffic, stops on streets or in medians for CC, LR, SR, MB, RB, CB, and TB are not stations if
at most they have shelters, canopies, lighting, signage or ramps for accessibility requirements, (i.e., no separate,
enclosed buildings); and
•
All transportation, transit or transfer centers, park-and-ride facilities and transit malls are stations if they have an
enclosed structure (building) for passengers for such items as ticketing, information, restrooms, concessions, and
telephones.
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This is an enclosed building in a separate ROW.
It is a passenger station.
This is only a shelter, not in a separate ROW. It is not a
passenger station.
Multi-Modal Stations
Another reporting consideration is the definition of a multi-modal station. A station is defined as multi-modal if it serves one of
your transit agency’s modes and serves at least one of the following:
•
Other transit modes whether by your transit agency or another transit agency;
•
Amtrak (non-transit services);
•
Airports;
•
Intercity bus (non-transit services such as Greyhound and Trailways); and
•
Water transportation (non-transit services).
ADA Accessibility
The last reporting consideration is whether the station meets the Americans with Disabilities Act of 1990 (ADA) accessibility
requirements. To meet other federal requirements, your transit agency probably has made this assessment.
Maintenance Facilities
Maintenance facilities are reported by:
•
Type – general purpose or heavy maintenance
•
Ownership – owned or leased
•
Size – the number of revenue vehicles that can be serviced.
Type
Maintenance facilities are the garages and buildings where routine maintenance and repairs are performed (general purpose
maintenance facility) and, in larger transit agencies, where engine and other major unit rebuilds are performed (heavy
maintenance facility). General purpose maintenance facilities generally also serve as operating garages where vehicles are
stored and dispatched daily for revenue service.
In some transit agencies, the same facility is used for both general purpose and heavy maintenance. Report joint general
purpose/heavy maintenance facility as a general purpose maintenance facility.
Ownership
Maintenance facility ownership is reported based on the type of service (TOS), either DO or PT.
For DO service, the interest is in whether the facility is publicly owned, either by the transit agency itself or by another public
entity, such as a city highway department maintenance facility, or whether the facility is leased from a private entity.
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For PT service, the interest is in whether there is public involvement in the maintenance facility either as a public facility
owned or leased by the buyer of the PT service, or whether the PT provider owns its own facility or leases one from a private
entity.
Size
The size of the facility is based on how many revenue vehicles can be serviced and stored. It is a measure of capacity of the
facility, not the number of revenue vehicles currently operated from the facility.
Shared Facilities
Some transit agencies operate more than one mode from a facility or use the facility for both DO and PT services. The most
common arrangement is the operation of MB and DR vehicles from a single facility.
If a facility is shared by more than one mode or TOS, allocate fractional portions of the facility among the modes and TOS so
that, in total, only one facility is reported (e.g., 0.9 for MB/DO and 0.1 for DR/DO). See Example 14 for details about
allocating facilities.
Detailed Instructions
This form is tailored to meet the different reporting requirements for:
•
Scheduled versus non-scheduled services. The fixed schedule services form for rail modes, MB, RB, CB, TB, FB,
and TR collects information about passenger stations. The non-scheduled services form for DR, VP, JT, and PB
does not collect passenger station information.
•
TOS. The forms for DO or PT have different ownership types for maintenance facilities.
Complete one form for each mode and TOS.
Passenger Stations
Report the number of transit passenger stations, distinguishing between Americans with Disabilities Act of 1990 (ADA)
accessible stations and non-ADA accessible stations, and total number of multi-modal stations. Report the number of
stations that serve transit passengers, regardless of ownership.
For rail modes, report the station in each rail mode and TOS that it is used. This may result in the “double counting” of some
stations since they might be served by two rail modes (e.g., HR/DO and LR/DO) or two TOS (e.g., CR/DO and CR/PT).
Many rail stations also should be counted as multi-modal stations when they are served by two or more rail modes (e.g., HR
and LR) or by a non-rail mode, typically MB. When multiple rail modes serve a station, report the station as multi-modal on
each form.
However, the “double-counting” rule does not apply when a station is served by rail modes and a non-rail mode, such as MB,
CB or RB. In these cases, report the station only under the rail modes.
For example, you should report a station that serves CR, LR, and MB on the A-10 forms for CR and LR, but not the MB A-10
form. You would report the station as multi-modal on both the CR and LR forms.
For non-rail modes, report the station in each mode and TOS that it is used. This may result in the “double counting” of some
stations, because two types of MB service (e.g., MB/DO and MB/PT) serve them, or because a combination of MB, CB and
RB services serve them.
Americans with Disabilities Act of 1990 Accessible Stations
Accessible stations do not have physical barriers that prevent or restrict access by individuals with disabilities, including
individuals who use wheelchairs. To meet other federal requirements, your transit agency should have identified accessible
stations.
Non-ADA Accessible Stations
Non-accessible stations do not provide easy access (i.e., do not meet accessibility requirements with regards to physical
barriers, signage and other aids to enable individuals with disabilities, including individuals who use wheelchairs) to use
public transit.
Statement and Maintenance Facilities form (A-10) — 151
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Multi-Modal Passenger Stations
Report the total number of passenger stations serving multiple modes. Modes include other transit modes, AMTRAK,
airports, water transportation, and intercity bus.
If a rail passenger station also has MB, CB or RB services, report it as a multi-modal passenger station if it has more than
three bus bays or one bay with capacity for more than three buses.
Escalators and Elevators
Report the number of escalators and elevators within the passenger stations. These are used to transfer passengers
between levels in a station or parking facility or between each other. Elevators and escalators exclude moving sidewalks.
Do not include non-passenger escalators and elevators used only for freight, or by transit staff, or as a back-up if passenger
escalators and elevators break down.
Maintenance Facilities
Report the type of maintenance facility based on the type of work performed (for general maintenance or for heavy
maintenance). If there is only one facility that is used for both general and heavy maintenance, report the facility as a general
purpose facility.
Report maintenance facility ownership by category. The categories are different for DO and PT services. For DO modes,
there are three categories of ownership:
•
Owned facilities;
•
Facilities leased from another public agency; and
•
Facilities leased from a private entity.
For PT modes, there are four categories of ownership:
•
Owned by service provider — facility owned by seller of PT service (public entity or private operator);
•
Owned by public agency for service provider — facility owned by public agency buying PT (reporter);
•
Leased by public agency for service provider — facility leased by public agency buying PT service (reporter) from a
third party; and
•
Leased by service provider — facility leased by seller of PT service (public entity or private operator) from a third
party.
Do not report maintenance facilities where maintenance services are performed by a third-party vendor. For
example, a transit agency has a PT agreement with a private company for DR service. The DR vans are taken to
the local gasoline service station (third-party vendor) for routine repairs and servicing. Do not report the local
gasoline service or body shops as a maintenance facility.
General Purpose Maintenance Facilities
Report general purpose maintenance facilities by:
•
Ownership – owned or leased; and
•
Size – the number of revenue vehicles that can be serviced.
Size is divided into three categories based on the number of revenue vehicles that can be serviced:
•
Under 200 vehicles;
•
200 – 300 vehicles; and
•
More than 300 vehicles.
Report the facility size based on design capacity, not the number of vehicles assigned to the facility.
For PT service, these are the facilities owned or leased by the buyer for the seller, or the facilities owned or leased by the
seller for inspection, service and repair of the revenue vehicles used under the PT agreement.
If the same facility serves more than one mode or TOS, allocate the facility’s use by mode or TOS to one decimal place. See
Exhibit 31 below.
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2013 Urban Reporting Manual
Exhibit 30 — Serves versus Capacity
Example: Coaster Transit Agency operates 175 vehicles and owns a maintenance facility that can store 225 vehicles.
What size of general purpose maintenance facility should they report?
Solution: CTA should report a general purpose maintenance facility that serves 200 – 300 vehicles.
Heavy Maintenance Facilities
Report heavy maintenance facilities by ownership category. There are no size categories for heavy maintenance facilities.
For PT service, these are the facilities owned or leased by the buyer for the seller, or the facilities owned or leased by the
seller for engine and other major unit rebuilds of the revenue vehicles used under the PT agreement.
If the same facility serves more than one mode or TOS, allocate the facility’s use by mode or TOS to one decimal place. Do
not include service vehicles when allocating maintenance facilities. See the example below.
Exhibit 31 — Reporting Maintenance Facilities
Example: Coaster Transit Agency uses one of its general purpose maintenance facilities for servicing both MB and DR vehicles
for DO services, and for DR PT service. How should maintenance facilities be reported?
Solution: Allocate the facility based on usage. One way to estimate usage is to allocate the number of vehicles available in
annual maximum service for each mode and TOS. Report facilities allocated to each mode and TOS.
Mode
MB/DO
DR/DO
DR/PT
Total
Vehicles
Serviced
240
30
20
290
Percent
of Total
82.8%
10.3%
6.9%
100%
Prorated Facilities
Reported
0.8 Line 08, column a
0.1 Line 08, column a
0.1 Line 08, column a
1.0 Serving 200 – 300 vehicles
Owned/public agency
Owned/public agency
Owned/public agency for service provider
Line by Line Instructions for Stations and Maintenance Facilities from (A-10)
Complete one form for each mode and type of service (TOS).
Form Level Help: Click on the Help tab at the top of the screen for form level help.
Form Notes: You can attach a form note to any form. Use the Add Form Note link to provide relevant information related to
a specific field, to the entire form or to multiple forms. Click on the Add Form Note link at the top of the screen and enter
your note on the Notes screen. You can review and/or edit a form note from the Notes tab. Do not use the Form Notes
feature to answer issues generated from this form. To respond to issues, from the Issues tab use the Add Comments link
next to the specific issue.
Saving or Closing the Form: Click on the Save button at the bottom of the screen to save the form. Click on the Close
button at the bottom of the screen to close the form without saving.
Passenger Stations
This section does not apply to DR, DT, JT, PB, and VP modes.
Line 01, column a: Americas with Disabilities Act of 1990 (ADA) Accessible Passenger Stations — Number of Facilities.
•
Enter the number of transit passenger stations that do not restrict access to individuals with disabilities under
Americans with Disabilities Act of 1990 (ADA) requirements.
o
For transit rail modes, report the station in each mode and TOS that it is used.
o
For transit rail modes and bus modes (MB, CB, RB) at the same station, count the station only under the
rail mode.
o
For transit non-rail modes, report the station in each mode and TOS that it is used.
Line 02, column a: ADA Non-Accessible Passenger Stations — Number of Facilities.
Statement and Maintenance Facilities form (A-10) — 153
2013 Urban Reporting Manual
•
Enter the number of transit passenger stations that do not meet ADA accessibility requirements for individuals with
disabilities.
o
For transit rail modes, report the station in each mode and TOS that it is used.
o
For transit rail modes and MB mode at the same station, count the station only under the rail mode.
o
For transit non-rail modes, report the station in each mode and TOS that it is used.
Line 03, column a: Total Stations — Number of Facilities. This is an auto-calculated field and cannot be edited. This field
displays the total number of ADA accessible and non-ADA accessible passenger stations.
Line 04, column a: Number of Multi-Modal Stations — Number of Facilities.
•
Of the total number of transit passenger stations, enter the number of those serving multiple transit modes,
AMTRAK, airports or intercity bus.
o
If the primary mode is rail and the passenger station has more than three bus bays or one bay with
capacity of more than three buses, report it as a multi-modal passenger station.
Line 05, column a: Escalators — Number of Facilities.
•
Enter the number of escalators in passenger stations whose primary purpose is to transfer passengers between
levels in a station or parking facility or between each other, exclude moving sidewalks.
Line 06, column a: Elevators — Number of Facilities.
•
Enter the number of elevators in passenger stations whose primary purpose is to transfer passengers between
levels in a station or parking facility or between each other, excluding moving sidewalks.
Maintenance Facilities - Directly Operated Service
Line 07: General Purpose Maintenance Facilities Serving under 200 Vehicles
•
Column a: Owned. Enter the number of maintenance facilities that are owned by the transit agency and that are
designed to service up to 200 revenue vehicles.
•
Column b: Leased from Another Public Agency. Enter the number of maintenance facilities that the transit agency
leases from another public agency and that are designed to service up to 200 revenue vehicles. If you are a private
company filing an NTD Annual report as directly operated (DO) service, select this category if you are using any
public agency facility for maintenance whether it is leased or owned by the buyer for your use under the PT
agreement.
•
Column c: Leased from a Private Entity. If you are a private company filing an NTD Annual report as DO service,
select this category if you are using any private facility for maintenance whether it is leased by the buyer or by
yourself for your use under the PT agreement.
o
•
Enter the number of maintenance facilities that the transit agency leases from a private entity and that are
designed to service up to 200 revenue vehicles.
Column g: Total. This is an auto-calculated field and cannot be edited. This field displays the total number of
general purpose maintenance facilities that are designed to service up to 200 revenue vehicles.
Line 08: General Purpose Maintenance Facilities Serving 200-300 Vehicles
•
Column a: Owned.
o
•
Column b: Leased from another Public Agency. If you are a private company filing an NTD Annual report as DO
service, select this category if you are using any public agency facility for maintenance whether it is leased or
owned by the buyer for your use under the PT agreement.
o
•
Enter the number of maintenance facilities that are owned by the transit agency and that are designed to
service 200 to 300 revenue vehicles.
Enter the number of maintenance facilities that the transit agency leases from another public agency and
that are designed to service 200 to 300 revenue vehicles.
Column c: Leased from a Private Entity. If you are a private company filing an NTD Annual report as DO service,
select this category if you are using any private facility for maintenance whether it is leased by the buyer or by
yourself for your use under the PT agreement.
o
Enter the number of maintenance facilities that the transit agency leases from a private entity and that are
designed to service 200 to 300 revenue vehicles.
154 — Stations and Maintenance Facilities form (A-10)
2013 Urban Reporting Manual
•
Column g: Total. This is an auto-calculated field and cannot be edited. This field displays the total number of
general purpose maintenance facilities that are designed to service 200 to 300 revenue vehicles.
Line 09: General Purpose Maintenance Facilities Serving more than 300 Vehicles
•
Column a: Owned. Enter the number of maintenance facilities that are owned by the transit agency and that are
designed to service more than 300 revenue vehicles.
•
Column b: Leased from another Public Agency. If you are a private company filing an NTD Annual report as DO
service, select this category if you are using any public agency facility for maintenance whether it is leased or
owned by the buyer for your use under the PT agreement.
o
•
Column c: Leased from a Private Entity. If you are a private company filing an NTD Annual report as DO service,
select this category if you are using any private facility for maintenance whether it is leased by the buyer or by
yourself for your use under the PT agreement.
o
•
Enter the number of maintenance facilities that the transit agency leases from another public agency and
that are designed to service more than 300 revenue vehicles.
Enter the number of maintenance facilities that the transit agency leases from a private entity and that are
designed to service more than 300 revenue vehicles.
Column g: Total. This is an auto-calculated field and cannot be edited. This field displays the total number of
general purpose maintenance facilities that are designed to service more than 300 revenue vehicles.
Line 10: Heavy Maintenance Facilities
•
Column a: Owned. Enter the number of heavy maintenance facilities that are owned by the transit agency.
•
Column b: Leased from another Public Agency. If you are a private company filing an NTD Annual report as DO
service, select this category if you are using any public agency facility for maintenance whether it is leased or
owned by the buyer for your use under the PT agreement.
o
•
Column c: Leased from a Private Entity. If you are a private company filing an NTD Annual report as DO service,
select this category if you are using any private facility for maintenance whether it is leased by the buyer or by
yourself for your use under the PT agreement.
o
•
Enter the number of heavy maintenance facilities that the transit agency leases from another public
agency.
Enter the number of heavy maintenance facilities that the transit agency leases from a private entity.
Column g: Total. This is an auto-calculated field and cannot be edited. This field displays the total number of
heavy maintenance facilities.
Line 11: Total Maintenance Facilities
•
Column a: Owned. This is an auto-calculated field and cannot be edited. This field displays the total number of
general purpose and heavy maintenance facilities that are owned by the transit agency.
•
Column b: Leased from another Public Agency. This is an auto-calculated field and cannot be edited. This field
displays the total number of general purpose and heavy maintenance facilities that the transit agency leases from
another public agency.
•
Column c: Leased from a Private Entity. This is an auto-calculated field and cannot be edited. This field displays
the total number of general purpose and heavy maintenance facilities that the transit agency leases from a private
entity.
•
Column g: Total. This is an auto-calculated field and cannot be edited. This field displays the total number of
general purpose and heavy maintenance facilities.
Maintenance Facilities - Purchased Transportation Service
Line 07: General Purpose Maintenance Facilities Serving under 200 Vehicles
•
Column a: Owned by Service Provider.
o
•
Enter the number of maintenance facilities that are owned by the service provider and that are designed to
service up to 200 revenue vehicles.
Column d: Owned by Public Agency for Service Provider.
Statement and Maintenance Facilities form (A-10) — 155
2013 Urban Reporting Manual
o
•
Column e: Leased by Public Agency for Service Provider.
o
•
Enter the number of maintenance facilities that are leased by the public agency for the service provider
and that are designed to service up to 200 revenue vehicles.
Column f: Leased by Service Provider.
o
•
Enter the number of maintenance facilities that are owned by the public agency for the service provider
and that are designed to service up to 200 revenue vehicles.
Enter the number of maintenance facilities that are leased by the service provider and that are designed to
service up to 200 revenue vehicles.
Column g: Total. This is an auto-calculated field and cannot be edited. This field display the total number of
general purpose maintenance facilities that are designed to service up to 200 revenue vehicles.
Line 08: General Purpose Maintenance Facilities Serving 200-300 Vehicles
•
Column a: Owned by Service Provider.
o
•
Column d: General Purpose Maintenance Facilities Serving 200-300 Vehicles — Owned by Public Agency for
Service Provider.
o
•
Enter the number of maintenance facilities that are leased by the public agency for the service provider
and that are designed to service 200 to 300 revenue vehicles.
Column f: General Purpose Maintenance Facilities Serving 200-300 Vehicles — Leased by Service Provider.
o
•
Enter the number of maintenance facilities that are owned by the public agency for the service provider
and that are designed to service 200 to 300 revenue vehicles.
Column e: General Purpose Maintenance Facilities Serving 200-300 Vehicles — Leased by Public Agency for
Service Provider.
o
•
Enter the number of maintenance facilities that are owned by the service provider and that are designed to
service 200 to 300 revenue vehicles.
Enter the number of maintenance facilities that are leased by the service provider and that are designed to
service 200 to 300 revenue vehicles.
Column g: Total. This is an auto-calculated field and cannot be edited. This field display the total number of
general purpose maintenance facilities that are designed to service 200 to 300 revenue vehicles.
Line 09: General Purpose Maintenance Facilities Serving more than 300 Vehicles
•
Column a: Owned by Service Provider.
o
•
Column d: General Purpose Maintenance Facilities Serving 200-300 Vehicles — Owned by Public Agency for
Service Provider.
o
•
Enter the number of maintenance facilities that are leased by the public agency for the service provider
and that are designed to service more than 300 revenue vehicles.
Column f: General Purpose Maintenance Facilities Serving 200-300 Vehicles — Leased by Service Provider.
o
•
Enter the number of maintenance facilities that are owned by the public agency for the service provider
and that are designed to service more than 300 revenue vehicles.
Column e: General Purpose Maintenance Facilities Serving 200-300 Vehicles — Leased by Public Agency for
Service Provider.
o
•
Enter the number of maintenance facilities that are owned by the service provider and that are designed to
service more than 300 revenue vehicles.
Enter the number of maintenance facilities that are leased by the service provider and that are designed to
service more than 300 revenue vehicles.
Column g: Total. This is an auto-calculated field and cannot be edited. This field display the total number of
general purpose maintenance facilities that are designed to service more than 300 revenue vehicles.
Line 10: Heavy Maintenance Facilities
•
Column a: Owned by Service Provider.
o
Enter the number of heavy maintenance facilities that are owned by the service provider.
156 — Stations and Maintenance Facilities form (A-10)
2013 Urban Reporting Manual
•
Column d: Owned by Public Agency for Service Provider.
o
•
Column e: Leased by Public Agency for Service Provider.
o
•
Enter the number of heavy maintenance facilities that are leased by the public agency for the service
provider.
Column f: Leased by Service Provider.
o
•
Enter the number of heavy maintenance facilities that are owned by the public agency for the service
provider.
Enter the number of heavy maintenance facilities that are leased by the service provider.
Column g: Total. This is an auto-calculated field and cannot be edited. This field displays the total number of
heavy maintenance facilities.
Line 11: Total Maintenance Facilities
•
Column a: Owned by Service Provider. This is an auto-calculated field and cannot be edited. This field displays
the total number of general purpose and heavy maintenance facilities that are owned by the service provider.
•
Column d: Owned by Public Agency for Service Provider. This is an auto-calculated field and cannot be edited.
This field displays the total number of general purpose and heavy maintenance facilities that are owned by the
public agency for the service provider.
•
Column e: Leased by Public Agency for Service Provider. This is an auto-calculated field and cannot be edited.
This field displays the total number of general purpose and heavy maintenance facilities that are leased by the
public agency for the service provider.
•
Column f: Leased by Service Provider. This is an auto-calculated field and cannot be edited. This field displays the
total number of general purpose and heavy maintenance facilities that are leased by the service provider.
•
Column g: Total. This is an auto-calculated field and cannot be edited. This field displays total number of general
purpose and heavy maintenance facilities.
Statement and Maintenance Facilities form (A-10) — 157
2013 Urban Reporting Manual
Transit Way Mileage form (A-20)
158 — Transit Way Mileage form (A-20)
2013 Urban Reporting Manual
Overview
The purpose of the A-20 form is to collect data for rail modes on system track and its construction, and for non-rail modes,
on lane mileage (bus (MB), trolleybus (TB), commuter bus (CB), bus rapid transit (RB), aerial tramway (TR)) for fixed
guideway (FG).
Reporting Requirements and Thresholds
All transit agencies operating fixed route, fixed schedule service that operate on fixed guideway or high intensity bus
segments must complete this form. Complete a single form for all rail modes and a single form for all non-rail modes.
This form is not applicable to DR, DT, JT, PB, VP and FB modes.
What Has Changed from Prior Year
Exclusive right-of-way (ROW) and Controlled access right-of-way (ROW) have been replaced on the Non-Rail version of the
form by the following categories: Exclusive Fixed Guideway, Exclusive High Intensity Bus, and Controlled Access High
Intensity Bus.
Approach
The reported data represents the inventory of fixed guideway (FG) and high intensity bus (HIB) facilities with fixed route,
fixed schedule services for rail and non-rail modes at the end of the fiscal year.
You need to understand the following concepts to use this form:
•
Guideway classification;
•
Bus guideway safe operation; and
•
Multiple modes or types of service (TOS) operating on a FG facility.
Guideway Classification
The definition of FG is a separate right-of-way (ROW) for the exclusive use of public transportation vehicles. By this
definition, all rail modes operate exclusively (i.e., 24 hours per day and seven days per week) on FG.
For rail modes, you report miles of track according to facility construction using the following categories:
•
•
At grade
o
Exclusive right-of-way
o
With cross traffic
o
Mixed and cross traffic
Elevated
o
On structure
o
On fill
•
Open cut
•
Subway
The concept of FG also has been extended to non-rail modes. TR operates over its own exclusive air space that is
considered its own FG.
By Federal statute, the ROW used by FB also is considered exclusive FG. However, although FB is a fixed route, fixed
schedule mode, you are not required to report lane miles of waterway on this form.
The remaining fixed route modes (MB, CB, RB and TB) sometimes operate on their own FGs, but may operate with other
vehicles. For MB, CB, RB and TB, you report lane miles by three types of ROW for transit operations:
•
Exclusive Fixed Guideway: these segments are exclusive at all times, 24 hours per day, seven days per week.
•
Exclusive High Intensity Bus: these segments are HOV or HO/T lanes at all times, 24 hours per day, seven days
per week or alternatively may be HOV or HO/T lanes for a portion of the 168 hours of the week and exclusive to
transit for the remainder of the week.
Transit Way Mileage form (A-20) — 159
2013 Urban Reporting Manual
•
Controlled Access High Intensity Bus: these segments may be exclusive to transit or function as HOV or HO/T for a
certain number of hours, but are open to general traffic for some part of the week.
Mixed traffic right-of-way is the fourth type of ROW. You do not report lane miles for mixed traffic ROW on this form.
Bus Guideway Safe Operation
Safe operation is a requirement that applies only to MB, CB, and RB FG and HIB facilities. It only applies to priority lanes
(e.g., on freeways/expressways/high speed facilities) used by a bus mode to ensure safe travel. If the priority lanes do not
meet the safe operation requirements, they are not classified as FG or HIB for NTD reporting. Priority lanes that are used by
MB, CB, and RB meet the safe operation requirement if there is safe separation between free flowing high occupancy
vehicle (HOV) lanes and the congested, unrestricted lanes. Safe separation can be provided in two ways:
•
Physical barriers such as cones, concrete dividers, medians; and
•
Pavement markings such as a double solid wide line, a single solid wide line, a single broken wide line, or a
diagonally striped area between lanes.
See below for graphic illustrations of safe operation designs.
Safe Operation — HOV lanes separated from general traffic
lanes by double solid lines.
Safe Operation — HOV lanes separated from general traffic
lanes by pylons.
Safe Operation — HOV lanes separated by fencing.
Safe Operation — HOV lanes separated from general traffic
lanes by concrete barrier.
Sometimes HOV lanes are identified by roadside or overhead signs, or by a diamond symbol in the lane. By themselves,
roadside or overhead signs or diamond symbols do not meet the NTD requirements for safe operation. Priority lanes only
meet the NTD requirements if one of the two ways discussed above — physical barriers or specific pavement markings — is
provided. (Information on signage can be found in the Manual on Uniform Traffic Control Devices, Millennium Edition,
December 2001, Section 3B.23, Preferential Lane Longitudinal Markings.)
You may find more information about safe operation in the chapter on the S-10 form.
160 — Transit Way Mileage form (A-20)
2013 Urban Reporting Manual
Multiple Modes or Types of Service on a Fixed Guideway Facility
You must report all FG and HIB facilities on which a mode was operated either directly or through a PT agreement. It is
possible that different modes or TOS operated on the same facility or a portion (segment) of the facility. The following rules
apply in these situations:
•
Report all segments for each mode, even if more than one mode operates over some or all of the same segments.
•
If directly operated (DO) and purchased transportation (PT) service of the same mode operates on some or all of
the same segments, report these segments on both the DO and PT forms.
•
If your report includes multiple sellers of service of the same mode that operate on common segments, report the
segments only once on the PT form.
•
If the seller files a separate report, then the seller reports all segments over which it operates, even if the buyer of
service operates over some or all of the same segments and includes them in its report.
Detailed Instructions
The form is tailored for rail modes and non-rail modes.
Rail Modes
Exhibit 32 — Calculating Track Miles
Report the miles of track for all rail modes. If the track is at
grade with cross traffic or at grade with mixed and cross
traffic, report the number of crossings.
Example 1 – This example depicts one segment of track a mile
long with service in two directions. How many miles of track do
you report?
•
•
Miles of Track: Length of track to nearest tenth of a
mile per segment of ROW. Miles of track are
measured without regard to whether or not rail
traffic can flow in only one direction on the track. All
track is counted, including yard track and sidings.
Number of Crossings: The number of locations at
which other traffic may traverse the ROW for rail
modes operating at grade.
The following Exhibit illustrates the reporting of miles of
track.
Solution: Track is measured without regard to routes or direction
of travel. Report this as one mile of track.
Example 2 – This example illustrates a one-mile segment with
inbound and outbound parallel tracks. How many miles of track
do you report?
Track Construction
For selected rail modes—MG, IP, and CC — report track
miles and crossings as follows:
•
MG —report only total track miles as elevated on
structure. There are no track crossings.
•
IP —report only total track miles as at grade,
exclusive ROW. There are no track crossings.
•
CC —report only total track miles and total number
of crossings as at grade, mixed and cross traffic.
Solution: Track is measured without regard to routes or direction
of travel. Report this as two miles of track.
However, for the other rail modes (CR, HR, LR, YR, SR, and AR) report the required data based on the physical construction
of the rail segment. Track construction is summarized for at grade, elevated, open cut and subway segments.
NTD divides at grade (surface level) rail into three categories based on traffic restrictions for non-rail traffic:
•
At grade, exclusive ROW restricts all non-rail traffic from entering the ROW;
•
At grade, with cross traffic restricts all non-rail traffic from entering the right-of-way ROW except to cross at grade
level crossings; and
•
At grade, mixed and cross traffic has no restrictions; non-rail traffic moving in the same direction or cross directions
may pass.
NTD categorizes elevated guideway (exclusive ROW above surface level) in two ways:
Transit Way Mileage form (A-20) — 161
2013 Urban Reporting Manual
•
Elevated on structure (e.g., bridges, overpasses); and
•
Elevated on fill (solid ground such as dirt, concrete).
The last two classifications are for segments below surface level:
•
Open cut is an excavated opening without a cover constructed over it; and
•
Subway tunnel/tube is covered and operates through an underground tunnel/tube.
Non-Rail Modes
For TR report total TR line miles. For MB, CB, RB and TB,
report lane miles as Exclusive FG, Exclusive HIB, or
Controlled Access HIB.
Exhibit 33 — Calculating Lane Miles
Example 1 – This example depicts a two-lane road, ten miles
long, with service in two directions. How do you report lanes
miles for this segment?
Bus lanes are considered Exclusive FG if they are transitexclusive at all times. Lanes that are sometimes open to
mixed traffic, or to HOV or HO/T, and shoulder lanes are
considered HIB.
The example below describes how to determine lane miles
on a bus facility.
Solution: You should report 20 lane miles.
Exhibit 34 — Calculating Lane Miles and Guideway Classification Examples
Example 1: There is a high occupancy vehicle (HOV) facility ten miles long with one traffic lane running northbound and one
traffic lane running southbound. It operates under HOV restrictions all times.
Solution: 10 miles for the northbound lane + 10 miles for the southbound lane = 20 lane miles, Exclusive HIB.
Example 2: There is a reversible facility ten miles long with one traffic lane (operated north bound in the morning and south bound
in the evening). During off-peak hours it is open to all traffic.
Solution: There is only one lane = 10 lane miles, Controlled Access HIB.
Example 3: A busway (exclusive to transit vehicles at all times) is 3 miles long.
Solution: 3 lane miles, Exclusive FG.
Line by Line Instructions for Transit Way Mileage form (A-20)
Complete one form for all rail modes and one for non-rail modes.
Form Level Help: Click on the Help tab at the top of the screen for form level help.
Form Note: A form note can be attached to any form. Use the Add Form Note link for relevant information to a specific field,
to the entire form or to multiple forms. Click on the Add Form Note link at the top of the screen and enter your note on the
Notes screen. You can review and/or edit a form note from the Notes tab. Do not use the Form Notes feature to answer
issues generated from this form. From the Issues tab use the Add Comments link next to the specific issue.
Saving or Closing the Form: Click on the Save button at the bottom of the screen to save the form. Click on the Close
button at the bottom of the screen to close the form without saving.
Rail Modes
Miles of Track by mode and type of service (TOS)
Line 01: At Grade: Exclusive Right-of-Way (ROW).
•
Enter the number of track miles, to the nearest tenth of a mile, on at grade, exclusive rail right-of-way (ROW),
including yard and side track. Count all tracks regardless of direction or number of parallel tracks.
162 — Transit Way Mileage form (A-20)
2013 Urban Reporting Manual
•
Applicable for commuter rail (CR), heavy rail (HR), light rail (LR), streetcar rail (SR), hybrid rail (YR), Alaska railroad
(AR) and inclined plane (IP) modes.
Line 02: At Grade: With Cross Traffic.
•
Enter the number of track miles, to the nearest tenth of a mile, on at grade, with cross traffic rail ROW, including
yard and side track. Count all tracks regardless of direction or number of parallel tracks.
•
Applicable for CR, HR, LR, SR, YR, and AR modes.
Line 03: At Grade: Mixed and Cross Traffic.
•
Enter the number of track miles, to the nearest tenth of a mile, on at grade, mixed and cross traffic rail ROW,
including yard and side track. Count all tracks regardless of direction or number of parallel tracks.
•
Applicable for CR, HR, LR, SR, YR, AR and cable car (CC) modes.
Line 04: Elevated on Structure.
•
Enter the number of track miles, to the nearest tenth of a mile, on rail transitway elevated on structure, including
yard and side track. Count all tracks regardless of direction or number of parallel tracks.
•
Applicable for CR, HR, LR, SR, YR, AR, and monorail/automated guideway (MG) modes.
Line 05: Elevated on Fill.
•
Enter the number of track miles, to the nearest tenth of a mile, on rail transitway elevated on fill, including yard and
side track. Count all tracks regardless of direction or number of parallel tracks.
•
Applicable for CR, HR, SR, YR, and LR modes.
Line 06: Open Cut. Enter the number of track miles, to the nearest tenth of a mile, in open cut rail transitway, including yard
and side track. Count all tracks regardless of direction or number of parallel tracks.
•
Applicable for CR, HR, LR, SR, YR, and AR modes.
Line 07: Subway.
•
Enter the number of track miles, to the nearest tenth of a mile, of subway, tunnel or tube. Count all tracks
regardless of direction or number of parallel tracks.
•
Applicable for CR, HR, LR, SR, YR, and AR modes.
Line 08: Total Miles. This is an auto-calculated field and cannot be edited. This field displays the total miles of track.
Crossings by mode and TOS
Line 09: At Grade Crossings: With Cross Traffic.
•
Enter the number of rail ROW traffic crossings.
Line 10: At Grade Crossings: Mixed and Cross Traffic.
•
Enter the number of rail ROW traffic crossings.
Line 11: Total Crossings. This is an auto-calculated field and cannot be edited. This field displays the total traffic crossings.
Non-Rail modes
Lane Miles by mode and TOS
Line 12: Exclusive Fixed Guideway.
•
Enter the number of lane miles to the nearest tenth of a mile, on roadway or other transit ROW reserved at all times
of the day for transit vehicles only. Count all lanes/lines regardless of direction or number of parallel lanes/lines.
•
Applicable for MB, CB, RB, TB and TR modes.
Line 13: Exclusive High Intensity Bus.
•
Enter the number of lane miles to the nearest tenth of a mile, on roadway or other transit ROW reserved at all times
for transit vehicles, HOV, or HO/T. Count all lanes regardless of direction or number of parallel lanes.
•
Applicable for MB, CB, RB, and TB modes.
Line 14: Controlled Access High Intensity Bus.
Transit Way Mileage form (A-20) — 163
2013 Urban Reporting Manual
•
Enter the number of lane miles to the nearest tenth of a mile, on roadway or other transit ROW reserved at some,
but not all, times for transit vehicles, HOV, or HO/T. Count all lanes regardless of direction or number of parallel
lanes.
•
Applicable for MB, CB, RB, and TB modes.
Line 08: Total Miles. This is an auto-calculated field and cannot be edited. This field displays the total lane miles.
164 — Transit Way Mileage form (A-20)
2013 Urban Reporting Manual
Revenue Vehicle Inventory form (A-30)
Revenue Vehicle Inventory form (A-30) — 165
2013 Urban Reporting Manual
Overview
The A-30 form captures the characteristics of all vehicles in the revenue vehicle inventory at the end of the fiscal year.
Reporting Requirements and Thresholds
All transit agencies must complete this form. Complete one form for each mode and type of service (TOS).
What Has Changed from Prior Year
Grain additive (GR) has been eliminated as a fuel type and hydrogen (HY) has been added.
Approach
The reported data represents the inventory of all revenue vehicles (i.e., those used to transport passengers) used to provide
public transportation at the end of the fiscal year. For CR, both passenger cars and the locomotives used to pull or push
them are included in the inventory.
This inventory identifies the vehicles in total fleet. Include all revenue vehicles in the inventory:
•
Vehicles in operation, (i.e., providing revenue service);
•
Spare vehicles;
•
New vehicles purchased and delivered (but not yet put into revenue service);
•
Vehicles awaiting sale or disposal;
•
Vehicles out for long term repair;
•
Vehicles in storage; and
•
Vehicles in a Federal Transit Administration (FTA) approved emergency contingency plan.
The inventory includes only revenue vehicles at the fiscal year end (FYE). Vehicles in total fleet do not include vehicles that
were in use part of the year but were sold or deposed before FYE, and therefore, do not appear on the transit agency asset
ledger at the FYE.
The NTD requires the reporting of all revenues used to provide public transportation. The type of funding used to purchase
or lease a revenue vehicle is not a criterion for determining if the vehicle should be reported. All revenue vehicles are
reported, whether purchased with Federal, state, local or directly generated funds, or by a seller of purchased transportation
service.
The key considerations in the approach are:
•
Vehicles operating in multiple modes;
•
Purchased transportation vehicles;
•
Non-dedicated vehicles; and
•
Grouping Vehicles by Like Characteristics (Sub-Fleet).
Vehicles Operating in Multiple Modes
Report revenue vehicles used in more than one mode or type of service (TOS) in each mode by type of service (TOS). If this
is the case, use the Supports Another Mode drop-down menu to select the other mode. The vehicles reported as serving
more than one mode or type of service (TOS) should have all fields reported as identical on all applicable forms.
Purchased Transportation
For purchased transportation (PT) modes, the vehicle data cover only the revenue vehicles that the seller uses under the
purchased transportation agreement.
Non-Dedicated Vehicles
When the seller of PT service uses non-dedicated vehicles under the agreement (i.e., the vehicles are not used exclusively
for the services under contract), report data for a representative subset (or sample) of the vehicles. The subset should be
large enough to include the number of vehicles operated in annual maximum service (VOMS) and spare vehicles.
166 — Revenue Vehicle Inventory form (A-30)
2013 Urban Reporting Manual
For example, a PT agreement is for 20 vehicles for annual maximum service and two spare vehicles. However, the seller
used 50 different vehicles at various times throughout the reporting year to satisfy the agreement. Report data for 22 (20 + 2)
vehicles that represent the type, age, and manufacturer of the vehicles predominantly used and that are still part of the
vehicle inventory at the FYE.
There are reduced reporting requirements for non-dedicated vehicles including demand response –taxi mode (DT/PT).
Taxicab operations are unique in NTD reporting. Typically vehicles are independently owned by the driver. Not all of the
vehicle characteristics apply, so the form will automatically classify vehicles for the DT/PT mode as non-dedicated. Also, it
would be unusual to have inactive vehicles (e.g., vehicles in storage or awaiting sale) or vehicles purchased with public
funding.
For DT and non-dedicated vehicles, report the following data:
•
Number of vehicles in total fleet;
•
Vehicle type code;
•
Ownership code;
•
Funding source;
•
Number of active vehicles in fleet;
•
Number of Americans with Disabilities Act of 1990 (ADA) accessible (lift-equipped and low floor, with ramp) vehicles
in fleet;
•
Fuel type code; and
•
Seating capacity.
Grouping Vehicles by Like Characteristics (Sub-Fleet)
Group all dedicated transit revenue vehicles in the transit agency’s total fleet at the end of the fiscal year, by mode and TOS,
if the following characteristics are identical:
•
Vehicle type;
•
Ownership;
•
Funding source;
•
Year of manufacture;
•
Year of rebuild;
•
Manufacturer;
•
Model number;
•
Fuel type;
•
Vehicle length;
•
Seating capacity; and
•
Standing capacity.
You report data for each group of vehicles on one row.
Detailed Instructions
Except for mileage data, Internet Reporting pre-fills the Revenue Vehicle Inventory form (A-30) from the prior year NTD.
Edit the pre-filled data as necessary and enter the required data for each group of vehicles. Use the Add Vehicle Fleet
button at the bottom of the form to enter data for a new group of vehicles. Use the Delete Vehicle Fleet check box at the
end of a row of pre-filled data to delete the row of data for a group of vehicles.
Revenue Vehicle Inventory form (A-30) — 167
2013 Urban Reporting Manual
Number of Vehicles in Total Fleet
Report the number of vehicles in the total fleet at fiscal year end (FYE) for the group of vehicles. Total vehicles include both
active vehicles and inactive vehicles held at the end of the fiscal year. Vehicles are inactive if they are in storage, retained for
emergency contingencies, or awaiting sale. Vehicles sold during the RY should not be displayed on the A-30.
Active vehicles are the vehicles available to operate in revenue service. Active vehicles include spare vehicles and vehicles
temporarily out of service for routine maintenance and minor repairs. Often the number of active vehicles is slightly greater
than the number of vehicles available for annual maximum service reported on the Service form (S-10) because it includes
spare vehicles.
Inactive vehicles are not readily available to be used in revenue service. They include vehicles that are:
•
In storage;
•
Emergency contingency;
•
Out of service for an extended period of time for major repairs; and
•
Awaiting sale or disposal.
Dedicated Fleet
Dedicated fleet is applicable only to PT services. Use the Dedicated Fleet drop-down menu to indicate that the fleet is
dedicated: “Yes”, i.e., the vehicles are used exclusively, for the service, otherwise, select “No”.
Vehicle Type
Select the vehicle type from the Vehicle Type drop-down menu.
Exhibit 35 — Vehicle Type menu selections
B
Articulated bus
RL
Commuter rail locomotive
AG
Automated guideway vehicle
RP
Commuter rail passenger coach
AO
Automobile
RS
Commuter rail, self-propelled passenger car
BR
Over-the-road bus
SB
School bus
BU
Bus
TB
Trolleybus
CC
Cable car
TR
Aerial tramway vehicle
DB
Double decker bus
TS
Taxicab sedan
FB
Ferryboat
TV
Taxicab van
HR
Heavy rail passenger car
TW
Taxicab station wagon
IP
Inclined plane vehicle
VN
Van
LR
Light rail vehicle
VT
Vintage trolley/streetcar
MO
Monorail/Automated Guideway
Classify cutaway or body-on-chassis vehicles as buses (BU). A good rule of thumb is that if you can stand up and walk
around inside a vehicle, it is a bus and not a van.
Some transit systems operate motor buses that are designed externally to look like trolleybuses. However, these “replica
trolleybuses” are designed as motor buses and do not draw their electrical power from overhead lines but rather from an
engine under their own propulsion. If your agency operates replica trolleybuses, report these buses as MB mode.
Ownership
The ownership categories are based on how public or private entities are involved in the ownership or leasing of revenue
vehicles.
The three common ownership types are:
•
Owned outright
168 — Revenue Vehicle Inventory form (A-30)
2013 Urban Reporting Manual
•
•
o
by a Public agency (OOPA)
o
by a Private entity (OOPE).
Exhibit 36 — Ownership menu selections
1
LPPA – Leased under lease purchase agreement
by a public agency
2
LPPE – Leased under lease purchase agreement
by a private entity
3
LRPA – Leased or borrowed from related parties
by a public agency
4
LRPE – Leased or borrowed from related parties
by a private entity
5
OOPA – Owned outright by public agency
(includes safe harbor leasing agreements where
only the tax title is sold)
6
OOPE – Owned outright by private entity (includes
safe harbor leasing agreements where only the tax
title is sold)
7
TLPA – True lease by a public agency
8
TLPE – True lease by a private entity
True lease
o
by a Public agency (TLPA)
o
by a Private entity (TLPE).
Lease under a lease purchase agreement
o
by a Public agency (LPPA)
o
by a Private entity (LPPE).
There is one type not as commonly used: Leased or borrowed from
related parties by:
•
Public agency (LRPA); or
•
Private entity (LRPE).
Owned outright also includes safe harbor leasing agreements where
only the tax title is sold.
9
Other
Under a true lease, the public agency or private entity does not
acquire the ownership of the vehicle. The ownership always remains
with the leasing company. Typically, at the end of the lease, the vehicle is returned to the leasing company and the public
agency or private entity enters into a new lease agreement, usually for a new vehicle.
However, some leases have the option where the vehicle can be bought at the end of the lease. If the vehicle is bought, then
the vehicle ownership becomes owned outright.
Under a lease purchase agreement the public agency or private entity acquires the capital appreciation of the vehicles with
each lease payment. When all payments are made, it owns the vehicles. When the lease is over, the vehicle becomes
owned outright.
Sometimes the vehicles are owned by another public entity and either leased to the transit agency or provided at no cost
under a leased or borrowed from related parties arrangement. This may be due to legal ownership restrictions whereby the
transit agency cannot own the title to the vehicles. It may be an economic consideration where one agency buys all the
vehicles and leases the vehicles back to the participating agencies. Since the vehicle is not owned by the reporting agency, it
is reported as leased.
From the Ownership drop-down menu, select the type of vehicle ownership. If you select other (OR) ownership, you must
describe the ownership using the Add Form Notes link.
Certain ownership codes and funding sources (listed below) often are linked. For example, a vehicle owned by a public
agency generally was purchased with some type of public funds.
Funding Source
The selection of funding source used to purchase or lease vehicles is
determined by answering the following questions in order until a
selection choice is made:
Exhibit 37 — Funding Source menu selections
1
UA – Urbanized Area Formula Program
2
OF – Other Federal funds
3
NFPA - Non-Federal public funds
4
NFPE - Non-Federal private funds
1.
Were public funds used? If no, then select choice 4 NFPE:
Non-Federal Private Entity. If yes, proceed to 2:
2.
Were federal funds used? If no, then select choice 3 NFPA:
Non-Federal Public Agency. If yes, proceed to 3:
3.
Were UAFP funds used? If no, then select choice 2 OF: Other Federal. If yes, then select choice 1 UA: Urbanized
Area.
Use the Funding Source drop-down menu to select the source of funding used to purchase or lease the vehicles.
Year of Manufacture
Report the year of manufacture for the vehicles. This is when the vehicles were originally built.
Revenue Vehicle Inventory form (A-30) — 169
2013 Urban Reporting Manual
Exhibit 38 — Year of Manufacture versus Model Year
Example: A fleet of 20 buses were manufactured in 2008. The model year of the 20 buses was 2009 as they were first
manufactured in the late fall of 2008. What is the year of manufacture?
Solution: Report the year of manufacture as 2008 as this was the year that the vehicles were originally built.
Year of Rebuild
If applicable, report the year of rebuild for the vehicles. This is for work done to vehicles to extend their useful lives so that
they will operate longer at an acceptable level of reliability. For example, buses with a useful life of 12 years may be rebuilt to
extend their useful life to 17 years.
Under FTA grant rules (FTA Circular FTA C 9030.1D), the minimum extension of useful life for a rebuilding is four years for a
bus and 10 years for a rail vehicle.
Manufacturer
Report the end manufacturer of the vehicle. Cutaway vehicles have two manufacturers: the manufacturer of the chassis and
of the body. Report the manufacturer of the body. For example, if Arboc (ARB) is the manufacturer of the vehicle body with a
Ford E-450 chassis, the manufacturer is reported as ARB. If the vehicle has been modified but the body has not been rebuilt,
then report the manufacturer of the body. For example, if Braun installs a wheelchair lift in a Dodge Caravan, the
manufacturer would be Dodge (DTD) not Braun.
Exhibit 39 — Rail Manufacturer Codes
ABB
Asea Brown Boveri Ltd.
DHI
Daewoo Heavy Industries
MSR
Market Street Railway
ACF
DWC
Duewag Corporation
PCF
AEG
American Car and Foundry
Company
AEG Transportation Systems
FCH
Ferries and Cliff House Railway
PST
PACCAR (Pacific Car and Foundry
Company)
Pullman-Standard
ALS
ALSTOM Transport
GEC
General Electric Corporation
PTC
Perley Thomas Car Company
ALW
ALWEG
GMC
General Motors Corporation
RHR
Rohr Corporation
AMI
Amrail Inc.
GTC
Gomaco Trolley Company
SDU
Siemens Mass Transit Division
ASK
AAI/Skoda
HIT
Hitachi
SFB
Societe Franco-Belge De Material
BBB
Blue Bird Corporation
HSC
Hawker Siddeley Canada
SFM
San Franncisco Muni
BEC
INE
Inekon Group, a.s.
SLC
St. Louis Car Company
BFC
Brookville Equipment
Corporation
Breda Transportation Inc.
JCC
Jewett Car Company
SOF
Soferval
BLM
Boise Locomotive Works
JHC
John Hammond Company
SOJ
BOM
Bombardier Corporation
KAW
SUM
BUD
Budd Company
KIN
Kawasaki Rail Car Inc. (formerly
Kawasaki Heavy Industries)
Kinksharyo USA
Sojitz Corporation of America (formerly
Nissho Iwai American)
Sumitomo Corporation
TCC
Tokyu Car Company
BVC
Boeing Vertol Company
MAF
Mafersa
USR
CAF
Construcciones y Auxiliar de
Ferrocarriles (CAF)
Carter Brothers
MBB
M.B.B.
UTD
US Railcar (formerly Colorado Railcar
Manufacturing)
UTDC Inc.
MBR
Mahoney Brothers
WAM
Westinghouse-Amrail
CSC
California Street Cable Railroad
Company
MKI
WLH
W. L. Holman Car Company
CVL
Canadian Vickers Ltd.
MPT
American Passenger Rail Car
Company (formerly MorrisonKnudsen)
Motive Power Industries (formerly
Boise Locomotive)
ZZZ
Other (Describe)
CBR
170 — Revenue Vehicle Inventory form (A-30)
2013 Urban Reporting Manual
Exhibit 40 — Non-Rail Manufacturer Codes
AAI
Allen Ashley Inc.
EDN
ElDorado National (formerly El
Dorado/EBC/Nat. Coach/ NCC
Eagle Bus Manufacturing
Elkhart Coach (Division of Forest
River, Inc.)
Federal Coach
NEO
Neoplan - USA Corporation
ABI
ACF
EII
ELK
ACI
Advanced Bus Industries
American Car and Foundry
Company
American Coastal Industries
NFA
NOV
New Flyer of America
NOVA Bus Corporation
OBI
OCC
FLT
FLX
FRC
FRD
FRE
FSC
GCC
GCA
GEO
Flyer Industries Ltd (aka New
Flyer Industries)
Flxette Corporation
Flxible Corporation
Freightliner Corporation
Ford Motor Corporation
Freeport Shipbuilding, Inc.
Ferrostaal Corporation
Goshen Coach
General Coach America, Inc.
GEO Shipyard, Inc.
Orion Bus Industries Ltd. (formerly
Ontario Bus Industries)
Overland Custom Coach Inc.
AEG
AEG Transportation Systems
FIL
AII
ALL
ALX
AMD
AMG
AMT
ARB
ASK
ATC
AZD
BBB
BFC
BIA
BLN
BOM
BOY
American Ikarus Inc.
Allen Marine, Inc.
Alexander Dennis Limited
AMD Marine Consulting Pty Ltd
AM General Corporation
AmTran Corporation
Arboc Mobility LLC
AAI/Skoda
American Transportation
Corporation
Azure Dynamics Corporation
Blue Bird Corporation
Breda Transportation Inc.
Bus Industries of America
Blount Boats, Inc.
Bombardier Corporation
Boyertown Auto Body Works
GIL
GIR
GLF
GLH
GLV
GMC
GML
Gillig Corporation
Girardin Corporation
Gulf Craft, LLC
Gladding Hearn
Glaval Bus
General Motors Corporation
General Motors of Canada Ltd.
SPC
SPC
SPR
SSI
STE
STR
SUB
BRA
BRX
Braun
Breaux's Bay Craft, Inc.
GOM
HMC
SUL
SVM
Collins Bus Corporation (form.
Collins Industries Inc./COL)
Carpenter Industries LLC (form.
Carpenter Manufacturing Inc.)
Cable Car Concepts Inc.
HSC
INT
Gomaco
American Honda Motor Company,
Inc.
Hawker Siddeley Canada IKU Ikarus USA Inc.
International
CBC
IRB
CHA
CHR
CMC
Chance Bus Inc. (formerly Chance
Manufacturing Company/CHI)
Coach and Equipment
Manufacturing Company
Chance Manufacturing Company
New Chrysler
Champion Motor Coach Inc.
CMD
CVL
DAK
Chevrolet Motor Division - GMC
Canadian Vickers Ltd.
Dakota Creek Industries, Inc.
MDI
MER
MNA
DER
DIA
Derecktor
Diamond Coach Corporation
(formerly Coons Mfg. Inc./CMI)
Double K, Inc. (form. Hometown
Trolley)
Dina/Motor Coach Industries (MCI)
MOL
MTC
NAV
DUC
Dodge Division - Chrysler
Corporation
Dutcher Corporation
DUP
EBC
EBU
CBW
CCC
CCI
CEQ
DKK
DMC
DTD
FDC
TBB
Oshkosh Truck Corporation
Prevost Car Inc.
Plymouth Division-Chrysler Corp.
Pullman-Standard
Port Everglades Yacht & Ship
Rico Industries
SuperBus Inc.
Shepard Brothers Inc.
Sabre Bus and Coach Corp. (form.
Sabre Carriage Comp.)
Startrans (Supreme Corporation)
Supreme Corporation
Spartan Motors Inc.
Stewart Stevenson Services Inc.
Steiner Shipyards, Inc.
Starcraft
Subaru of America or Fuji Heavy
Industries Ltd.
Sullivan Bus & Coach Limited
Specialty Vehicle Manufacturing
Corporation
Thomas Built Buses
TEI
Trolley Enterprises Inc.
Renault & Iveco
TMC
KIA
Kia Motors
TOU
Transportation Manufacturing
Company
Tourstar
KKI
Krystal Koach Inc.
TOY
Toyota Motor Corporation
MAN
MBZ
MCI
American MAN Corporation
Mercedes Benz
Motor Coach Industries
International (DINA)
Mid Bus Inc.
Ford or individual makes
Mitsibushi Motors; Mitsubishi
Motors North America, Inc.
Molly Corporation
Metrotrans Corporation
TRN
TRT
TRY
Transcoach
Transteq
Trolley Enterprises
TTR
TTT
VAN
Terra Transit
Turtle Top
Van Hool N.V.
VOL
VTH
North American Bus Industries
Inc. (form. Ikarus USA Inc./IKU)
North American Transit Inc.
WCI
Volvo
VT Halter Marine, Inc. (includes
Equitable Shipyards, Inc.)
Wheeled Coach Industries Inc.
WOC
NBB
Navistar International Corporation
(also known as International/INT)
Nichols Brothers Boat Builders
Dupont Industries
NBC
National Mobility Corporation
WYC
ElDorado Bus (EBC Inc.)
Ebus, Inc.
NCC
National Coach Corporation
ZZZ
NAB
NAT
OTC
PCI
PLY
PST
PTE
RIC
SBI
SHI
SCC
WDS
WTI
Washburn & Doughty Associates,
Inc.
Wide One Corporation
World Trans Inc. (also Mobile-Tech
Corporation)
Wayne Corporation (form. Wayne
Manufacturing Company/WAY)
Other (Describe)
Select the manufacturer of the vehicle from the Manufacturer Codes drop-down menu, by using the manufacturer name of
the current corporation that manufactures the particular model. If the manufacturer is not listed, select ZZZ – Other
Manufacturers. When you select type ZZZ Other for manufacturer, the system will provide a description box for you to
describe the manufacturer.
Revenue Vehicle Inventory form (A-30) — 171
2013 Urban Reporting Manual
Model
Report the model of the vehicle as used by the manufacturer.
Do not use any spaces, dashes, or other punctuation when you
enter the model.
You are not required to report vehicle model numbers for
automobiles and vans used in revenue service, such as those
used for demand response (DR) and vanpool (VP) services. If
the model number is not available for heavy rail (HR) cars, use
the most recent edition of Roster of North American Rapid
Transit Cars from the American Public Transportation
Association, www.apta.com.
Exhibit 41 — Manufacturer versus Model
Example: You have a fleet of El Dorado Aerotech cutaway
vehicles built on Ford F-350 chassis. What is reported as the
manufacturer and what is reported as the model?
Number of Active Vehicles in Fleet
Report the number of active vehicles in fleet, which are
vehicles used in revenue service during the year and still active
at fiscal year end (FYE). These include spares and vehicles
that are in for scheduled preventive maintenance and minor
repairs. Active vehicles do not include emergency contingency
vehicles.
If vehicles reported were not active at the fiscal year end (FYE)
Solution: The manufacturer is reported as El Dorado (EDN)
but remained in the fleet because they had not been disposed while the model is reported as Aerotech.
of, report the number of active vehicles as zero. When
reporting zero active vehicles for a fleet, the number of Americans with Disabilities Act of 1990 (ADA) accessible vehicles,
the total miles on active vehicles during the period and the average lifetime miles per active vehicle should also be reported
as zero.
ADA Accessible Vehicles
Report active vehicles that meet Americans with Disabilities Act of 1990 (ADA) requirements for accessibility.
Number of Emergency Contingency Vehicles
Report the number of vehicles in an approved Federal Transit
Administration (FTA) Emergency Contingency Plan as inactive
vehicles. These are vehicles that FTA normally requires your agency
to dispose of when you replace them with vehicles funded through
FTA. However, FTA can permit your transit agency to keep the
vehicles in an inactive fleet to be used in the event of weather or other
natural disasters that require more vehicles than are available in the
active fleet. Your agency must request FTA approval of its
Emergency Contingency Plan for keeping replaced vehicles in an
inactive fleet.
Exhibit 42 — Fuel Type menu selections
Fuel Type
Report the type of fuel used to move the revenue vehicles in revenue
service. Use the Fuel Type drop-down menu to select the type of fuel
used for propulsion of the vehicles.
If a vehicle uses more than one type of fuel or a mixture of fuels,
report the fuel type as dual fuel (DU) and click the Add Form Notes
link to describe the types of fuel. Report the fuel type as dual fuel only
if all fuels are from sources external to the vehicle.
There are special reporting rules for hybrid vehicles — vehicles that
use two or more sources of power:
•
Internally generated electric power
o
Report only the primary fuel source, such as
gasoline (HG) or diesel (HD) that is used to propel
172 — Revenue Vehicle Inventory form (A-30)
BD
Bio-diesel
BF
Bunker fuel (low grade of diesel fuel often
used in ferryboat operations)
CN
Compressed natural gas (CNG)
DF
Diesel fuel
DU
Dual fuel
EB
Electric battery
EP
Electric propulsion
ET
Ethanol
GA
Gasoline
HD
Hybrid diesel
HG
Hybrid gasoline
HY
Hydrogen
KE
Kerosene
LN
Liquefied natural gas (LNG)
LP
Liquefied petroleum gas (LPG)
MT
Methanol
2013 Urban Reporting Manual
the vehicle.
•
Externally-charged electric batteries
o
Report the vehicle as a dual fuel (DU) if the “hybrid” vehicle uses batteries charged externally
o
Click the Add Form Notes link to describe the types of fuel used which would include electric batteries
charged externally.
o
Then report each of these external fuel sources on the Energy Consumption form (R-30), for example,
kilowatt hours to charge batteries and gallons of diesel.
Select EP- Electric propulsion for the trolleybus (TB) mode and vehicle type. A TB is defined as a vehicle that draws its
electrical power from overhead lines.
Vehicle Length
Report the total length of the vehicles in feet.
Seating Capacity
Report the seating capacity of the vehicle. This is the actual number of seats on-board the vehicle and generally is cited in
the specification used in manufacturing the vehicle.
Standing Capacity
Report the standing capacity of the vehicle. This is the number of standees allowed by transit agency policy. If local policy
prohibits standing, report zero. If there is no local policy on the maximum number of standees, report the manufacturer’s
rated standing capacity.
Total Miles on Active Vehicles and Average Lifetime Mileage per Active Vehicle
Two statistics are reported:
•
Total miles on active vehicles during period; and
•
Average lifetime mileage per active vehicle.
Total Miles on Active Vehicles during Period
Report the total miles accumulated by revenue vehicles in the active fleet during the fiscal year.
Total miles on active vehicles during the period are only for mileage operated by the active vehicles during the current fiscal
year that are in the revenue fleet at fiscal year end (FYE). The total miles operated include:
•
The actual vehicle miles reported on the Service form (S-10); and
•
The other miles operated during the reporting period such as mileage accumulated in operator training when the
vehicle is not in revenue service, and mileage accumulated moving vehicles between and within maintenance
facilities/garages.
Calculate the total miles by subtracting the odometer/hubodometer readings from the beginning of the fiscal year from those
at the end of the fiscal year.
Average Lifetime Mileage per Active Vehicle
Report the average mileage on the vehicles at the end of the fiscal year.
This value is the average mileage, since the date of manufacture, on active vehicles that are in the active fleet at FYE.
Calculate the average lifetime mileage per active vehicle by dividing the cumulative mileage on the active vehicles at the end
of the fiscal year by the number of active vehicles at the end of the fiscal year.
For rebuilt vehicles, average lifetime mileage does not re-start at the year of rebuild. Average lifetime mileage
always begins with the original date of manufacture.
Calculate cumulative mileage by summing the odometer/hubometer readings, from the date of manufacture through FYE, for
all active vehicles.
Revenue Vehicle Inventory form (A-30) — 173
2013 Urban Reporting Manual
Exhibit 43 — Reporting Total Mileage During Period and Average Lifetime Mileage per Active Vehicle
Example of Working Odometers/Hubometers: A transit agency operates MB service with a fleet of 8 vehicles. The
odometer/hubometer readings for each vehicle and the vehicle status at 2013 FYE are shown below. All buses have the same
vehicle type, fuel type, ownership code, funding source, year of manufacture, manufacturer code, model number and capacity
(seating and standing). How does the transit agency report on the A-30?
Vehicle
Number
1
2
3
4
5
6
7
8
Odometer Reading at 2012
Fiscal Year End (FYE)
35,005
47,410
20,115
140,020
38,732
150,043
40,555
30,080
Odometer Reading at 2013
Fiscal Year End (FYE)
72,188
98,442
25,776
190,290
68,333
155,747
79,676
60,045
Mileage During
2013 Fiscal Year
37,183
51,032
5,661
50,270
29,601
5,704
39,121
29,965
Status at 2013 Fiscal Year
End (FYE)
In revenue operation
In revenue operation
Performing major overhaul
In revenue operation
Performing major overhaul
Emergency contingency vehicle
In revenue operation
Spare used in revenue
operation
Solution: Determine active vehicles at 2013 FYE:
1.
Vehicles 1, 2, 4, 7 and 8 are active vehicles at FYE (includes vehicles currently in revenue operation and temporarily out
of service for routine preventive maintenance). Vehicles 3, 5 and 6 are not part of the active fleet.
2.
Calculate and report average lifetime mileage per active vehicle and total mileage on active vehicles during the period:
Average lifetime mileage per active vehicle (column s): (72,188 + 98,442 + 190,290 + 79,676 + 60,045)/5 vehicles = 100,042
miles
Total mileage on active vehicles during period (column r): (37,183 + 51,032 + 50,270 + 39,121 + 29,965) = 207,571 miles
Exhibit 44 — Reporting Total Mileage During Period and Average Lifetime Mileage per Active Vehicle
Example: Suppose you know average lifetime miles for a fleet and wish to calculate total miles during the period.
Year
2013
2012
Active Vehicles
5
5
Total Miles during the
Period
?
55,555
Average Lifetime Mileage
135,791
123,456
The calculation can be somewhat confusing because miles during the period are a sum: the miles for all 5 vehicles added
together, whereas the lifetime mileage is an average over the 5 vehicles.
On average, 135,791 - 123,456 = 12,335 miles were traveled per vehicle.
Since there are 5 vehicles, 12,335 x 5 = 61,675 total miles were traveled during the period.
Supports Another Mode
Use the Supports Another Mode drop-down menu to indicate that all of the active vehicles are used to provide service on
another mode of service. . Report this only for vehicles that are used to provide service on both modes. Select only one
mode.
If only some of the active vehicles are used for other modes, report the grouped characteristics on two lines (rows). For
example, one grouping of vehicles has twenty vehicles with the same characteristics, except five of the vehicles are used for
both MB and DR mode. Report the vehicles on two lines — one with fifteen vehicles and the other with five vehicles.
You must report a fleet group shared between modes on both A-30 forms for each mode for which it is used. All fields, for
shared vehicles, must be identical on the A-30 forms for each applicable mode.
If you use your buses to provide a bus bridge between rail stations during breakdowns or constructions, these buses are not
reported as supporting the rail mode. Report the service as bus service and report the buses only on the A-30 form for bus.
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2013 Urban Reporting Manual
Delete Vehicle Fleet
Click on the Delete Vehicle Fleet check box to remove a line (or row) of information. You generally remove this information
for vehicles that were preloaded in Internet Reporting from the prior report year, but are no longer in the revenue vehicle
inventory in the current report year.
Line by Line Instructions for Revenue Vehicle Inventory form (A-30)
Complete one form for each mode and type of service (TOS).
Form Level Help: Click on the Help tab at the top of the screen for form level help.
Form Notes: A form note can be attached to any form. Use the Add Form Note link for relevant information to a specific
field, to the entire form or to multiple forms. Click on the Add Form Note link at the top of the screen and enter your note on
the Notes screen. You can review and/or edit a form note from the Notes tab. Do not use the Form Notes feature to answer
issues generated from this form. From the Issues tab use the Add Comments link next to the specific issue.
Saving or Closing the Form: Click on the Save button at the bottom of the screen to save the form. Click on the Close
button at the bottom of the screen to close the form without saving.
Vehicle Fleet Data
Each line represents one vehicle fleet. Group vehicles by vehicle type, ownership, funding source, year of manufacture, year
of rebuild, manufacturer, model number, fuel type, vehicle length, seating capacity and standing capacity. Edit pre-filled
information or enter data using the Add Vehicle Fleet button.
Column a: Number of Vehicles in Total Fleet. This field is pre-filled, unless Add Vehicle Fleet is selected. Review for
accuracy, edit as necessary.
•
Enter the number of revenue vehicles in the total fleet on the transit agency’s property at fiscal year end (FYE).
Include vehicles in storage, emergency contingency vehicles and vehicles awaiting sale.
Column b: Dedicated Fleet. This field is pre-filled, unless Add Vehicle Fleet is selected. Review for accuracy, edit as
necessary.
•
Use the drop-down menu to indicate that the fleet is dedicated, (i.e., used exclusively), for the service. This is
applicable only to purchased transportation (PT) services.
Column c: Vehicle Type. This field is pre-filled, unless Add Vehicle Fleet is selected. Review for accuracy, edit as
necessary.
•
Select only one item for vehicle type from the drop-down menu.
Column d: Ownership. This field is pre-filled, unless Add Vehicle Fleet is selected. Review for accuracy, edit as necessary.
•
Complete the information based on whether the revenue vehicle is owned outright (i.e., the vehicle is an asset) or
whether the vehicle is under a lease at the end of the fiscal year. Select only one item for ownership from the dropdown menu.
Column e: Funding Source. This field is pre-filled, unless Add Vehicle Fleet is selected. Review for accuracy, edit as
necessary. Select only one item for funding source from the drop-down menu.
•
If vehicles were purchased using funds from the Urbanized Area Formula Program (UAF) as well as funds from
other Federal programs and non-Federal sources, report the funding source as Urbanized Area Formula Program
funds (UA).
•
If vehicles were purchased using non-Federal funds from both other public and private sources, report the funding
source as non-Federal public agency funds.
•
If vehicles were not purchased using any funds from Federal and non-Federal public sources, report the funding
source as non-Federal private entity funds.
Column f: Year of Manufacture. This field is pre-filled, unless Add Vehicle Fleet is selected. Review for accuracy, edit as
necessary.
•
Enter the original year of manufacture of the vehicle.
•
Not required for non-dedicated vehicles. Non-dedicated applies only to PT TOS.
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Column g: Year of Rebuild. This field is pre-filled, unless Add Vehicle Fleet is selected. Review for accuracy, edit as
necessary.
•
Enter the year of rebuild for the vehicles, if applicable. This is for work done to vehicles to operate longer at an
acceptable level of reliability.
•
Not required for non-dedicated vehicles. Non-dedicated applies only to purchased transportation PT TOS.
Column h: Manufacturer. This field is pre-filled, unless Add Vehicle Fleet is selected. Review for accuracy, edit as
necessary. Select only one item for the original manufacturer of the vehicle from the drop-down menu.
•
See detailed list included with Manufacturer discussion. Select ZZZ-Other Manufacturers for a manufacturer not
listed in the menu. Enter the description of the manufacturer in the field that appears after selecting ZZZ.
•
Not required for non-dedicated vehicles. Non-dedicated applies only to purchased transportation PT TOS.
•
Manufacturer should be listed as the final builder of the vehicle.
Column i: Model. This field is pre-filled, unless Add Vehicle Fleet is selected. Review for accuracy, edit as necessary.
•
Enter the model number of the vehicle as used by the manufacturer.
•
Do not use any spaces, dashes, or other punctuation in the identification of the model number.
•
It is possible for the model to be a textual name. For example, “SpiritofMobility” would be an acceptable model for a
bus.
•
Not required for non-dedicated vehicles. Non-dedicated applies only to PT TOS.
•
For heavy rail cars, use the most recent edition of Roster of North American Rapid Transit Cars.
•
You are not required to report vehicle model numbers for automobiles and vans used in revenue service, such as
those used for DR and VP services.
Column j: Number of Active Vehicles in Fleet. This field is pre-filled, unless Add Vehicle Fleet is selected. Review for
accuracy, edit as necessary.
•
Enter the number of active vehicles available for revenue service, including spares and vehicles in for scheduled
preventive maintenance and minor repairs. Do not include emergency contingency vehicles.
Column k: Number of ADA Accessible Vehicles. This field is pre-filled, unless Add Vehicle Fleet is selected. Review for
accuracy, edit as necessary.
•
Of the active vehicles, enter the number that are accessible using wheelchair lifts, or using ramps or having low
floors and meet Americans with Disabilities Act of 1990 (ADA) accessibility requirements. Low floor buses are a
type of ramp-equipped vehicle. Low floor buses do not have stairs inside the front or rear doors. They are equipped
usually with a front door accessible ramp and a kneeling feature that permits easier access for persons with mobility
aids or who have difficulty climbing steps or who may use a wheelchair.
Column m: Number of Emergency Contingency Vehicles. This field is pre-filled, unless Add Vehicle Fleet is selected.
Review for accuracy, edit as necessary.
•
Enter the number of inactive vehicles stored and maintained under an FTA approved emergency contingency plan.
•
Not required for non-dedicated vehicles. Non-dedicated applies only to PT TOS.
Column n: Fuel Type. This field is pre-filled, unless Add Vehicle Fleet is selected. Review for accuracy, edit as necessary.
Select only one item for the fuel used to propel revenue vehicles from the drop-down menu.
•
If a vehicle uses more than one type of fuel or a mixture of fuels, select dual fuel (DU). For dual fuel type, all fuels
are from sources external to the vehicle.
•
For hybrid vehicles report only the primary fuel source, such as gasoline or diesel that is used to produce electrical
power to help propel the vehicle. If the “hybrid” vehicle uses batteries charged externally, then report the vehicle as
a dual fuel for fuel type.
•
Using the Add Form Notes link, describe other type of fuel.
Column o: Vehicle Length. This field is pre-filled, unless Add Vehicle Fleet is selected. Review for accuracy, edit as
necessary.
•
Enter the length of the vehicle in feet to the nearest whole foot.
•
Not required for non-dedicated vehicles. Non-dedicated applies only to purchased transportation PT TOS.
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Column p: Seating Capacity. This field is pre-filled, unless Add Vehicle Fleet is selected. Review for accuracy, edit as
necessary.
•
Enter the number of seats on the vehicle.
Column q: Standing Capacity. This field is pre-filled, unless Add Vehicle Fleet is selected. Review for accuracy, edit as
necessary.
•
Enter the number of standing passengers that can be accommodated aboard the vehicle during a normal full load
(non-crush) in accordance with established loading policy, or, in the absence of a policy, the manufacturer’s rated
standing capacity figure. If local policy prohibits standees, enter zero.
•
Not required for non-dedicated vehicles. Non-dedicated applies only to PT TOS.
Column r: Total Miles on Active Vehicles During the Period.
•
Enter the total number of miles that active vehicles have accumulated during the report year. Include only vehicles
that are active at the end of the fiscal year.
•
Not required for non-dedicated vehicles. Non-dedicated applies only to PT TOS.
Column s: Average Lifetime Miles per Active Vehicle. This field is pre-filled, unless Add Vehicle Fleet is selected. Review
for accuracy, edit as necessary.
•
Enter the average lifetime mileage per active vehicle. This is the average mileage since the date of manufacture, on
active vehicles that are in the revenue fleet at fiscal year end (FYE).
•
Not required for non-dedicated vehicles. Non-dedicated applies only to PT TOS.
•
For rebuilt vehicles, average lifetime mileage does not re-start at the year of rebuild. Average lifetime mileage
always begins with the original date of manufacture.
Column t: Supports Another Mode. This field is pre-filled, unless Add Vehicle Fleet is selected. Review for accuracy, edit
as necessary.
•
Use the drop-down menu to indicate that all of the active vehicles are used to support another mode of service.
Select a mode from the menu. A fleet group shared between modes must be indicated on both Revenue Vehicle
Inventory forms (A-30) for each mode for which it is used.
Column u: Delete Vehicle Fleet. Click on the Delete Vehicle Fleet check-box to remove a line of information.
Totals
Column a: Number of Vehicles in Total Fleet. This is an auto-calculated field and cannot be edited. This field displays the
total number of revenue vehicles in the fleet.
Column j: Number of Active Vehicles in Fleet. This is an auto-calculated field and cannot be edited. This field displays the
total number of active revenue vehicles in fleet.
Column k: Number of ADA Accessible Vehicles with Lifts. This is an auto-calculated field and cannot be edited. This field
displays the total number of active revenue vehicles that are lift-equipped or are low floor/ramp-equipped and meet
Americans with Disabilities Act of 1990 (ADA) accessibility requirements.
Column m: Number of Emergency Contingency Vehicles. This is an auto-calculated field and cannot be edited. This field
displays the total number of inactive vehicles stored and maintained under an FTA Emergency Contingency Plan.
Column r: Total Miles on Active Vehicles During the Period. This is an auto-calculated field and cannot be edited. This field
displays the total number of miles that active vehicles have accumulated during the report year.
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Service Module
This module contains two forms:
•
Service form (S-10); and
•
Fixed Guideway Segments form (S-20).
Service form (S-10)
The S-10 form provides data on the transit service supplied by the transit agency and the transit service consumed by
passengers.
This form is required for all transit agencies. Transit agencies complete separate forms for directly operated (DO) and for
purchased transportation (PT) services by mode.
Fixed Guideway Segments form (S-20)
The S-20 form details segments of fixed guideway (FG) and high intensity bus (HIB) facilities in order to determine
directional route miles (DRM) for service operated and for eligibility in FTA Federal funding programs.
Internet reporting generates the data requirements for this form based on the mode of service operated. The data
requirements vary by three modal groupings:
•
MB, CB, and RB modes;
•
TB mode; and
•
All other FG modes.
This form is required for all transit agencies that operate service on FG and HIB facilities. Transit agencies complete
separate forms for DO and PT services by mode. The form is not applicable to DR, DT, JT, PB, and VP modes.
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Service form (S-10)
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180 —Service form (S-10)
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Service form (S-10) — 181
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182 —Service form (S-10)
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Service form (S-10) — 183
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184 —Service form (S-10)
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Overview
You will use the service form (S-10) to report data on the transit service supplied by your agency and transit service
consumed by passengers on the system.
Reporting Requirements and Thresholds
All transit agencies must complete this form. You should complete one form for each mode and type of service (TOS).
When completing this form, use the MB mode for any route deviation or point deviation services operated. Typically,
deviated services are used to comply with the Americans with Disabilities Act of 1990 (ADA) requirements to provide
complementary paratransit service. See discussion in the Identification form (B-10).
What Has Changed from Prior Year
The directional route mile categories for MB, CB, and RB modes have been revised to conform to the new requirements in
MAP-21.
Approach
You should use this form to report data for the revenue vehicles used to provide transit service, including:
•
Vehicle requirements for maximum service;
•
Periods of service;
•
Service supplied (miles and hours);
•
Service consumed (passenger boardings and miles);
•
Days service operated; and
•
Directional route miles (DRM).
You report most data items by four time periods:
•
Average Weekday;
•
Average Saturday;
•
Average Sunday; and
•
Annual total.
You report limited data for weekday time periods: Weekday AM Peak, Weekday Midday, Weekday PM Peak, and Weekday
Other.
The service supplied data are also distinguished by whether they are for rail or non-rail modes. For non-rail modes, reporters
provide vehicle statistics, but for rail service, reporters provide data in terms of both passenger cars and trains.
Consistent with the general NTD reporting requirements, you should report actual, not estimated, data on this form. The
only exceptions are the values you report for PMT and UPT. The sampling requirements for these data items are
discussed later in this section under Passenger Miles Traveled and Unlinked Passenger Trip Data.
Reporting by Time Period
There are three basic time periods — average day schedules (weekday, Saturday or Sunday), peak and off-peak periods for
an average weekday, and annual.
Average Daily Totals
You should report average daily data for an average weekday schedule, an average Saturday schedule, and an average
Sunday schedule.
Average daily data depends on whether services are fixed route or non-fixed route.
•
For scheduled, fixed route services, such as MB, CB. RB and rail modes, the average daily totals are for service
that your agency usually operated, i.e., service operated on typical days. Average daily totals do not include
service operated for one-time or limited events such as day-of-the-game football shuttles, extra holiday shopper
service, or a visit to the city by the President of the United States. They do not include extra service supplied to
186 —Service form (S-10)
2013 Urban Reporting Manual
meet demand, whether associated with a special event or not. They also do not include severe inclement weather
days such as hurricanes and snowstorms.
•
For non-fixed route and non-scheduled services (e.g., DR and VP) the average daily totals cover all days operated
by your agency, typical and atypical.
The average daily data cover the service operated on typical days in accordance with the normal schedule (for fixed
schedule service). Most transit agencies operate different schedules reflecting seasonal variation in demand for service.
Additionally, transit agencies may add or delete service on certain routes during the year. The average daily totals must
account for the seasonal variation in service by taking a weighted average over the course of the year.
A typical day is a day on which your transit agency:
•
Operates its normal, regular schedule;
•
Does not provide extra service to meet demands for special events such as conventions, parades, or public
celebrations; and
•
Does not operate significantly reduced service because of unusually bad weather (e.g., snow storms, hurricanes,
tornadoes, earthquakes) or major public disruptions (e.g., terrorism).
The average daily totals apply to the schedules developed for these days. Often, transit systems operate the Sunday
schedule on holidays that fall on Monday through Saturday. You should include the data for these holidays in the day
schedule that is operated (e.g., Sunday).
You should calculate the average daily totals (weekday, Saturday and Sunday) as the mathematical average for the service
operated on typical days. This is the total service supplied or service consumed data for typical days divided by the number
of typical days.
The following exhibit provides examples illustrating how to compute average daily totals.
Exhibit 45 — Computing Average Daily Data
Example 1: How do I compute the actual vehicle miles for average weekday total for MB?
Solution: You calculate the mathematical average of total actual vehicle miles for typical weekdays.
Typical Weekday
Operation
Total vehicle miles operated
6,993,520
562,330
230
20
Number of days
Average Weekday Total
Atypical Weekday
Operation
Total Days
Operated
250
30,407
Average weekday total = 6,993,520 Actual vehicle miles / 230 days = 30,407
Example 2: How do I compute actual vehicle miles for average weekday total for DR? (Same system as in Example 1)
Solution: You calculate the mathematical average of total actual vehicle miles for total weekdays operated.
Total Days
Operated
Total vehicle miles operated
Number of days
Average Weekday Total
1,567,238
250
6,269
Average weekday total = 1,567,238 Actual vehicle miles / 250 days = 6,249
Average Weekday Time Periods
You use average weekday time periods — Weekday AM Peak period, Weekday Midday period, Weekday PM Peak period
and Weekday Other period —to report data on times service begins and ends and the average number of revenue vehicles
Service form (S-10) — 187
2013 Urban Reporting Manual
(passenger cars and trains) used during typical service for the year for selected modes. You should not report these data
items for TR, DR, FB, JT, DT, and PB services.
In addition to reporting revenue vehicles by average weekday time periods, you must report passenger car revenue miles
and unlinked passenger trips for weekday time periods if the mode is HR, CR, LR, YR, or SR.
Exhibit 46 — Requirements for Weekday Periods
Average Weekday
Data Item Breakdown
by Time Period
Line/Column
Non-Rail
Modes Except
Bus and
Trolleybus
Bus and
Trolleybus
Rail Modes
Except Heavy Rail,
Commuter Rail
and Light Rail
Heavy Rail,
Commuter
Rail and
Light Rail
Time service begins
Line 3, columns e, f and g
No
Yes
Yes
Yes
Time service ends
Line 4, columns e, f and g
No
Yes
Yes
Yes
Vehicles in operation
Line 6, columns e, f, g and h
No
Yes
N/A
N/A
Trains in operation
Line 5, columns e, f, g and h
N/A
N/A
Yes
Yes
Passenger cars in
operation
Line 6, columns e, f, g and h
N/A
N/A
Yes
Yes
Passenger car revenue
miles
Line 12, columns e, f, g and h
N/A
N/A
No
Yes
Unlinked Passenger
Trips
Line 18, columns e, f, g and h
No
No
No
Yes
The average weekday time periods are defined based on the service operated by your transit agency. The number of
vehicles in service is the determining factor for when peak service begins and ends. AM peak begins when the number of
vehicles begins to ramp up in preparation for maximum morning service, and ends when all extra peak vehicles have left
service.
For example:
•
You operate 10 buses in early morning service;
•
You begin sending out extra buses at 0530 up to a peak of 15 buses from 0700 to 0900; and
•
You then start removing buses until you reach the midday level of 12 buses at 1015.
Based on this operation, your AM peak is from 0530 to 1015.
PM peak is determined using the same method. Use the “other” category, as appropriate, to provide information on night
service operating after the PM peak and before the AM peak.
Your fare structure is not relevant to determining peak periods. If you charge higher fares during certain times of day, these
times do not correspond to peak periods as defined in NTD.
You may define a one-way trip of a train as being either “peak” or “off-peak.” As such, it would not be necessary for you to
determine when persons boarded an individual train trip and how you should add them to either “peak” or “off-peak” totals.
Instead, you can define peak service using data for a complete one-way trip of a train.
The following example illustrates how to classify vehicle trips by period:
188 —Service form (S-10)
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Exhibit 47 — Classifying Vehicle Trips by Period
Example: An agency operates light rail (LR) service. The hours of operation for weekdays are from 4:00 AM to 1:00 AM. The
following graph depicts the peak periods for the service:
13
Vehicles in Operation
12
11
10
Other
AM Peak
Midday
PM Peak
9
8
7
6
4
5
6
7
8
9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 0
Time
1
When a trip spans two periods, you may choose which classification is most appropriate.
Trip #
Day of the Week
Trip Departed at
Trip Arrived at
Peak Period
1
Monday
7:00 AM
7:30 AM
Weekday AM Peak
2
Tuesday
8:30 AM
9:00 AM
Weekday AM Peak
3
Wednesday
9:10 AM
9:40 AM
Weekday Other
4
Thursday
4:00 PM
4:30 PM
Weekday PM Peak
5
Friday
6:00 PM
6:30 PM
Weekday PM Peak
6
Monday
11:30 AM
12:00 PM
Weekday Midday
7
Tuesday
7:50 PM
8:20 PM
Weekday Other
8
Wednesday
4:55 AM
5:25 AM
Weekday AM Peak
9
Thursday
9:00 PM
9:30 PM
Weekday Other
10
Friday
6:00 AM
6:30 AM
Weekday AM Peak
Annual Totals
The annual totals are the total service for the year. Therefore, they include data for both typical and atypical days. Annual
totals include:
Scheduled service + Extra service operated for special events - Scheduled service not operated for any reason
Scheduled service may not be operated for reasons such as:
•
Driver and equipment shortages;
•
Breakdowns; and
•
Problems created by severe weather conditions.
The annual total fields equal:
The total number of weekdays, Saturdays, and Sundays of service × the corresponding data for an average weekday,
Saturday and Sunday for typical days + corresponding data for atypical days.
The example below illustrates how to compute annual total data.
Service form (S-10) — 189
2013 Urban Reporting Manual
Exhibit 48 — Computing Annual Total Data
Example 1: How to compute the actual annual vehicle revenue miles and daily averages for MB
Typical
Weekdays
Atypical
Weekdays
Typical
Saturdays
Atypical
Saturdays
Typical
Sundays
Atypical
Sundays
Total VRM
973,483
109,191
84,157
7,288
19,281
3,215
Days
231
23
49
4
50
8
Average VRM
4,214
1,717
386
Solution:
Report total actual vehicle revenue miles operated = sum of first row = 1,196,615
Report revenue miles on average weekday = typical weekday total / number of typical weekdays = 4,214
Report revenue miles on average Saturday = typical Saturday total / number of typical Saturdays = 1,717
Report revenue miles on average Sunday = typical Sunday total = number of typical Sundays = 386
Report days operated: 254 weekdays, 53 Saturdays, 58 Sundays
Example 2: How to compute the actual vehicle revenue miles for annual total and daily averages for DR.
Weekdays
Saturdays
Sundays
Total VRM
348,645
24,628
16,799
Days
254
53
58
Average VRM
1,373
465
290
Solution: Report total actual vehicle revenue miles operated = sum of first row = 390,072
Report revenue miles on average weekday = weekday total / number of weekdays = 1,373
Report revenue miles on average Saturday = Saturday total / number of Saturdays = 465
Report revenue miles on average Sunday = Sunday total / number of Sundays = 290
Report days operated: 254 weekdays, 53 Saturdays, 58 Sundays
Reporting for Rail and Non-Rail
The data for service supplied, the miles and hours of service operated, differ for rail and non-rail modes. Rail mode reporting
captures information on both the passenger cars (the revenue vehicles that carry passengers) and the trains (grouping of
passenger cars that travel as one unit). Typically, rail modes such as HR and LR have two or more cars in a train. Other rail
modes, such as CC and IP have only one car in a train. YR and SR may have only one-car trains, or may have several cars
in each train.
Detailed Instructions
You should report data by mode and TOS. You should complete one form for each directly operated (DO) mode and for
each purchased transportation (PT) mode.
There are reduced reporting requirements for the demand response-taxi mode. Complete only annual total data listed below.
•
Maximum Service Vehicles (Annual Total)
o
VOMS
o
Vehicles available for annual maximum service.
190 —Service form (S-10)
2013 Urban Reporting Manual
•
•
•
Service Supplied (Annual Total)
o
Total VRM
o
Total VRH
Service Consumed (Annual Total)
o
UPT
o
ADA unlinked passenger trips
o
Sponsored service unlinked passenger trips
o
PMT
Service Operated (Days)(Annual Total):
o
Days Operated — days that service was actually operated
o
Days Not Operated Due to Strikes — days that service would normally have operated but was not due
to a transit labor strike
o
Days Not Operated Due to Officially Declared Emergencies — days that service would normally have
operated but was not due to an officially declared emergency.
The following detailed instructions are presented in the order that they appear on the form:
•
Maximum service vehicles;
•
Periods of service;
•
Service supplied;
•
Service consumed;
•
Service operated; and
•
DRM.
Maximum Service Vehicles
You should report the number of revenue vehicles required to meet and available for service requirements as:
•
VOMS; and
•
Vehicles available for annual maximum service.
Vehicles Operated in Annual Maximum Service
You should report the number of VOMS for the current year. When you enter this number of VOMS on the Identification form
(B-10) the number transfers automatically to the S-10 form.
For CR, you should report both passenger cars and the locomotives used to pull them. You should report locomotives
whether or not they are used to carry passengers in revenue service.
Vehicles Operated in Annual Maximum Service (VOMS): The number of revenue vehicles operated to meet the annual
maximum service requirement. This is the revenue vehicle count during the peak season of the year on the week and day
that maximum service is provided. In most instances, this is the number of scheduled vehicles since most transit agencies
have sufficient vehicles to operate the scheduled service. VOMS exclude atypical days or one-time special events.
Vehicles Available for Annual Maximum Service
You should report the number of vehicles available for maximum service for the current year.
For CR, you should report both passenger cars and the locomotives used to pull them. You should report locomotives
whether or not they are used to carry passengers in revenue service.
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Exhibit 49 — Vehicles Operated in Maximum Service and Vehicles Available in Maximum Service
Non-Rail Modes:
Demand Response, Demand Response-Taxi
and Vanpool
All other non-rail modes
VOMS
The largest number of vehicles in revenue
service at any one time during the reporting
year (includes atypical service).
The largest number of scheduled revenue
vehicles in service at any one time during the
reporting year (excludes atypical service).
Vehicles Available for
Annual Maximum Service
The largest number of vehicles in revenue
service at any one time during the reporting
year (includes atypical service) and all spare
vehicles available at this time.
The largest number of scheduled revenue
vehicles in service at any one time during the
reporting year (excludes atypical service) and all
the spare vehicles available to provide both
typical and atypical service.
Rail Modes:
Commuter Rail and Alaska Railroad
All other rail modes
VOMS
The largest number of passenger cars and
locomotives scheduled for service at any one
time during the reporting year (excludes
atypical service). Passenger cars and
locomotives each count as a vehicle in this
case.
The largest number of passenger cars (vehicles)
scheduled for service at any one time during the
reporting year (excluding atypical service).
Vehicles Available for
Annual Maximum Service
The largest number of passenger cars and
locomotives scheduled for service at any one
time during the reporting year (excludes
atypical service). Passenger cars and
locomotives each count as a vehicle in this
case, and the total number of spare
passenger cars and locomotives available
to provide service.
The largest number of passenger cars (vehicles)
scheduled for service at any one time during the
reporting year (excluding atypical service) and all
spare passenger cars available to provide
service.
Vehicles Available for Annual Maximum Service: The number of revenue vehicles available to meet the annual maximum
service requirement. Vehicles available for maximum service include spare vehicles, out of service vehicles and vehicles in
or awaiting maintenance, but exclude vehicles awaiting sale and emergency contingency vehicles.
Spare vehicles are needed to preserve and meet scheduled service. They are held in reserve to replace vehicles that break
down or are involved in accidents. Spare vehicles also allow routine vehicle maintenance to be performed during the day
when service is being operated.
Emergency contingency vehicles are inactive revenue vehicles that have reached their useful life and would normally be
disposed of. However, FTA allows your transit agency to retain the vehicles in the event of energy or local emergencies
(floods, earthquakes, etc.) if they are in an FTA approved emergency contingency plan.
Unless there were changes in the vehicle inventory during the report year, the number of vehicles available for maximum
service should be consistent with the active revenue vehicles that you report on the Revenue Vehicle Inventory form (A-30).
The exhibit below illustrates the difference between VOMS and vehicles available for maximum service.
The following exhibit illustrates the difference between trains in operation and passenger cars in operation.
192 —Service form (S-10)
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Exhibit 50 — Trains in Operation and Passenger Cars in Operation
Rail Modes:
Commuter Rail and Alaska Railroad
All other rail modes
Trains in Operation
The largest number of locomotive/passenger
car combinations scheduled to provide
service on the average weekday/Saturday or
Sunday Schedule (excludes atypical service)
Example: One locomotive may pull three
passenger cars and you should report this
as one train.
The largest number of single passenger cars or set
of adjoining passenger cars scheduled for service
on the average weekday/Saturday or Sunday
Schedule (excludes atypical service). Example:
Three adjoining passenger cars would be one train
and one passenger car with no adjoining cars would
also be considered one train. If your transit agency
operates only one passenger car at a time (single
car trains), this number will be the same as
passenger cars in operation.
The largest number of passenger cars
(excluding locomotives) scheduled for
service on the average weekday/Saturday or
Sunday
Schedule
(excludes
atypical
service). If your transit agency operates only
one passenger car at a time (single car
trains), this number will be the same as
trains in operation.
The largest number of passenger cars scheduled
for the average weekday/Saturday or Sunday
Schedule (excludes atypical service). If your transit
agency operates only one passenger car at a time
(single car trains), this number will be the same as
trains in operation.
Passenger
Operation
Cars
in
Periods of Service
You report service by the following time periods:
•
Average Weekday Schedule (Whole day, Weekday AM peak, Week Midday and Weekday PM peak);
•
Average Saturday Schedule (Whole day); and
•
Average Sunday Schedule (Whole day).
You cannot report time period data for VP or DT service.
Time Service Begins
Report the beginning time for service on an average weekday by Weekday AM Peak period, Weekday Midday period,
Weekday PM Peak period, and for the day. The beginning time for the day is defined as the time when the first revenue
service vehicle leaves the garage or point of dispatch. Determine the peak periods on the basis of the number of vehicles in
service, as described in Exhibit 47.
Report the beginning time (time service begins) for service on an average Saturday schedule and on an average Sunday
schedule. Use 2400-hour time (e.g., 2:00 PM = 1400).
Report the normal periods of service for a continuous day of operation. For example, if service begins at 4:45 AM and the
last service of the day ends at 2:00 AM the following day, report the periods of service for an average weekday as 0445 and
0200.
If you operate 24-hour service, you should report beginning and ending times of 0000 and 2359.
For TR, DR, FB, JT, and PB services, you should complete only the average weekday, Saturday and Sunday columns.
Time Service Ends
Report the ending times for service on an average weekday by Weekday AM Peak period, Weekday Midday period,
Weekday PM Peak period and for the day. The ending time for the day is defined as the time when the last revenue service
vehicle returns to the garage or point of dispatch.
Report the ending times (time service ends) for service on an average Saturday and on an average Sunday. Use 2400-hour
time (e.g., 2:00 PM = 1400).
Report the normal periods of service for a continuous day of operation. For example, if AM peak service begins at 4:45 AM
and the last service of the day ends at 2:00 AM the following day, report the periods of service for an average weekday as
0445 and 0200.
For TR, DR, FB, JT, and PB services, you should complete only the average weekday, Saturday and Sunday columns.
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If you operate the same number of vehicles all day, you do not have peak service. Suppose your day starts at 0600 and
ends at 1800. Enter 0600 as the time AM peak service begins, 1800 as the time PM peak service ends, and leave AM peak
end, both midday fields, and PM peak beginning blank. Enter the number of vehicles operated for AM peak, Midday, and PM
peak. Attach a form note to explain that you have no peak service.
Service Supplied
This section first provides a general discussion of the concepts relevant for reporting service supplied data. Detailed
instructions for reporting service supplied data follow in the sections for rail and non-rail modes since they vary depending on
whether the mode is a rail mode or a non-rail mode.
Key Service Supplied Concepts
Understanding the measures of service supplied and their components (e.g., deadhead, layover/recovery) will help you
determine the appropriate category of vehicle miles and hours for reporting, including:
•
Revenue service;
•
Deadhead;
•
Total service;
•
Determining revenue and total service statistics; and
•
Scheduled and actual service.
Revenue Service
Revenue service is when your transit vehicle is providing public transportation and is available to carry passengers. Revenue
service excludes non-public transportation activities such as exclusive school bus service and charter service. Vehicles
operated in fare free service are considered in revenue service.
You measure revenue service in terms of revenue hours and revenue miles. For non-rail services, the service measures are
VRH and VRM. For rail services, there are two different types of measures — train revenue hours (miles) and passenger car
revenue hours (miles).;
Revenue hours and miles for conventionally scheduled services, comprise two elements:
•
Running time; and
•
Layover/recovery time.
Running time is the time it takes your transit vehicle to travel from the beginning to the end of the transit route. Your agency’s
passenger timetable typically shows the running times for all trips operated by your agency unless you operate very frequent
(e.g., buses every 5 minutes) service.
The layover/recovery time typically is scheduled at the end of each trip and usually ranges from 10 to 20 percent of the
running time. The time is scheduled to provide the transit operator a rest break and to provide an opportunity to get the
transit service back on schedule if it was running late on the last trip.
For DR service, the definition of revenue service is slightly different than that for conventionally scheduled service. Revenue
time includes all travel time from the point of the first passenger pick-up to the last passenger drop-off, as long as the vehicle
does not return to the dispatching point.
For DT service, revenue service is only the time spent carrying passengers.
Deadhead
Deadhead is the mileage and operating time needed to move your transit vehicle before revenue service begins and after
revenue service ends. When transit vehicles are deadheading, they operate closed-door and do not carry passengers.
Deadhead in fixed route services can involve travel between:
•
The garage and the beginning of a route;
•
The end of one route and the start of a second route; or
•
The end of a route and the garage.
Note that deadhead for modes like bus (MB) includes mileage and time when your vehicle is not advertised as available for
the general public, but is traveling to its first publicly advertised stop from the garage or to the garage from the last publicly
advertised stop. For a vehicle to be considered in revenue service there must be a marked stop which is advertised in your
schedules and an indication on your bus (e.g., head sign, window board) that it is in revenue service.
194 —Service form (S-10)
2013 Urban Reporting Manual
For non-fixed route services (DR, VP), deadheading can involve travel between:
•
The garage and the dispatching point;
•
The garage and the first passenger pick-up;
•
The last passenger drop-off and the dispatching point;
•
The last passenger drop-off and the garage; or
•
The dispatching point and the garage.
Deadhead varies among non-scheduled, non-fixed route services:
•
DR services typically operate some deadhead mileage and time.
•
VP services rarely operate deadhead time and mileage because typically vanpool vehicles start and end at the
homes of drivers which are the first passenger pick-up points and last passenger drop-off points.
•
For DT services, while taxicab providers may operate some deadhead, NTD collects only revenue service miles
and hours. Taxicab service is typically paid for a passenger trip from origin to destination (for the revenue part of the
trip).
Deadhead does not include vehicle travel during other times when vehicles are not available to the general public. Examples
include non-public transportation activities such as charter or exclusive school bus service and internal transit activities such
as operator training and moving vehicles between maintenance or operations facilities.
Deadheading also does not cover fueling operations. Some transit system do not have fueling facilities at their
maintenance facilities or parking lots and may have their drivers fuel their vehicles on the way back to the garage after they
have completed their day’s work. You should not include the time that the drivers spend fueling their vehicles as part of
deadhead time (hours).
Total Service
Total service covers the time from when your transit vehicle starts (pull-out time) from a garage to go into revenue service to
the time it returns to the garage (pull-in time) after completing its revenue service. Since total service covers the time
between pull-out and pull-in, it therefore includes both deadhead and revenue service.
You measure total service in terms of hours and miles. For non-rail services, the service measures are vehicle hours and
vehicle miles. For rail services, there are two types of measures: train hours (miles) and passenger car hours (miles).
Determining Revenue and Total Service Statistics
You can calculate revenue and total service hours (miles) by examining the schedule for each of your agency’s revenue
vehicles, commonly known as a vehicle block. The example below illustrates how to calculate the vehicle revenue hours
(miles) and vehicle hours (miles) for a bus vehicle block.
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Exhibit 51 — Calculating Vehicle Revenue and Vehicle Hours and Miles for Peak Periods
Example: How do I compute vehicle revenue and vehicle hours and miles for a morning rush hour trip?
Starting Location
Ending Location
Start
Time
End Time
Time
(Min)
Dist.
(Miles)
Activity
Garage
Route 22 suburban end
6:30 AM
6:35 AM
5
2.0
Deadhead time
Route 22 suburban end
Route 22 downtown end
6:35 AM
7:25 AM
50
15.3
Running end time
Route 22 downtown end
Route 22 downtown end
7:25 AM
7:35 AM
10
0.0
Layover/recovery time
Route 22 downtown end
Route 22 suburban end
7:35 AM
8:25 AM
50
15.3
Running time
Route 22 suburban end
Garage
8:25 AM
8:30 AM
5
2.0
Deadhead time
Solution:
Vehicle revenue hours / miles = running time plus layover / recovery time
VRH = (50 + 10 + 50) / 60 = 110 / 60 = 1.83
VRM = 15.3 + 15.3 = 30.6
Vehicle hours / miles = running time plus layover / recovery time plus deadhead time
Vehicle hours = (5 + 50 + 10 + 50 + 5) / 60 = 120 / 60 = 2.0
Vehicle miles = 2.0 + 15.3 + 15.3 + 2.0 = 34.6
Scheduled and Actual Service
Scheduled service refers to the service that your agency planned to operate. Generally, this service is detailed in internal
agency documents and provided to the users in public timetables.
Depending on the mode, you should report different scheduled statistics. For scheduled, non-rail services, the service
measure is scheduled vehicle revenue miles. For rail services, the service measure is scheduled passenger car revenue
miles. You should report scheduled service statistics only for scheduled services and therefore, you should not report for DR,
VP, JT, and PB services.
Actual service refers to the service that your transit agency operated during the reporting period. The amount of actual
service usually is very close to the amount of scheduled service. The difference between actual and scheduled service is
due to two types of operating changes:
•
Missed service that occurred because of shortages of operators and revenue vehicles, vehicle breakdowns,
weather related cancellations of service, and other service interruptions; and
•
Added service operated as needed to meet the expected high ridership for special events such as fairs, parades,
and civic celebrations. Note that this added service should be reported in the annual total, but not the daily average.
Except for scheduled vehicle revenue miles (non-rail) and scheduled passenger car revenue miles, you must report actual
service data in the service supplied portion of this form.
Service Supplied (Non-Rail Modes) Instructions
The reporting requirements for service supplied data vary by the two types of service operated:
•
Scheduled fixed route: TR, MB, CB, RB, FB, JT, PB, and TB; and
•
Non-scheduled, non-fixed route services: DR, DT and VP
Scheduled Fixed Route Services
For scheduled, fixed route services (TR, MB, CB, RB, FB, JT, PB, and TB), service supplied data for the average daily
schedules cover the service typically (or commonly) operated by your transit agency. The average daily schedule values do
not include:
196 —Service form (S-10)
2013 Urban Reporting Manual
•
Service operated by your transit agency for one-time or limited events such as day of the game football shuttles or a
visit to the city by the President of the United States; or
•
Extra service operated in addition to the service public timetable by your transit agency to meet anticipated higher
demand for limited season travel such as holiday shopping or county fairs.
Report service supplied data for the average day schedules (weekday, Saturday and Sunday) and for the annual total.
Vehicles in Operation
Report the vehicles in operation for service that is typically operated by your transit agency. These are the maximum number
of vehicles necessary to actually operate service excluding atypical days.
In addition to average daily schedule data, for MB and TB, report vehicles in operation for the Weekday AM Peak, Weekday
Midday, weekday PM Peak, and Weekday Other time periods.
Actual Vehicle Miles and Hours, Actual Vehicle Revenue Miles and Hours, Deadhead Miles and Hours
Report average daily schedule and annual total data for actual vehicle miles, actual vehicle hours, VRM and VRH. Actual
vehicle revenue miles and hours are when the service is available to the general public. These are the miles and hours
traveled by vehicles in carrying passengers, plus layover/recovery time. It does not include the miles and hours for items
such as deadhead, charter services, school bus service, operator training or maintenance testing.
The following exhibit illustrates how to report hours and miles for a vehicle in fixed route service.
Exhibit 52 — Accounting for Miles and Hours for Bus Service
Activity
Actual Vehicle
Hours Miles
Vehicle Revenue
Hours
Miles
Bus travels (deadheads) from dispatching point to start of route.
Yes
Yes
No
No
Bus travels its route in scheduled revenue operation. Passengers board the vehicle.
Yes
Yes
Yes
Yes
Bus travels its route in scheduled revenue operation. No passengers board the vehicle.
Yes
Yes
Yes
Yes
Bus arrives at the end of the route, lays over. Passengers can board during layover.
Yes
N/A
Yes
N/A
Bus arrives at the end of the route, lays over. Passengers cannot board during layover.
Yes
N/A
Yes
N/A
Bus arrives at the end of the route, goes out of service. Resumes service in PM peak.
No
No
No
No
Bus arrives at the end of the route, travels (deadheads) and parks at storage lot.
Yes
Yes
No
No
Bus arrives at the end of the route, travels (deadheads) to another route to operate a
scheduled trip. Passengers cannot board during deadhead.
Yes
Yes
No
No
Bus arrives at the end of the route, travels (deadheads) to the dispatching point.
Yes
Yes
No
No
From the garage the bus travels to another maintenance facility to perform routine
maintenance.
No
No
No
No
Due to a collision with another vehicle, the trip is terminated and the bus travels to a
maintenance facility.
Yes
Yes
No
No
Bus travels from start to end of a route for training. Vehicle is not in service and does not
board passengers.
No
No
No
No
The driver fuels the vehicle at a gas station.
No
N/A
No
N/A
The S-10 form automatically calculates deadhead miles (line 12a) and deadhead hours (line 15a) based on the data you
reported for actual vehicle miles, actual vehicle hours, VRM and VRH. The automatic calculations are made as follows:
•
Deadhead miles (line 12a) are calculated as total actual vehicle miles (line 11) minus total actual vehicle revenue
miles (line 12) by column; and
•
Deadhead hours (line 15a) are calculated as total actual vehicle hours (line 14) minus total actual vehicle revenue
hours (line 15) by column.
These calculations are provided to help you judge the reasonableness of the data that you are reporting for the average day
schedules and for the annual totals.
Service form (S-10) — 197
2013 Urban Reporting Manual
Scheduled Vehicle Revenue Miles
Report scheduled vehicle revenue miles directly from your schedules, excluding any service interruptions or special
additional services. Average weekday schedule data are the sum of the scheduled service offered during all time segments
of a typical weekday.
Charter Service and School Bus Hours
Report charter service hours and school bus hours. Charter and school bus service are not open to the general public, but
serve a select group.
School bus service means the exclusive use of vehicles for carrying students. It does not mean additional services (school
trippers) that your transit agency may operate on an existing route to meet the demands of traveling students. You should
report school trippers as part of revenue service.
Most transit agencies operate no or very limited charter and school bus service.
Modes Using Ferryboat Service
The reporting of FB service has unique reporting requirements when other transportation modes also utilize the FB service.
These other transportation modes may be other public transit modes such as VP and MB, or they may be private vehicles
such as automobiles.
The following rules apply:
•
Vehicle miles traveled on the ferryboat should be reported only for FB mode, not for the other mode (e.g. MB) that
rides it; and
•
Vehicle hours elapsed on the ferryboat should be reported in other modes like layover time, i.e. as revenue service.
Non-Scheduled Non-Fixed Route Services
In the following, reporting instructions are given for three types of non-scheduled services:
•
DR;
•
DT; and
•
VP.
The reporting of average daily totals is different for DR, DT, and VP than it is for scheduled, fixed route services. For DR and
VP services (non-fixed route, non-scheduled), the average daily totals cover all days operated — typical and atypical. For
DT, report all days operated — typical and atypical — only for the annual total.
Vehicles in Operation
Report the vehicles in operation for service that your transit agency operated. These are the maximum number of vehicles
necessary to actually operate the DR, DT, or VP service.
Actual Vehicle Miles and Hours, Actual Vehicle Revenue Miles and Hours, Deadhead Miles and Hours
Report average daily and annual total data for actual vehicle miles, actual vehicle hours, VRM and VRH. This is when the
service is available to the general public. For DR service, VRM and VRH include all travel and time from the point of the
first passenger pick-up to the last passenger drop-off, as long as the vehicle does not return to the dispatching point. In
addition, VRM and VRH include the distance and time to pick-up the next passenger. Thus, actual vehicle miles and hours
are usually only slightly larger than actual VRM and VRH.
For DT service, you report only annual totals for VRM and VRH. For DT services, while taxicab providers may operate some
deadhead, NTD collects only revenue service miles and hours. Taxicab service is typically paid for a passenger trip from
origin to destination (for the revenue part of the trip).
198 —Service form (S-10)
2013 Urban Reporting Manual
Exhibit 53 below illustrates how to report hours and miles for a vehicle in DR and DT service.
Exhibit 53 — Accounting for Miles and Hours for Demand Response Service
Activity
Actual Vehicle
Hours Miles
Vehicle Revenue
Hours
Miles
Vehicle idles at the dispatching point.
No
N/A
No
N/A
Vehicle departs dispatching point to pick-up a passenger.
Yes
Yes
No
No
Vehicle waits for a passenger at the pick-up point.
Yes
N/A
Yes
N/A
After a passenger drop-off, the vehicle departs to pick-up another passenger with no
passengers on-board.
Yes
Yes
Yes
Yes
After a passenger drop-off, the driver travels to a restaurant for lunch.
Yes
Yes
No
No
The driver eats his lunch at a restaurant.
No
N/A
No
N/A
Vehicle transports passengers from a community center to a shopping mall.
Yes
Yes
Yes
Yes
Vehicle returns to the dispatching point with no passengers on-board.
Yes
Yes
No
No
Vehicle waits at the dispatching point before returning to shopping mall.
No
N/A
No
N/A
Vehicle waits at the shopping mall until it is time to bring passengers back to the
community center.
Yes
N/A
Yes
N/A
The driver fuels the vehicle at a gas station.
No
N/A
No
N/A
For VP, in most cases the driver is considered a passenger since he also is traveling to destination for work or other trip
purpose. Since the driver is a passenger, you report the travel from the driver’s home to the first passenger pick-up and the
travel from the last passenger drop-off in VRM and VRH.
For VP do not report travel to or from a maintenance facility, and do not report the driver’s personal use of the vehicle in
vehicle miles and hours.
Therefore, for vanpool services, in most cases, no deadhead hours or miles are operated and reported because: 1) the
drivers are also passengers and 2) most vanpool vehicles are stored at the homes of passenger drivers. Since no deadhead
hours or miles are operated, the following relationships will occur:
•
Total Actual Vehicle Miles = Total Actual Vehicle Revenue Miles; and
•
Total Actual Vehicle Hours = Total Actual Vehicle Revenue Hours.
The S-10 form automatically calculates deadhead miles (line 12a) and deadhead hours (line 15a) based on the data you
reported for actual vehicle miles, actual vehicle hours, VRM and VRH. The automatic calculations are made as follows:
•
Deadhead miles (line 12a) are calculated as total actual vehicle miles (line 11) minus total actual vehicle revenue
miles (line 12) by column; and
•
Deadhead hours (line 15a) are calculated as total actual vehicle hours (line 14) minus total actual vehicle revenue
hours (line 15) by column.
These calculations are provided to help you judge the reasonableness of the data that you are reporting for the average day
schedules and for the annual totals.
Scheduled Vehicle Revenue Miles
You do not report these data because DR, DT and VP are non-scheduled services.
Charter Service and School Bus Hours
Report charter service hours and school bus hours operated for DR and VP mode. Charter and school bus service are not
open to the general public, but serve a select group.
School bus service means the exclusive use of vehicles for carrying students. It does not mean additional services (school
trippers) that your transit agency may operate on an existing route to meet the demands of traveling students. Report these
added school trippers as part of revenue service.
Service form (S-10) — 199
2013 Urban Reporting Manual
Transit agencies rarely operate charter or school bus service using the DR, DT or VP modes.
Service Supplied (Rail Modes) Instructions
Reporting for rail modes requires separate data for trains and for the passenger cars of each train. A train is simply a group
of passenger cars that move as one unit. For CR mode, a train includes the locomotive that pulls the passenger cars even
though the locomotive may or may not carry passengers. For some rail modes, such as HR and LR, a train consists of one
or more passenger cars. For other rail modes, there may be only one car per train, such as CC, or IP.
You must report service supplied data for average schedule days (weekday, Saturday and Sunday) and for the annual total.
In addition, for HR, LR, CR, YR, and SR, you must report average weekday schedule data by time period for the following
items:
•
Passenger car revenue miles; and
•
Unlinked passenger trips.
Trains and Passenger Cars in Operation
Report the number of trains in operation and passenger cars in operation for service that your transit agency typically
operated. These are the maximum number of trains and passenger cars necessary to actual operate service excluding
atypical days. In addition to average daily data, report vehicles in operation for the weekday AM peak, midday, PM peak, and
other time periods.
Actual Train and Passenger Car Miles and Hours, Actual Train and Passenger Car Revenue Miles and
Hours, Train and Passenger Car Deadhead Miles and Hours
Report actual train miles, actual train hours, actual train revenue miles and actual train revenue hours; and actual passenger
car miles, actual passenger car revenue miles, actual passenger car hours and actual passenger car revenue hours. For CR
mode, do not include locomotive miles when reporting passenger car miles and hours.
Examples of how these statistics are computed are shown in the following exhibit.
200 —Service form (S-10)
2013 Urban Reporting Manual
Exhibit 54 — Calculating Actual Train and Passenger Car Statistics
Example: A commuter rail (CR) train makes one round trip in the morning. The train consists of one locomotive and six passenger
cars.
Starting Location
Ending Location
Start Time
End Time
Time
Distance
(Minutes) (Miles)
Activity
Maintenance facility
Line A suburban end
5:30 AM
5:40 AM
10
3.0
Deadhead time
Line A Suburban end
Line A downtown end
5:40 AM
7:00 AM
80
32.6
Running time
Line A downtown end
Line A downtown end
7:00 AM
7:20 AM
20
0.0
Layover/recovery time
Line A downtown end
Line A suburban end
7:20 AM
8:40 AM
80
32.6
Running time
Line A suburban end
Maintenance facility
8:40 AM
8:50 AM
10
3.0
Deadhead time
Train miles / hours = Deadhead time + Running time + Layover / recovery time
Train miles = 3.0 + 32.6 + 32.6 + 3.0 = 71.2
Train hours = (10 + 80 + 20 + 80 + 10) / 60 = 200 / 60 = 3.3
Train revenue miles / hours = Running time + Layover / recovery time
Train revenue miles = 32.6 + 32.6 = 65.2
Train revenue hours = (80 + 20 + 80) / 60 = 180 / 60 = 3.0
Passenger car miles / hours = (Deadhead time + Running time + Layover / recovery time) x Number of passenger cars
Passenger car miles = (3.0 + 32.6 + 32.6 +3.0) x 6 = 71.2 X 6 = 427.2
Passenger car hours = [(10 + 80 + 20 + 80 + 10) X 6] / 60 = [200 X 6] / 60 = 1,200 / 60 = 20.0
Passenger car revenue miles / hours = (Running time + Layover / recovery time) x Number of passenger cars
Passenger car revenue miles = (32.6 + 32.6) x 6 = 65.2 x 6 = 391.2
Passenger car revenue hours = [(80 + 20 + 80) x 6] / 60 = [180 x 6] / 60 = 1,080 / 60 = 18.0
The S-10 form automatically calculates train and passenger car deadhead miles and deadhead hours based on the data you
reported for actual miles, actual revenue miles, actual hours and actual revenue hours. The automatic calculations are made
as follows:
•
Train deadhead miles (line 9a) are calculated as total actual train miles (line 07) minus total actual train revenue
miles (line 09) by column;
•
Train deadhead hours (line 10a) are calculated as total actual train hours (line 08) minus total actual train revenue
hours (line 10) by column;
•
Passenger car deadhead miles (line 12a) are calculated as total actual passenger car miles (line 11) minus total
actual passenger car revenue miles (line 12) by column; and
•
Passenger car deadhead hours (line 15a) are calculated as total actual passenger car hours (line 14) minus total
actual passenger car revenue hours (line 15) by column.
These calculations are provided to help you judge the reasonableness of the data that you are reporting for the average day
schedules and for the annual totals.
Scheduled Passenger Car Revenue Miles
Report scheduled passenger car revenue miles directly from your schedules, excluding any service interruptions or special
additional services. Average weekday schedule data are the sum of the scheduled service offered during all time segments
of a typical weekday.
The following exhibit illustrates how to report hours and miles for rail modes.
Service form (S-10) — 201
2013 Urban Reporting Manual
Exhibit 55 — Accounting for Miles and Hours for Rail Service
Activity
Train travels (deadheads) from the yard to the station where the trip is scheduled to start.
Actual Vehicle
Hours
Miles
Yes
Yes
Vehicle Revenue
Hours
Miles
No
No
Train departs from the yard and travels to an adjacent station. The transit agency states
that the train is in revenue service, however, no passengers are allowed to board.
Yes
Yes
No
No
Train travels from beginning to end of the line carrying passengers.
Yes
Yes
Yes
Yes
Train completes trip, lays over. Passengers cannot board during layover.
Yes
N/A
Yes
N/A
Train completes trip, lays over at a maintenance facility adjacent to the station.
Passengers cannot board during layover.
Yes
Yes
Yes
Yes
Train completes trip, lays over. Passengers can board during layover.
Yes
N/A
Yes
N/A
Train departs from station A, breaks down at station B. Trip is terminated. Passengers
alight at station B to board the next train. Trip operated from station A to station B.
Yes
Yes
Yes
Yes
Trip not operated beyond station B.
No
No
No
No
Train departs from station A, short turns at station B. Passengers alight at station B and
board the next train. Trip operated from station A to station B.
Yes
Yes
Yes
Yes
Trip not operated beyond station B.
No
No
No
No
Train departs from station A, is expressed from station B to the end of the line.
Passengers on-board can only alight at Station B or at end station. Trip operated from
station A to station B.
Yes
Yes
Yes
Yes
Trip operated non-stop beyond station B.
Yes
Yes
Yes
Yes
Train completes a trip, deadheads to the end of another line to make another trip.
Yes
Yes
No
No
In the transition from AM to midday service, the train is put out of service at the end
station. Service will resume for PM peak.
No
N/A
No
N/A
In the transition from AM to midday service, the train travels (deadheads) to the yard.
Yes
Yes
No
No
Train travels for operators’ training and no passengers are allowed to board.
No
No
No
No
Train travels from the yard to a maintenance facility.
No
No
No
No
Service Consumed
Service consumed data are measures of the use of public transportation. NTD collects data on two measures:
•
UPT; and
•
PMT.
In addition, for DR and DT service, NTD collects two types of UPT:
•
Americans with Disabilities Act of 1990 (ADA) related unlinked passenger trips (line 19) are complementary
paratransit trips provided under the ADA requirements; and
•
Sponsored service unlinked passenger trips (line 19a) are paid in whole or part by a third party who, in many cases,
handles all or part of the trip arrangements.
You report only annual totals for these two special types of UPT. Counts of these two special types are included in the
annual total you reported for unlinked passenger trips (line 18). Trips may be categorized as either ADA or sponsored, but
not both.
For FB mode, there are also unique NTD reporting requirements for reporting UPT and PMT when other transportation
modes also utilize the FB service. These other transportation modes may be other public transit modes such as VP and MB,
or they may be private vehicles such as automobiles.
The following rules apply for FB mode reporting:
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•
Report UPT for each occupant of the vehicle including the driver, whether the other transportation mode is public
transit or private vehicles; and
•
Report PMT only once, because the other public transit or private vehicle is not moving under its own power aboard
the FB.
See also discussion above for reporting vehicle miles and hours, and in the F-10 form for reporting passenger fares and FB
ferriage fees.
Unlike all other data reported in the NTD, you may estimate PMT and UPT based on a sampling procedure. Acceptable
sampling procedures and requirements are discussed at the end of this section.
Unlinked Passenger Trips
You should report UPT (boardings) for the average weekday schedule, average Saturday schedule, average Sunday
schedule, and the annual total. UPT are the number of passengers who board your public transportation vehicles. You
should count passengers each time they board vehicles no matter how many vehicles they use to travel from their origin to
their destination.
For DT mode, report only the annual total UPT.
For DR and DT modes, you should report personal care attendants and companions as long as they are not employees of
your transit agency. You should report attendants and companions regardless of whether or not they are fare-paying
passengers.
For YR, SR, HR, LR and CR, you should report average weekday unlinked passenger trips by time period (Weekday AM
Peak, Weekday Midday, Weekday PM Peak, and Weekday Other).
If your transit agency operates complementary paratransit trips, you should report the number of the unlinked trips
attributable to ADA requirements (including personal care attendants and companions) under the DR and DT modes. These
UPT should be less than or equal to the UPT you reported for the DR or DT service (line 18).
If your transit agency carries sponsored service trips, you should report the number of the sponsored service unlinked trips
under the DR mode. These UPT should be less than or equal to the UPT you reported for the DR or DT service (line 18).
The categories of ADA-related and sponsored service are exclusive. These kinds of trips cannot overlap. Each is a
separate subset of the unlinked passenger trips. The total of ADA-related unlinked passenger trips and sponsored service
unlinked passenger trips cannot exceed the total unlinked passenger trips.
For VP service, commonly you should report the driver as a passenger since most drivers are not paid wages and they are
commuting to work. However, in rare instances, you should consider the drivers employees because, like other transit
operators, they are paid wages and are not traveling for personal reasons (e.g., work commuting, shopping).
For rail systems, you should not confuse UPT with counts of passengers entering the systems through fare turnstiles. Often,
rail systems allow passengers to transfer from one train to another train without exiting the rail system. In these systems, the
turnstile counts always will be less than unlinked passenger counts because the turnstile counts do not include counts of
boarding transfer passengers.
Passenger Miles Traveled Data
Report PMT for an average weekday schedule, average Saturday schedule, average Sunday schedule, and the annual total.
PMT is the other measure of service consumed by transit users. This measure tracks the distance traveled by each
passenger, i.e., the distance from the time he boards until he gets off the vehicle. PMT are the cumulative sum of the
distances ridden by each passenger.
For DT mode, report only the annual total PMT.
Sampling Procedures and Requirements for Passenger Miles Traveled and Unlinked Passenger Trips
The counting of all unlinked passenger trips or all passenger miles traveled consumed is called a 100 percent count. If
available and reliable, you must report 100 percent counts of either or both PMT and UPT. This requirement applies to
all modes and types of service.
If 100 percent counts are not available and reliable, you must estimate and report the PMT and UPT values based on
statistical sampling. The Federal Transit Administration (FTA) requirements for all modes and types of service are:
•
Minimum confidence of 95 percent; and
•
Minimum precision level of ±10 percent.
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The required precision level (±10 percent) applies to the annual total, not the average day schedule estimates that you
report. The precision levels for the average day schedule estimates will be greater than ±10 percent if the sample size for the
annual count was designed to meet ±10 percent exactly.
PMT and UPT are important NTD data items. The accuracy of the reported PMT and UPT must be certified in the Chief
Executive Officer (CEO) Certification.
The 100 percent count method and sampling requirements and procedures are discussed below.
100 Percent Count of Unlinked Passenger Trips and Passenger Miles Traveled
A 100 percent count of UPT involves counting passengers each time they board a vehicle. As part of this count, the distance
traveled by each passenger may also recorded to produce a 100 percent count of PMT. These two types of 100 percent
counts are generally applicable to smaller systems, but their use is not precluded by a system’s size. If 100 percent counts
are available and reliable for either UPT or PMT, you must report them.
Your transit agency may try to do a 100 percent count and may miss some of the vehicle trips because of personnel
problems or equipment failures. If these vehicle trips are two percent or less of the total, then you should factor up the data
to account for the missing percentage. If the missed vehicle trips are more than two percent of the total, then you must have
a qualified statistician approve the methodology for factoring the data to account for the missing percentage.
Passenger Miles Traveled Sampling
Your transit agency may use any data sampling technique, by mode and TOS, which meets the 95 percent confidence and
±10 percent precision levels. Your transit agency may use different sampling techniques for each mode/TOS combination.
To assist transit agencies, FTA has developed acceptable PMT and UPT sampling procedures for all modes. Your transit
agency may also use any other procedure (alternative technique) that meets FTA requirements.
If your transit agency samples, you must follow the sampling technique exactly. You may choose to oversample your data,
provided that the oversampling is selected randomly from all vehicle runs operated. However, you may not in any case
collect a smaller sample than is prescribed by the sampling plan. You should not change: 1) the prescribed number of trips in
the sample except to randomly oversample or 2) the approach for selecting trips that comprise the sample.
The following items are discussed below:
•
FTA approved sampling techniques;
•
Alternative sampling techniques;
•
Automatic Passenger Counters;
•
Sampling for PT service;
•
Sampling cycles — mandatory sampling years; and
•
CEO certification of sampling techniques and data.
FTA Approved Sampling Techniques
There are three approved sampling techniques described in circulars that provide definitions, sampling procedures, data
recording procedures, annual report compilation and sample selection information:
1.
National Transit Database Sampling Manual. FTA issued this manual in 2009 to help transit agencies prepare
sampling plans that are tailored to their operating environment. The manual covers the development of sampling
plans for all modes. If data are not available for a particular mode, default sampling plans are provided. If data are
available, then customized sampling plans can be developed using downloadable templates.
The Sampling manual can be downloaded from the NTD Program website
(www.ntdprogram.gov/ntdprogram/sampling.htm/ntdprogram/sampling.htm).
You do not need to get approval from FTA nor from a qualified statistician to use the approaches outline in the
manual unless you are using APC’s to collect your data—in which case the usual APC approval requirements
apply.
2.
FTA C 2710.1A Sampling Techniques for Obtaining Fixed Route Bus Operating Data Required under the
Section 15 Reporting System. Six sampling plans are presented. The minimum number of sample trips is 549
annually. The six sampling plans are for systems that operate daily service. If your transit agency does not operate
on a seven-day schedule you should contact their NTD analyst for assistance. You should not submit the
documentation outlined in the circular with your NTD Annual report, but retain it for your files.
This procedure was developed to provide an estimate of both PMT and UPT for fixed route bus systems. However,
if a 100 percent count of UPT is available and reliable you cannot report the procedure's estimate for UPT. Instead
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FTA requires you to report the available 100 percent count of UPT. In this case, you should only use the procedure
to estimate and report PMT.
This circular can be downloaded from the NTD Program website (www.ntdprogram.gov/ntdprogram/reference.htm).
3.
FTA C 2710.2A Sampling Procedures for Obtaining DR Bus System Operating Data Required under the
Section 15 Reporting System. The circular describes a method for sampling the service provided by one demand
response (DR) vehicle on one day each week. The method is used to estimate annual passenger miles traveled
(PMT) and requires your transit agency to collect 100 percent counts of UPT. The sampling circular includes the
Annual Report to FTA —DR form (406B). You should not submit this form with your NTD Annual report, but retain it
for your files.
This circular can be downloaded from the NTD Program website
(www.ntdprogram.gov/ntdprogram/reference.htm/ntdprogram/reference.htm).
Alternative Sampling Techniques
Your transit agency may also use any other procedure (alternative technique) approved by a qualified statistician. An
alternative sampling technique is a statistically valid technique, other than a 100 percent count of both UPT and PMT and
other than the sampling techniques described in the National Transit Database Sampling Manual or the two FTA circulars.
A qualified statistician is someone who can ensure that FTA statistical sampling requirements are met. FTA does not
prescribe specific statistician qualifications. Instead, it requires your transit agency to ensure that the statistician is suitably
qualified. The statistician may be an in-house staff person with a working knowledge and an education or background in
statistics. The statistician also may be a hired consultant with appropriate qualifications.
FTA does not review or approve alternative sampling techniques. A qualified statistician must design the sampling technique
to meet FTA’s confidence and precision levels.
You must document and retain in your files both the technique and the statistician’s approval. The documentation should
include:
•
A description of the technique that specifies the parameters used to estimate UPT (e.g., UPT per vehicle trip x
number of vehicle trips operated) if a 100% count of UPT is not available or reliable, and PMT (e.g., PMT per
vehicle trip x number of vehicle trips operated), and the rationale used to estimate the coefficient(s) of variation;
•
A signed review of the technique by a qualified statistician including a statement that the technique meets FTA’s
confidence and precision levels; and
•
A summary of the statistician’s education and experience that indicates that the statistician is qualified.
FTA considers FTA C 2710.4A Revenue Based Sampling Procedures for Obtaining Fixed Route Bus (MB) Operating Data
Required under the Section 15 Reporting System an alternative sampling technique. If your transit agency uses C 2710.4A
you must have a qualified statistician review, revise (if necessary), and approve the sampling parameters.
Automatic Passenger Counters (APC)
Some transit agencies use automatic passenger counters (APC) for collecting UPT and PMT data either through sampling or
a 100 percent count of data. The APCs must be calibrated and validated by each transit agency annually in order to be used
for NTD reporting.
The use of APCs for NTD reporting requires prior FTA approval. If your transit agency has failed to obtain prior FTA
approval, FTA may not include the reported APC-derived passenger mile data in the Urbanized Area Formula Program
apportionment.
FTA approval is required for the following:
•
Implementation of a new APC system;
•
APC benchmarking plan for the first year; and
•
APC maintenance plan for subsequent years.
The APC benchmarking plan for the first year must include:
•
Validation of the APC data for UPT and PM data against a separate data sample covering a full year; and
•
Development of procedures, as necessary, for adjusting the APC data for UPT and PMT to replicate the data
produced through the manual sampling.
If you wish to use an APC to collect PMT data, then the APCs should be run parallel to traditional manual sampling for one
year. Adjustment procedures will ensure that adjusted APC data are statistically equivalent to the manual sampling.
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You must submit the benchmarking plan to FTA for approval using the e-File tab in Internet Reporting. You also must submit
the results after the benchmarking plan has been completed using the e-File tab in Internet Reporting.
In subsequent years, the APC maintenance plan must include procedures for the calibration of the APC equipment every
year. The plan should use a sample of at least 100 bus vehicle trips using ride checkers to collect the UPT and PM data. The
trips in the sample do not need to be randomly distributed by route, by day, and time of day. If a transit system uses APCs
for both directly operated and purchased transportation bus services, separate samples of at least 100 bus vehicle trips are
required for each type of service.
You must annually submit to FTA documentation of the results of the maintenance plans. This documentation should include
an analysis of the UPT and PM data collected by manually by ride checkers as compared to APC derived UPT and PM data.
It should examine the statistical variance between the two data sets. You should submit the documentation to NTD using the
using the e-File tab in Internet Reporting.
Sampling for Purchased Transportation Service
Rules have been developed for sampling PT services when your agency, the buyer, also operates the same mode of service
and when there is more than one seller. NTD establishes the following guiding sampling rules for PT services:
•
PT sellers may use different sampling techniques than those implemented by your transit agency for DO service;
and
•
Your transit agency may apply one sample technique covering all PT contracts for a specific mode or each PT
seller may use a separate sampling technique.
Sampling Cycles
FTA has set minimum one-year or three-year sampling cycles for transit agencies. The requirements are based on primary
urbanized area (UZA) size, number of VOMS and TOS. 2010 US Census defines the UZAs.
Sampling Cycle Requirements
Transit agencies must sample every year (one-year sampling cycle) for mode/TOS services that meet the following three
requirements:
•
The services are directly operated;
•
The reporting transit agency serves a primary UZA with 500,000 more population; and
•
The reporting transit agency directly operates a total of 100 or more vehicles in annual maximum service across all
modes.
Transit agencies are permitted to sample every three years (three-year sampling cycle) for mode/TOS services that meet
the following two requirements:
•
The transit agencies collect 100 percent counts of UPT every year for the mode/TOS; and
•
One of the following conditions is met:
o
The transit agency directly operates across all modes, a total that is less than 100 or more vehicles in
annual maximum service;
o
The transit agency serves a primary UZA with less than 500,000 population; or
o
The service type (TOS) is purchased transportation (PT).
If a transit agency wishes to sample every three years, it must collect sample data in the FTA -defined mandatory years. The
next mandatory year is 2014.
The exhibit below summarizes the FTA sampling cycle requirements.
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Exhibit 56 — Sampling Cycle Requirements
TOS
Primary UZA
Population
DO VOMS All
Modes
Mandatory Year
Frequency
100% Count of
UPT Required?
Mandatory Year
DO
≥ 500,000
≥ 100
Every year
No
2013
DO
≥ 500,000
< 100
Every 3 year
Yes
2014
DO
50,000 – 499,999
Any number
Every 3rd year
Yes
2014
PT
≥ 50,000
Yes
2014
Any number
rd
rd
Every 3 year
If your transit agency is reporting for the first time or if your transit agency started a new mode/TOS during the report year,
you must sample during your first report year even if it is not your mandatory year. Your next mandatory year occurs in the
next fixed cycle for your transit agency. Similarly, if your agency is an existing reporter but missed a mandatory sampling
year, you must sample the next report year and your next mandatory year occurs in the next fixed cycle for your transit
agency.
Note that only the primary UZA is relevant. If your primary UZA is under 500,000 population, but you secondarily serve a
rd
UZA over 500,000, you should sample every 3 year.
You must keep your sampling data on file for at least 3 years, so it can be reviewed in FTA’s triennial review.
Reporting in Non-Mandatory Sampling Years
If you are following a three-year sampling cycle for a specific mode/TOS, you must estimate PMT data by multiplying: 1) the
average trip length (PMT divided by UPT) statistics reported in the annual total from the mandatory year and 2) the UPT (for
weekday schedule, Saturday schedule, and Sunday schedule) for the current year. The example below illustrates how to
estimate PMT data using the average trip length.
Note that you can view your average trip length for annual total data from the prior years in Internet reporting by clicking on
the Reports tab.
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Exhibit 57 — Using Average Trip Length to Estimate Passenger Miles Traveled Data
Example: Transit agency A serves an urbanized area (UZA) with a population of 350,000 (2010 Census). The transit agency
directly operates MB and DR modes with 110 and 34 VOMS, respectively. What are the NTD reporting requirements for PMT
data?
Solution: Transit agency A can sample (or conduct 100% counts) every three years since it is in an UZA less than 500,000 in
population. Its sampling options are:
•
Make a 100% count of PMT and UPT;
•
Conduct a 100% count of UPT in the current year, and estimate PMT data using the average trip factors from the
mandatory year; or
Use a statistically valid sampling technique to estimate PMT every year.
Transit agency A decides to do a 100% count of PMT and UPT for DR mode and to report MB data using average trip length
statistics to estimate intermediate year data. The transit agency performs a 100% count of the UPT for MB in the current year.
The following details the mandatory and current year data for MB:
Mandatory Year
Weekday
Saturday
Sunday
Annual Total
PMT
50,000,000
7,000,000
3,000,000
60,000,000
UPT
10,000,000
2,000,000
750,000
12,750,000
5.0
3.5
4.0
4.71
Weekday
Saturday
Sunday
Annual Total
10,500,000
2,100,000
800,000
13,400,000
5.0
3.5
4.0
4.71
52,500,000
(5.0 x 10,500,000)
7,350,000
(3.5 x 2,100,000)
3,200,000
(4.0 x 800,000)
63,114,000
(4.71 x 13,400,000)
Average trip length
Non-Mandatory Year
UPT
Average trip length
(mandatory year)
Estimated PM
(current year)
Estimated average trip length = PM / UPT
Estimated PM = average trip length × UPT
Service Operated (Days)
You must report the total number of days of service for the following categories:
•
Days Operated (days that service was actually operated);
•
Days Not Operated Due to Strikes (days that service would normally have operated but was not due to a transit labor
strike); and
•
Days Not Operated Due to Officially Declared Emergencies (days that service would normally have operated but was
not due to an officially declared emergency).
Within each of these categories, you should report the total number of days for weekday schedule, Saturday schedule, and
Sunday schedule service. Many transit systems operate different schedules on weekdays, Saturdays, and Sundays. The
reported number of days reflects the number of days each schedule was operated. You should report holiday service as the
day that most closely reflects the TOS operated. For example, if on Christmas day you operate a Sunday schedule of
service, you should report this as a Sunday.
For DT mode, report only the annual total service operated days.
If you did not operate service on some days due to transit labor strikes or officially declared emergencies, Internet reporting
will display a box for you to describe the situation.
Directional Route Miles
DRM are a measure of the service provided by your transit agency. They measure, by direction, the path of a vehicle in
revenue service. They are counted once for each path, i.e., they do not depend on frequency of service. They are computed
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with regard to direction of service, but without regard to
the number of traffic lanes or rail tracks existing in the
right-of-way (ROW).
Exhibit 58 illustrates reporting of DRM for MB mode for
different operations. The graphic illustrates the difference
between service operated in one direction only and
service operated in both directions.
You should report DRM for fixed route services. You do
not report data for DR, DT, JT, PB, and VP services.
The discussion in this section covers:
•
Guideway classification;
•
MB, CB and RB reporting requirements; and
•
Reporting requirements for non-bus modes.
Guideway Classification
Exhibit 58 — Calculating Directional Route Miles
Example 1 – Two MB routes operate in only one direction over a
one-mile segment of Main Street. In this case, there is one DRM.
Solution: Service in 1 direction = 1 DRM
Example 2 – Two MB routes operate in both directions over the
one-mile segment of Main Street. In this case, there are two DRM.
Solution: Service in 2 directions = 2 DRM
The reporting of DRM varies by fixed route mode. The definition of FG is a separate ROW for the exclusive use of public
transportation vehicles. By this definition, all rail modes operate exclusively on FG. For rail modes, you enter the data for
DRM in the Fixed Guideway Segments form (S-20). The totals for these data are transferred to the S-10 form.
By Federal statute, the DRM operated in TR and FB service also are considered FG. For these modes, enter the data for
DRM in the Fixed Guideway Segments form (S-20). These data are then transferred to the S-10 form.
Four modes (CB, MB, RB, and TB) may operate in both in their own FGs, but also in mixed traffic rights-of-way (ROW) with
other vehicles. For these modes, you report and categorize DRM by the type of right-of-way (ROW) in which the mode
operates as follows:
•
Fixed Guideway (FG). Roadways reserved at all times for use by only public transportation vehicles.
•
High Intensity Bus (HIB). Roadways reserved at some times for transit use, or for HOV or HO/T operations.
•
Mixed traffic ROW. Conventional streets and roads over which transit vehicles share operating space with cars
and trucks. Mixed traffic ROW is the most common ROW used by buses.
Again, for CB, MB, and TB, you may report very detailed information on the S-20 form. For TB, total DRM for all three
categories are transferred to the S-10 form. For CB and MB, FG and HIB DRM are transferred, and you will have to report
mixed traffic DRM manually.
There are two guideway categories: Statutory Fixed Guideway and Non-Statutory Mixed Traffic. In most cases all DRM
operated on Bus Rapid Transit (RB) service are considered Statutory Fixed Guideway. These DRM are transferred from the
S-20 form to the S-10 and shown as Fixed Guideway. In some rare cases some DRM of RB service is not considered FG.
These DRM are called Non-Statutory Mixed Traffic and must be entered manually as Mixed Traffic ROW.
The transferred values for DRM describe the service operated by the transit agency. Although related, the transferred data
are not necessarily a summary of the DRM that are eligible for funding under the UAF Program. The eligibility for the UAF
Program is based on the data reported and summarized in the S-20 form. You should go to the discussion of the S-20 form
for more details.
Reporting Requirements
There are no reporting requirements for non-bus modes in the S-10 form. The total DRM are transferred automatically from
the data entered in the S-20 form. See the discussion of the S-20 form for more details.
You should report DRM for bus service operated in mixed traffic ROW. Total DRM are transferred from the S-20 form for
fixed guideway and high intensity bus. See the discussion of the S-20 form for more details.
Line by Line Instructions for Service form (S-10)
You should complete one form for each mode and type of service (TOS).
Form Level Help: You should click on the Help tab at the top of the screen for form level help.
Form Note: A form note can be attached to any form. You should use the Add Form Note link for relevant information to a
specific field, to the entire form or to multiple forms. You should click on the Add Form Note link at the top of the screen and
enter your note on the Notes screen. You can review and/or edit a form note from the Notes tab. You should not use the
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Form Notes feature to answer issues generated from this form. From the Issues tab, you should use the Add Comments
link next to the specific issue.
Saving or Closing the Form: You should click on the Save button at the bottom of the screen to save the form. You should
click on the Close button at the bottom of the screen to close the form without saving.
Maximum Service Vehicles
Line 01, column a: Vehicles Operated in Annual Maximum Service (VOMS). Pre-filled field based on the data reported on
the Identification form (B-10).
•
The number of vehicles operated on the maximum day of the year to provide peak period service. For commuter rail
(CR), this number includes passenger cars and locomotives.
Line 02, column a: Vehicles Available for Annual Maximum Service.
•
Enter the number of vehicles available on the maximum day of the year to provide peak period service (i.e., VOMS)
plus spares, out of service vehicles, and vehicles in or awaiting maintenance; and excluding vehicles awaiting sale
or emergency contingency fleet). For CR, include passenger cars and locomotives.
Periods of Service
Line 03: Time Service Begins
Use 2400-hour time (e.g., 2:00 PM = 1400). Report the normal periods of service for a continuous day of operation. For
example, if AM peak service begins at 4:45 AM and the last service of the day ends at 2:00 AM the following day, report the
periods of service for an average weekday schedule as 0445 and 0200. If you operate 24-hour service, enter 0000.
•
•
Column a: Average Weekday Schedule. Enter the time service begins for an average weekday schedule.
o
Does not apply to demand response-taxi (DT) or vanpool (VP).
o
This is the time vehicles leave the garage or yard to begin the day’s service.
Column b: Average Saturday Schedule. Enter the time service begins for an average Saturday schedule.
o
•
Column c: Average Sunday Schedule. Enter the time service begins for an average Sunday schedule.
o
•
Does not apply to aerial tramway (TR), demand response (DR), demand response-taxi (DT), ferryboat
(FB), jitney (JT), publico (PB), and vanpool (VP) modes.
Column f: Weekday Midday. Enter the time midday service begins for average weekday schedule.
o
•
Does not apply to demand response-taxi (DT) or vanpool (VP).
Column e: Weekday AM Peak. Enter the time AM Peak service begins for an average weekday schedule.
o
•
Does not apply to demand response-taxi (DT) or vanpool (VP).
Does not apply to TR, DR, DT, FB, JT, PB, and VP modes.
Column g: Weekday PM Peak. Does not apply to TR, DR, DT, FB, JT, PB, and VP modes.
o
Enter the time PM peak service begins for an average weekday schedule.
Line 04: Time Service Ends
Use 2400-hour time (e.g., 2:00 PM = 1400). Report the normal periods of service for a continuous day of operation. For
example, if AM Peak service begins at 4:45 AM and the last service of the day ends at 2:00 AM the following day, report the
periods of service for an average weekday as 0445 and 0200. If you operate 24-hour service, enter 2359.
•
•
Column a: Average Weekday Schedule. Enter the time service ends for an average weekday schedule.
o
Does not apply to DT or VP.
o
This is the time vehicles return to the garage or yard to end the day’s service.
Column b: Average Saturday Schedule. Enter the time service ends for an average Saturday.
o
•
Does not apply to DT or VP
Column c: Average Sunday Schedule. Enter the time service ends for an average Sunday.
o
Does not apply to DT or VP.
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•
Column e: Weekday AM Peak. Enter the time AM Peak service ends for an average weekday schedule.
o
•
Column f: Weekday Midday. Enter the time midday service ends for an average weekday schedule.
o
•
Does not apply to TR, DR, DT, FB, JT, PB, and VP modes.
Does not apply to TR, DR, DT, FB, JT, PB, and VP modes.
Column g: Weekday PM Peak. Enter the time PM peak service ends for an average weekday schedule.
o
Does not apply to TR, DR, DT, FB, JT, PB, and VP modes.
Service Supplied
Line 05: Trains in Operation
Applies to rail modes.
•
Column a: Average Weekday Schedule. Enter the number of trains in operation for an average weekday schedule.
•
Column b: Average Saturday Schedule. Enter the number of trains in operation for an average Saturday schedule.
•
Column c: Average Sunday Schedule. Enter the number of trains in operation for an average Sunday schedule.
•
Column e: Weekday AM Peak. Enter the number of trains in operation for AM peak service.
•
Column f: Weekday Midday. Enter the number of trains in operation for midday service.
•
Column g: Weekday PM Peak. Enter the number of trains in operation for PM peak service.
•
Column h: Weekday Other. Enter the number of trains in operation for nighttime service after the PM peak and
before the AM peak. This is sometimes referred to as night owl services.
Line 06: Vehicles/Passenger Cars in Operation
Non-rail modes use vehicles. Rail modes use passenger cars.
Does not apply to DT mode.
•
Column a: Average Weekday Schedule. Enter the number of vehicles/passenger cars in operation for an average
weekday schedule.
•
Column b: Average Saturday Schedule. Enter the number of vehicles/passenger cars in operation for an average
Saturday schedule.
•
Column c: Average Sunday Schedule. Enter the number vehicles/passenger cars in operation for an average
Sunday schedule.
•
Column e: Weekday AM Peak. Enter the number of vehicles/passenger cars in operation for AM peak service.
o
•
Column f: Weekday Midday. Enter the number of vehicles/passenger cars in operation for midday service.
o
•
Does not apply to TR, DR, FB, JT, PB, and VP modes.
Column g: Weekday PM Peak. Enter the number of vehicles/passenger cars in operation for PM peak service.
o
•
Does not apply to TR, DR, FB, JT, PB, and VP modes.
Does not apply to TR, DR, FB, JT, PB, and VP modes.
Column h: Weekday Other. Enter the number of vehicles/passenger cars in operation for nighttime service after the
PM peak and before the AM peak. This is sometimes referred to as night owl services.
o
Does not apply to TR, DR, DT, FB, JT, PB, and VP modes.
Line 07: Total Actual Train Miles
Applies to rail modes.
These are all the revenue and deadhead miles that the trains operated for an average weekday, average Saturday and
average Sunday schedule.
•
Column a: Average Weekday Schedule. Enter the total actual train miles for an average weekday schedule.
•
Column b: Average Saturday Schedule. Enter the total actual train miles for an average Saturday schedule.
Service form (S-10) — 211
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•
Column c: Average Sunday Schedule. Enter the total actual train miles for an average Sunday schedule.
•
Column d: Annual Total. Enter the annual total of train miles. Include service operated for one-time or limited events
such as day of the game football shuttles, extra holiday shopper service, or a visit to the city by the President of the
United States.
Line 08: Total Actual Train Hours
Applies to rail modes.
These are all the revenue and deadhead hours that the trains operated for an average weekday, average Saturday and
average Sunday schedule.
•
Column a: Average Weekday Schedule. Enter the total actual train hours for an average weekday schedule.
•
Column b: Average Saturday Schedule. Enter the total actual train hours for an average Saturday schedule.
•
Column c: Average Sunday Schedule. Enter the total actual train hours for an average Sunday schedule.
•
Column d: Annual Total. Enter the annual total of train hours. Include service operated for one-time or limited
events such as day of the game football shuttles, extra holiday shopper service, or a visit to the city by the
President of the United States.
Line 09: Total Actual Train Revenue Miles
Applies to rail modes.
These are all the miles that the trains operated in revenue service for an average weekday, average Saturday and average
Sunday schedule.
•
Column a: Average Weekday Schedule. Enter the total actual train revenue miles for an average weekday
schedule.
•
Column b: Average Saturday Schedule. Enter the total actual train revenue miles for an average Saturday
schedule.
•
Column c: Average Sunday Schedule. Enter the total actual train revenue miles for an average Sunday schedule.
Column d: Annual Total. Enter the annual total of train revenue miles. Include service operated for one-time or
limited events such as day of the game football shuttles, extra holiday shopper service, or a visit to the city by the
President of the United States.
Line 09a – Train Deadhead Miles
•
Columns a – d: These are non-editable auto-calc fields.
Line 10: Total Actual Train Revenue Hours
Applies to rail modes.
These are all the hours that the trains operated in revenue service for an average weekday, average Saturday and average
Sunday schedule.
•
Column a: Average Weekday Schedule. Enter the total actual train revenue hours for an average weekday
schedule.
•
Column b: Average Saturday Schedule. Enter the total actual train revenue hours for an average Saturday
schedule.
•
Column c: Average Sunday Schedule. Enter the total actual train revenue hours for an average Sunday schedule.
•
Column d: Annual Total. Enter the annual total of train revenue hours. Include service operated for one-time or
limited events such as day of the game football shuttles, extra holiday shopper service, or a visit to the city by the
President of the United States.
Line 11: Total Actual Vehicle/Passenger Car Miles
Non-rail modes use vehicles. Rail modes use passenger cars.
These are all the revenue and deadhead miles that the vehicle/passenger cars operated for an average weekday, average
Saturday and average Sunday schedule. Does not apply to DT mode.
•
Column a: Average Weekday Schedule. Enter the total actual vehicle/passenger car miles for an average weekday
schedule.
212 —Service form (S-10)
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•
Column b: Average Saturday Schedule. Rail modes use passenger cars. Enter the total actual vehicle/passenger
car miles for an average Saturday schedule.
•
Column c: Average Sunday Schedule. Rail modes use passenger cars. Enter the total actual vehicle/passenger car
miles for an average Sunday schedule.
•
Column d: Annual Total. Enter the annual total of vehicle/passenger car miles. Include service operated for onetime or limited events such as day of the game football shuttles, extra holiday shopper service, or a visit to the city
by the President of the United States.
•
DR, DT, VP, JT and PB as non-scheduled services do not have extra service.
Line 11a: Train Deadhead Hours
•
Columns a – d: These are non-editable auto-calc fields.
Line 12: Total Actual Vehicle/Passenger Car Revenue Miles
Non-rail modes use vehicles. Rail modes use passenger cars.
These are all the miles that the vehicle/passenger cars operated in revenue service for an average weekday, average
Saturday and average Sunday schedule.
•
Column a: Average Weekday Schedule. Enter the total actual vehicle/passenger car revenue miles for an average
weekday schedule.
o
•
Column b: Average Saturday Schedule. Enter the total actual vehicle/passenger car revenue miles for an average
Saturday schedule.
o
•
Applies to HR, LR, SR, YR, and CR only.
Column g: Average Weekday PM Peak. Enter the number of Passenger Car Revenue Miles for average weekday
PM peak service.
o
•
Applies to heavy rail (HR), light rail (LR), streetcar rail (SR), hybrid rail (YR), and commuter rail (CR) only.
Column f: Average Weekday Midday. Enter the number of Passenger Car Revenue Miles for average weekday
midday service.
o
•
DR, DT, VP, JT, and PB as non-scheduled services do not have extra service.
Column e: Average Weekday AM Peak. Enter the number of Passenger Car Revenue Miles for average weekday
AM peak service.
o
•
Does not apply to DT mode.
Column d: Annual Total. Enter the annual total of vehicle/passenger car revenue miles. Include service operated for
one-time or limited events such as day of the game football shuttles, extra holiday shopper service, or a visit to the
city by the President of the United States.
o
•
Does not apply to DT mode.
Column c: Average Sunday Schedule. Enter the total actual vehicle/passenger car revenue miles for an average
Sunday schedule.
o
•
Does not apply to DT mode.
Applies to HR, LR, SR, YR, and CR only.
Column h: Average Weekday Other. Enter the number of Passenger Car Revenue Miles for average weekday
nighttime service after the PM peak and before the AM peak. This is sometimes referred to as night owl services.
o
Applies to HR, LR, SR, YR, and CR only.
Line 12a: Deadhead Miles/Passenger Car Deadhead Miles
Does not apply to DT mode.
•
Columns a – d: These are non-editable auto-calc fields.
Line 13: Total Scheduled Vehicle/Passenger Car Revenue Miles
Non-rail modes use vehicles. Rail modes use passenger cars.
These are all the miles that the vehicle/passenger cars were scheduled to operate in revenue service for an average
weekday, average Saturday and average Sunday schedule.
Service form (S-10) — 213
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•
Column a: Average Weekday Schedule. Enter the total scheduled vehicle/passenger car revenue miles for an
average weekday schedule.
o
•
Column b: Average Saturday Schedule. Does not apply to DR, JT, PB, and VP modes. Enter the total scheduled
vehicle/passenger car revenue miles for an average Saturday schedule.
o
•
Does not apply to DR, DT, JT, PB, and VP modes.
Column c: Average Sunday Schedule. Enter the total scheduled vehicle/passenger car revenue miles for an
average Sunday schedule.
o
•
Does not apply to DR, DT, JT, PB, and VP modes.
Does not apply to DR, DT, JT, PB, and VP modes.
Column d: Annual Total. Enter the annual total of scheduled vehicle/passenger car revenue miles. Equal to the sum
of average weekday schedule, Saturday and Sunday scheduled service multiplied by the respective days operated
on line 21.
o
In the cell to the right, there is an auto calculation of annualized average daily data computed as the
average weekday schedule, average Saturday schedule and average Sunday schedule data multiplied by
the number of days operated for (line 21) weekdays (column a), Saturdays (column b) and Sundays
(column c). This is the annual total to enter in column d.
o
Does not apply to DR, DT, JT, PB, and VP modes.
Line 14: Total Actual Vehicle/Passenger Car Hours
Does not apply to DT mode.
Non-rail modes use vehicles. Rail modes use passenger cars.
These are all the revenue and deadhead hours that the trains operated for an average weekday, average Saturday and
average Sunday schedule.
•
Column a: Average Weekday Schedule. Enter total actual vehicle/passenger car hours for an average weekday
schedule.
•
Column b: Average Saturday Schedule. Enter total actual vehicle/passenger car hours for an average Saturday
schedule.
•
Column c: Average Sunday Schedule. Enter total actual vehicle/passenger car hours for an average Sunday
schedule.
•
Column d: Annual Total. Enter the annual total of vehicle/passenger car hours. Include service operated for onetime or limited events such as day of the game football shuttles, extra holiday shopper service, or a visit to the city
by the President of the United States.
•
DR, VP, JT, and PB as non-scheduled services do not have extra service.
Line 15: Total Actual Vehicle/Passenger Car Revenue Hours
Non-rail modes use vehicles.
These are all the hours that vehicle/passenger cars operated in revenue service for an average weekday, average Saturday
and average Sunday schedule.
•
Column a: Average Weekday Schedule. Enter the total actual vehicle/passenger car revenue hours for an average
weekday schedule.
o
•
Column b: Average Saturday Schedule. Enter the total actual vehicle/passenger car revenue hours for an average
Saturday schedule.
o
•
Does not apply to DT mode.
Does not apply to DT mode.
Column c: Average Sunday Schedule. Enter the total actual vehicle/passenger car revenue hours for an average
Sunday schedule.
o
Does not apply to DT mode.
214 —Service form (S-10)
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•
Column d: Annual Total. Rail modes use passenger cars. Enter the annual total of actual vehicle/passenger car
revenue hours. Include service operated for one-time or limited events such as day of the game football shuttles,
extra holiday shopper service, or a visit to the city by the President of the United States.
o
DR, DT, VP, JT, and PB as non-scheduled services do not have extra service.
Line 15a: Deadhead Hours/Passenger Car Deadhead Hours
Does not apply to DT mode.
•
Columns a – d: These are non-editable auto-calc fields.
Line 16, column d: Charter Service Hours Annual Total. Enter annual charter service hours only if the vehicle is used
exclusively for service not available to the general public.
•
Applies only to non-rail modes.
•
Do not enter charter service hours as vehicle hours or vehicle revenue hours (VRH).
Line 17, column d: School Bus Hours Annual Total. Enter annual school bus hours only if the vehicle is used exclusively to
carry school passengers to and from their schools.
Applies only to non-rail modes.
•
Do not include school tripper service. Do not enter school bus hours as vehicle hours or vehicle revenue hours (VRH)
above.
Service Consumed
Line 18: Unlinked Passenger Trips (UPT)
Count passengers each time they board a vehicle.
This is not the same as tickets/tokens sold as each unlinked passenger trip (UPT) is counted even if there was a transfer
fare paid.
•
Column a: Average Weekday Schedule. Enter the total passenger boardings for an average weekday schedule.
o
•
Column b: Average Saturday Schedule. Enter the total passenger boardings for an average Saturday schedule.
o
•
Applies to HR, LR, SR, YR, and CR only.
Column g: Weekday PM Peak. Enter the total UPT attributable to service on an average weekday schedule PM
Peak.
o
•
Applies to HR, LR, SR, YR, and CR only.
Column f: Weekday Midday. Enter the total UPT attributable to service on an average weekday schedule Midday.
o
•
DR, DT, VP, JT, and PB as non-scheduled services do not have extra service.
Column e: Weekday AM Peak. Enter the total UPT attributable to service on an average weekday schedule AM
Peak.
o
•
Does not apply to DT mode.
Column d: Annual Total. Enter the annual total of all UPT. Include service operated for one-time or limited events
such as day of the game football shuttles, extra holiday shopper service, or a visit to the city by the President of the
United States.
o
•
Does not apply to DT mode.
Column c: Average Sunday Schedule. Enter the total passenger boardings for an average Sunday schedule.
o
•
Does not apply to DT mode.
Applies to HR, LR, SR, YR, and CR only.
Column h: Weekday Other. Enter the total UPT attributable to service for nighttime service after the PM Peak
service and before the AM Peak service. This is sometimes referred to as night and owl services.
o
Applies to HR, LR, SR, YR, and CR only.
Line 19, column d: Annual Total: Americans with Disabilities Act of 1990 (ADA) UPT Annual Total. Enter the number of UPT
for complementary paratransit trips under the Americans with Disabilities Act of 1990 (ADA) requirements.
Service form (S-10) — 215
2013 Urban Reporting Manual
•
Applies to DR and DT modes only.
Line 19a, column d: Annual Total: Sponsored Service Unlinked Passenger Trips (UPT) Annual Total. Enter the number of
UPT for sponsored trips. These trips are paid in whole or part by a third party who, in many cases, handled all or part of the
trip arrangements.
•
Applies to DR and DT modes only.
Line 20: Passenger Miles Traveled (PMT)
Derive passenger miles traveled from sampling, 100 percent counts or estimate for intermediate years (non-mandatory
sampling year).
•
Column a: Average Weekday Schedule. Enter the total passenger miles traveled (PMT) attributable to service on
an average weekday schedule.
o
•
Column b: Average Saturday Schedule. Enter the total PMT attributable to service on an average Saturday.
o
•
Does not apply to DT mode.
Column c: Average Sunday Schedule. Enter the total PMT attributable to service on an Average Sunday.
o
•
Does not apply to DT mode.
Does not apply to DT mode.
Column d: Annual Total. Enter the annual total number of PMT. Include service operated for one-time or limited
events such as day of the game football shuttles, extra holiday shopper service, or a visit to the city by the
President of the United States.
o
DR, DT, VP, JT and PB as non-scheduled services do not have extra service.
Service Operated (Days)
Line 21: Days Operated
•
Column a: Weekday Schedule. Enter the annual number of weekdays that service was operated for your transit
agency (only service included in your report).
o
•
Column b: Saturday Schedule. Enter the annual number of Saturdays that service operated for your transit agency
(only service included in your report).
o
•
Does not apply to DT mode.
Column c: Sunday Schedule. Enter the annual number of Sundays that service was operated for your transit
agency (only service included in your report).
o
•
Does not apply to DT mode.
Does not apply to DT mode.
Column d: Annual Total. This is an auto-calculated field and cannot be edited, review for accuracy. Equal to the
sum of days operated on weekday, Saturday, and Sunday schedules.
o
For DT mode, enter the days operated. Throughout the year.
Line 22: Days Not Operated Due to Strikes
•
Column a: Weekday Schedule. Enter the annual number of weekdays that service was not operated due to strikes.
•
Column b: Saturday Schedule. Enter the annual number of Saturdays that service was not operated due to strikes.
•
Column c: Sunday Schedule. Enter the annual number of Sundays that service was not operated due to strikes.
•
Column d: Annual Total. This is an auto-calculated field and cannot be edited, review for accuracy. Equal to the
sum of days not operated due to strikes on weekday, Saturday, and Sunday schedules.
o
Describe the Days Not Operated Due to Strikes in the – Other description field.
o
For DT mode, enter the days not operated due to strikes throughout the year.
Line 23: Days Not Operated Due to Officially Declared Emergencies
A person in authority (usually the mayor, county head or governor) must officially declare an emergency.
216 —Service form (S-10)
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•
Column a: Weekday Schedule. Enter the annual number of weekdays that service was not operated due to officially
declared emergencies.
o
•
Column b: Saturday Schedule. Enter the annual number of Saturdays that service was not operated due to officially
declared emergencies.
o
•
Does not apply to DT mode.
Column c: Sunday Schedule. Enter the annual number of Sundays that service was not operated due to officially
declared emergencies.
o
•
Does not apply to DT mode.
Does not apply to DT mode.
Column d: Annual Total. This is an auto-calculated field and cannot be edited, review for accuracy. Use the Add
Form Note link at the top of the form to enter your note on the notes screen. Equal to the sum of not operated due
to officially declared emergencies on weekday, Saturday, and Sunday schedules.
o
Describe the Days Not Operated Due to Officially Declared Emergencies in the – Other description field.
o
For DT mode, enter the days not operated due to strikes throughout the year.
Directional Route Miles
Line 24, column a: Fixed Guideway. This is a non-editable field: The number of route miles, to the nearest 10th of a mile, on
roadway or other transit right-of-way (ROW) reserved for transit at all times of the day, over which transit vehicles travel in
each direction while in revenue service. Directional route miles (DRM) are measured on the last day of the fiscal year.
•
Applicable only to MB, CB, and RB, modes
•
Data transfer automatically from the S-20 form.
Line 25, column a: High Intensity Bus. This is a non-editable field: The number of route miles, to the nearest 10th of a mile,
on roadway or other transit right-of-way reserved for a portion of the day, over which transit vehicles and/or HOV and HO/T
travel in each direction while in revenue service. DRM are measured on the last day of the fiscal year.
•
Applicable only to CB and MB modes
•
Data transfer automatically from the S-20 form.
Line 26, column a: Mixed Traffic ROW. Enter the number of route miles to the nearest 10th of a mile, on roadway not
reserved during any part of a day (transit vehicles travel with other vehicular traffic in same ROW), over which transit
vehicles travel in each direction while in revenue service. DRM are measured on the last day of the fiscal year.
•
Applicable only to CB, MB, and RB modes.
•
Data transfer automatically from the S-20 form for TB mode.
•
For CB, MB and RB mode, enter the mixed traffic ROW DRM.
Line 27, column a: Total. This is a non-editable - auto-calculated field. The total DRM for rail, FB and TR modes. Note that
these modes are considered exclusive right-of-way (ROW). The total DRM over fixed guideway, high intensity bus, and
mixed traffic right-of-way for CB, MB, RB and TB modes.
Service form (S-10) — 217
2013 Urban Reporting Manual
Fixed Guideway Segments form (S-20)
218 — Fixed Guideway Segments form (S-20)
2013 Urban Reporting Manual
Overview
The Fixed Guideway Segments form (S-20) form provides an inventory of fixed guideway (FG)and high intensity bus (HIB)
facilities and covers their location, age, and operational and physical characteristics. The form summarizes directional route
miles (DRM) for service operated over segments of the FG and HIB facilities.
Once submitted in annual report, these segments typically remain unchanged in subsequent reports. However, each year
you should review the entered data primarily for name changes and service characteristics.
Reporting Requirements and Thresholds
All transit agencies operating over FG or HIB must complete this form. Data are reported by mode and type of service (TOS)
for each mode operating over FG or HIB.
This form is not applicable to demand response (DR), demand response taxi (DT), jitney (JT), publico (PB), and vanpool
(VP) modes.
What Has Changed from Prior Year
The data fields for bus (MB), bus rapid transit (RB), and commuter bus (CB) have been revised to conform to the new
requirements in MAP-21.
Approach
The S-20 form is used to identify each segment of transit operations over FG, including high occupancy vehicle (HOV)
facilities.
There are four S-20 forms tailored for:
•
MB and CB;
•
RB;
•
TB; and
•
FB and TR.
Internet reporting summarizes directional route miles (DRM) on the S-20 form and automatically transfers relevant data to
the S-10 form and Federal Funding Allocation Statistics form (FFA-10).
The reporting of FG segments requires an understanding of:
•
Guideway classification;
•
DRM;
•
Multiple users and modes;
•
Modifying, adding and deleting FG segments; and
•
High Occupancy /Toll (HO/T) Lanes.
Guideway Classification
You report FG and HIB for all rail modes and selected non-rail modes. The modes vary by the amount of FG and HIB you
report:
•
All rail modes operate exclusively on FG;
•
TR operates exclusively on FG;
•
The entire ROW used by TB, FB and RB is defined by federal statute as FG for funding eligibility; and
•
The CB and MB modes may operate on FG or HIB.
Directional Route Miles (DRM)
DRM are a measure of the service provided by a transit agency. DRM do not include staging or storage areas at the
beginning or end of a route. You should measure DRM using the routes normally followed. You should not count mileage for
temporary deviations (e.g., detours).
Fixed Guideway Segments form (S-20)— 219
2013 Urban Reporting Manual
Internet reporting automatically calculates the fixed guideway directional route miles (FG DRM) and high intensity bus
directional route miles (HIB DRM) using the data reported for each segment. DRM are transferred automatically to the S-10
form and the Federal Funding Allocation Statistics form (FFA-10).
The exhibit below illustrates reporting of DRM for MB and rail modes. The graphic illustrate the difference between service
operated in one direction only and service operated in both directions. As well as single track versus double track operation.
Exhibit 59 — Calculating Directional Route Miles
Bus Modes
Rail Modes
Example 1 – Two MB routes operate in only one direction over a
one-mile segment of Main Street. In this case, there is one DRM.
Example 1 – Trains operate in both directions over a one-mile
segment of track. In this case, one mile of track equals two DRM.
Solution: Service in 1 direction = 1 DRM
Example 2 – Two MB routes operate in both directions over the
one-mile segment of Main Street. In this case, there are two DRM.
Solution: Service in 2 directions = 2 DRM
Example 2 – Trains operate in only one direction over two parallel
tracks. In this case, a one-mile segment equals two DRM.
Solution: Service in 2 directions = 2 DRM
Solution: Service in 2 directions = 2 DRM
Average Monthly Directional Route Miles
If there were FG or HIB segments added (service start-ups) or removed (discontinued service) from revenue service during
the report year, Internet Reporting calculates the average monthly FG DRM over which your transit agency operated service.
Average monthly DRM are transferred automatically to the FFA-10 form.
Reporting Segments for Multiple Users and Modes
You must report all segments on which your transit agency operated a mode either directly (DO) or through a purchased
transportation (PT) agreement. It is possible that your transit agency operated different modes or TOS on the same segment.
In these situations, you should follow these rules:
•
Report all segments for each mode, even if your transit agency operated more than one mode over some or all of
the same segments;
•
If DO and PT of the same mode operate on a segment, report the segment on both the DO and PT forms (note that
this form is an inventory of fixed guideway operation by mode and type of service – you should refer to the Type of
Service Claimed section of the detailed instructions for information on funding for shared segments);
•
If multiple sellers of service of the same mode in your report operate on common segments, report the segments
only once on the S-20 form for PT; and
•
If multiple transit agencies operate on a segment, report the segment on the fixed guideway form for each agency.
Refer to the NTD Agency Claiming Segment section of the detailed instructions for information on funding for
segments used by multiple transit agencies.
220 — Fixed Guideway Segments form (S-20)
2013 Urban Reporting Manual
Modifying, Adding and Deleting FG segments
With limited exceptions, you cannot modify or add segments without FTA approval. You must submit a request for approval
using the New Fixed Guideway Segment Request selection under the Add Correspondence button of the e-File tab.
The process for deleting segments is similar. If a segment has been reported in error, you must contact NTD staff for FTA
approval to delete segments. However, no FTA approval is required if you stopped operating service on a segment in which
case you enter the out-of-revenue service date on the form.
You can find more detailed information on modifying, adding and deleting FG segments at the end of the detailed
instructions that follow this section.
High Occupancy/Toll (HO/T) Lanes
Use and Operation of HOV Facilities by HO/T Vehicles
HO/T toll lanes allow single occupancy vehicles (SOVs) to use high occupancy vehicle (HOV) facilities by paying a toll.
These are vehicles that are not otherwise authorized to use the HOV facility. HO/T lanes can no longer be proposed as new
segments.
Minimum Speed Requirements HO/T lanes
An HOV facility is considered to be degraded if it fails to meet certain minimum speed requirements. HOV and HO/T HIB
service is intended to function like rail fixed-guideway service, with “free flow” (23 U.S.C 166(d)) and a clear right of way. If
there is an unacceptable “degradation” in average speed, the degraded segments will not be eligible as HIB segments in the
State of Good Repair funding.
A State agency with jurisdiction over the operation of a HOV facility must establish occupancy requirements for HOV lanes
and for HO/T operations. An adequate enforcement program is required, and provisions made for limiting or discontinuing
the exemptions if the facility becomes seriously degraded.
The State agency must certify to the US Secretary of Transportation that it has established a program to monitor, assess,
and report on the operation of the facility and the impact of high occupancy/toll vehicles and other low emission and energy
efficient vehicles. If you are reporting HO/T lanes, you must provide a copy of the State’s certification to the US Secretary of
Transportation.
Toll Revenue Requirements on HO/T lanes
There also are requirements for excess toll revenues. Priority consideration must given to using excess toll revenues on
projects that provide alternatives to single occupancy vehicle travel and or that improve highway safety.
Detailed Instructions
The following detailed instructions are presented as follows:
•
Required data fields;
•
Directional route miles summary; and
•
Modifying, adding, or deleting fixed guideway segments.
Required Data Fields
This section provides detailed instructions of data items you must report for the four FG segment forms:
•
CB and MB;
•
RB;
•
TB; and
•
Rail, FB and TR.
Internet reporting pre-fills the S-20 form with data from the prior year NTD submission. You may edit these data, add new
segment, or delete existing segments, but only after receiving FTA approval. You can find more detailed information on
modifying, adding and deleting FG and HIB segments at the end of the detailed instructions.
Segment Code – Applies to all Modes
This is a preset code created for NTD to assist in ongoing identification of FG segments. You may not edit these codes.
Fixed Guideway Segments form (S-20)— 221
2013 Urban Reporting Manual
Status Code (First Column) – Applies to all Modes
This is a system-generated code that describes how the segment was created as follows:
•
XST – Existing segment brought forward from last year
•
NEW – New segment, never existed in the system
•
SPT – Segment split from other segment
Status Code (Second Column) – Applies to all Modes
This is a system-generated code that describes when the segment was created as follows:
•
AD – Segment added by agency or NTD
•
LD – Segment loaded by the system
Status Code (Third Column) – Applies to all Modes
This is a system-generated code that describes if the segment has been updated by a reporter as follows:
•
Y – Segment updated at least once by the NTD user
•
N – Segment never updated by the NTD user
Urbanized Area – Applies to all Modes
The UZA number is pre-filled with data from the prior year NTD submission.
When adding a new segment, you should select the UZA where the segment is geographically located from the UZA dropdown menu. The UZA drop-down menu incorporates all UZAs and other than urbanized areas (non-UZAs) identified on the
Identification form (B-10).
Segment Name – Applies to all Modes
The segment name is pre-filled with data from the previous NTD report year submission. You cannot edit the name.
When adding a new segment, you should report the name of the segment. You should provide enough detail to identify the
segment and its location. You should use route or line name, or the roadways where the facilities are located, to identify
segments. Typically, this is a street name (e.g., Main Street) or highway number (e.g., I – 5) for CB, MB, RB, and TB modes.
Begins At – Applies to all Modes
The location where the segment begins is pre-filled with data from the previous NTD report year submission. You cannot edit
this field.
When adding a new segment, you should report the point at which the segment begins in sufficient detail that it can be
uniquely identified.
You should use readily identifiable locations to describe segment endpoints. You should not use abbreviations in these
endpoint descriptions because they need to be easily identifiable on maps, timetables and other materials during the
validation process. Typically, an endpoint is a milepost marker or intersecting street for CB, MB, RB, and TB modes.
Ends At – Applies to all Modes
The location where the segment ends is pre-filled with data from the previous NTD report year submission. You cannot edit
this field.
When adding a new segment, you should report the point at which the segment ends in sufficient detail that it can be
uniquely identified.
You should use readily identifiable locations to describe segment endpoints. You should not use abbreviations in these
endpoint descriptions because they need to be easily identifiable on maps, timetables and other materials during the
validation process. Typically, an endpoint is a milepost marker or intersecting street for CB, MB, RB, and TB modes.
Length – Applies to all Modes
The length of the segment is pre-filled with data from the previous NTD report year submission. You cannot edit this field.
When adding a new segment, you should report the length of the segment to the nearest hundredth of a mile.
Reporting the segment length to the nearest hundredth of a mile provides the accuracy of the directional route miles to the
nearest tenth for the Federal funding allocations. Any segment for CB and MB modes that is less than .25 miles will not be
considered as FG or HIB unless it is running on a bridge, in a tunnel or connect with a transit terminal. In general, you must
222 — Fixed Guideway Segments form (S-20)
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justify the highway ramps, meter bypasses, and special turning facilities less than .25 miles and obtain approved by FTA
before it will be included as a FG or HIB segment.
One-Way/Two-Way – Applies to all Modes
A segment is one-way if travel always occurs in the same direction regardless of the time of day. A segment is two-way if
travel occurs in both directions during the same period of time, or if travel is inbound during the AM peak and outbound
during the PM peak.
The number of directions in which vehicles may travel on the segment is pre-filled with data from the previous NTD report
year submission.
When adding a new segment or modifying data for an existing segment; you must select the number of directions in which
vehicles may travel (one-way or two-way) on the segment from the
One-Way/Two-Way drop-down menu.
Exhibit 60 — Segment Type Menu Selections
Segment Type – Applies to CB, MB, and RB Modes Only
The segment type refers to the physical construction of the segment
and whether it is used as a HO/T lane. The segment type is pre-filled
with data from the previous NTD report year submission. You cannot
edit this field.
A.
Exclusive busway separated from
physical barriers
B.
Exclusive busway separated from traffic by painted
lines
C.
Roadway lanes for exclusive use by high
occupancy vehicles and separated from traffic by
physical barriers
D.
Roadway lanes for exclusive use by high
occupancy vehicles and separated from traffic by
painted lines
E
Roadway lanes operated as an HO/T lane
F.
Roadway used by mixed traffic that is part of a bus
rapid transit route
When adding a new segment, you must select the segment type from
the Segment Type drop-down menu.
Bus Rapid Transit
Under new MAP-21 guidelines, all roadway on which Bus Rapid
Transit (RB) operates is fixed guideway. This includes mixed traffic
ROW. If you operate RB, you should enter all mixed traffic road
segments on which it operates as fixed guideway, with segment type
F. You must have FTA approval of your RB system before you can
take advantage of this new provision.
traffic by
Exhibit 61 — Segment Type Examples
A. Exclusive busway separated from traffic by physical barriers
B. Exclusive busway separated from traffic by painted lines
C. Roadway lanes for exclusive use by high occupancy vehicles
and separated from traffic by physical barriers
D. Roadway lanes for exclusive use by high occupancy vehicles
and separated from traffic by painted lines
Fixed Guideway Segments form (S-20)— 223
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Peak Level of Service – Applies to CB, MB, and RB Modes Only
Peak LOS is based on traffic conditions as defined in the
Highway Capacity Manual. LOS is a measure of the ease
with which traffic moves on a roadway. There are six levels
ranging from free flow conditions (A) to gridlock (F).
Exhibit 62 — Peak LOS Menu Selections
A.
Peak level of service must be determined by a qualified
traffic engineer.
Indicates a relatively free flow of traffic, with little or no
limitation on vehicle movement or speed
B.
You must report the LOS for the lanes next to the CB, MB, or
RB segment or in the travel corridor. Specifically, you must
report the peak period LOS for:
Describes a steady flow of traffic, with only slight delays
in vehicle movement and speed. All queues clear in a
single traffic signal cycle
C.
Denotes a reasonably steady, high volume flow of traffic,
with some limitations on movement and speed, and
occasional backups on critical approaches
D.
Designates the level where traffic nears an unstable
flow. Intersections still function, but short queues
develop and cars may have to wait through one cycle
during short peaks
E
Represents traffic characterized by slow movement and
frequent (although momentary) stoppages. This type of
congestion is considered severe, but is not uncommon
at peak traffic hours, with frequent stopping, longstanding queues, and blocked intersections
F.
Describes
unsatisfactory
stop-and-go
traffic
characterized by traffic jams and stoppages of long
duration. Vehicles at signalized intersections usually
have to wait through one or more signal changes, and
upstream intersections may be blocked by the long
queues
•
General traffic lanes for priority lanes on a multilane
highway;
•
General traffic lanes for exclusive lanes parallel to a
multilane highway, but physically separated from
the general traffic lanes; or
•
Corridor served by a stand-alone high occupancy
roadway of which no lane is open to general traffic.
Peak LOS is pre-filled with data from the previous NTD
report year submission. You cannot edit this field.
When adding a new segment, you should select the peak
period LOS ranging from A (best) to F (worst) traffic
conditions from the Peak Level of Service drop-down
menu. You should note that segments with peak level of
service A, B or C are not eligible for FTA Federal formula
allocations for funding because these segments are not
defined as serving congested travel corridors.
Safe Operation – Applies to Bus Only
The safe operation requirements apply to high-speed, priority lanes (e.g., on freeways/expressways/high-speed facilities)
used by CB, MB, RB mode and other HOV; (i.e., vanpools (VP) and carpools), to ensure safe travel. For these lanes, there
must be some indication of separation to ensure safe access between free flowing HOV lanes and the congested,
unrestricted lanes.
You can find information on signage in the Manual on Uniform Traffic Control Devices, Millennium Edition, December 2001,
Section 3B.23, and Preferential Lane Longitudinal Markings.
Separation can be accomplished at least two ways:
•
Physical barriers such as cones, concrete dividers, medians; and
•
Pavement markings such as a double solid wide line, a single solid wide line, a single broken wide line, or a
diagonally striped area between lanes.
A diamond marking is not sufficient by itself for safe operation, if the lane is separated from traffic only by a single, normal
width dashed line.
The following exhibit illustrates safe operation for CB and MB FG utilizing double solid line lane striping, traffic pylons,
fencing and a concrete barrier.
224 — Fixed Guideway Segments form (S-20)
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Exhibit 63 — Safe Operation Requirements
Safe Operation
High occupancy vehicles (HOV) lanes separated from general
traffic lanes by double solid lines.
High occupancy vehicles (HOV) lanes separated from general
traffic lanes by pylons.
High occupancy (HOV) lanes separated by fencing.
High occupancy vehicles (HOV) lanes separated from general
traffic lanes by concrete barrier.
You cannot meet the safe operation requirement solely by using roadside or overhead signs, or with only a diamond symbol in the
lane to indicate high occupancy vehicle (HOV) lanes.
Not Safe Operation
Separated by diamond only
Sign only
Fixed Guideway Segments form (S-20)— 225
2013 Urban Reporting Manual
If a freeway facility does not meet the safe operation requirements,
it is not fixed guideway or high intensity bus for NTD reporting and
you should not report the segment.
Low-speed lanes restricted to CB, MB, or RB mode qualify as
safely operated.
Exhibit 64 — Safe Operation Menu Selections
Yes
If lanes on freeways meet the safe operation
requirements
No
If lanes on freeways do not meet the safe
operation requirements
Safe operation is pre-filled with data from the previous NTD report
year submission. You cannot edit this field.
When adding a new segment you must select whether or not safe operation requirements are met from the Safe Operation
drop-down menu. For all other segments (non-freeways), select yes.
Hours Prohibited – Applies to CB, MB, RB, and TB Modes Only
The number of hours per week during which SOVs are legally prohibited from using any portion of the segment is pre-filled
with data from the previous NTD report year submission. You cannot edit this field.
When adding a new segment, you must report the number of hours per week during which SOVs are legally prohibited from
using any portion of the segment. If your transit agency has stricter requirements for HOV facilities than the prohibition of
SOVs, such as three or more persons per vehicle, then those requirements must also apply to the HO/T lane, e.g., one and
two-person vehicles would pay tolls.
Enforced/Prohibited – Applies to CB, MB, and RB Modes Only
The number of hours per week during which officers of the law enforce the prohibition is pre-filled with data from the previous
NTD report year submission. You cannot edit this field. There must be a level of enforcement sufficient to ensure that 95
percent of the vehicles using the FG segment are eligible to use it.
When adding a new segment, you must report the number of hours per week during which officers of the law enforce the
prohibition throughout the segment.
Original Date of Revenue Service – Applies to all Modes
For existing segments, the original date of revenue service is pre-filled with data from the previous NTD report year
submission. You cannot edit this field.
For new segments, this is the opening date of revenue service on this segment by any transit agency, even though your
transit agency may not have been the original operator. If you are the first transit agency to operate on a new segment, the
original date of revenue service will be the same as your agency revenue service start date.
Agency Revenue Service Start Date – Applies to all Modes
The agency revenue service start date is the date that your transit agency begins operating revenue service on a new or
preexisting segment. Internet reporting automatically determines and enters the number of months operated (Also see
Months Operated below). You cannot edit this field for preexisting segments.
Out of Revenue Service Date – Applies to all Modes
If your transit agency stopped operating transit service on the segment during the year, you should report the last date of
revenue service. Other reporters may continue to operate on this segment.
If a segment is temporarily out of service for rehabilitation or reconstruction for less than 12 months, you should not enter an
Out of Revenue Service date. If a segment is out of service for rehabilitation or reconstruction for more than 12 months, or
for some other temporary stoppage of service, you should contact your NTD analyst. FTA will make a determination on how
these DRM should be reported.
Internet reporting automatically determines and enters the number of months operated (Also see Months Operated below).
Months Operated – Applies to all Modes
The number of months of operation for pre-filled segments defaults to 12. For new segments or segments taken out of
revenue service, Internet reporting automatically determines and enters the number of months operated using the agency
revenue service start date and out of revenue service date.
Internet reporting will round the number of months of operation to a whole number, reporting a full month for revenue service
that begins between the first and 14th of the month; revenue service that begins from the 15th through the end of the month
is not counted. If revenue service began in the last two weeks of your transit agency’s fiscal year, Internet reporting will
indicate 0 months.
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Type of Service Claimed – Applies to all Modes
This field applies only to transit agencies which operate both DO and PT for the same mode. If DO and PT service for the
same mode operate on the same segment, you should report the segment on both the DO and PT forms. However, you can
only claim the segment once for funding purposes. When adding a new segment, you should use the Type of Service
Claimed drop-down menu to select DO or PT to indicate the TOS for which the segment is claimed on the FFA-10 form.
NTD Agency Claiming Segment – Applies to all Modes
The NTD Agency Claiming Segment is pre-filled with data from the previous NTD report year submission. You cannot edit
this field.
When adding a new segment, from the NTD Agency Claiming Segment drop-down menu, you should select the NTD
transit agency identification number for the transit agency claiming the segment for funding purposes on the FFA-10 form.
Only one transit agency can claim the segment. However, all transit agencies must report the segments over which they
operated transit services during the report year.
The Drop-Down menu will be pre-filled with all of the NTD reporting agencies located within the UZAs and other than
urbanized areas reported on the Identification form (B-10).
Statutory BRT – Applies to RB Mode
This yes-or-no question asks whether your segment is part of a Bus Rapid Transit system according to the standard FTA
definition. In almost all cases you should select “Yes”.
Modify/Delete Segment Data – Applies to all Modes
Internet reporting pre-fills the S-20 form with data from the prior year NTD submission. Some pre-filled data fields are not
editable.
You may modify selected data for a segment. You cannot delete pre-existing segments from prior report years. Transit
agencies can only delete segments during the Working Data stage that they incorrectly added for the current report year.
If your transit agency no longer operated service on a segment that your transit agency reported in the prior report year, you
should enter the date that transit service was terminated for this mode and TOS under Out of Revenue Service Date. If
service ended in the prior report year, you should enter that date. If service was last operated on the last day of the prior
report year, you should enter the date for the first day of the current report year.
Directional Route Miles Summaries
These three summaries are tailored for:
•
Commuter Bus (CB), Bus (MB) and Bus Rapid Transit (RB)
•
Trolleybus (TB)
•
Rail, ferryboat (FB) and aerial tramway (TR).
Commuter Bus (CB), Bus (MB) and Bus Rapid Transit (RB)
Internet reporting automatically calculates the number of DRM by UZA, non-UZA and total for all approved segments, as
follows:
Fixed Guideway (Busway/ Bus Lane) (segment type A & B):
•
•
•
All levels of service:
o
Total fixed guideway @ FYE
o
Total controlled access ROW @ FYE
Levels of service (LOS) D, E, and F:
o
Average fixed guideway
o
Average fixed guideway for funding
Levels of service (LOS) D, E, F for segments ≥ seven years @ Federal fiscal year end (FFYE):
o
Total fixed guideway
o
Total fixed guideway for funding
Fixed Guideway Segments form (S-20)— 227
2013 Urban Reporting Manual
High Intensity Motorbus (Shared Use - HOV - HO/T):
•
All levels of service:
o
•
Total high intensity bus
Levels of service (LOS) D, E, F for segments ≥ seven years @ Federal fiscal year end (FFYE):
o
Total high intensity bus
o
Total high intensity bus for funding
Internet reporting automatically transfers the data to the Service form (S-10):
•
Line 01, total fixed guideway, all LOS, any age is transferred to line 24, Fixed Guideway.
•
Line 07, total high intensity bus, all LOS, any age is transferred to line 25, High Intensity Bus.
Internet reporting automatically transfers the data to the Federal Funding Allocation Statistics form (FFA-10):
•
Line 04, average fixed guideway for funding, LOS D, E, F, is transferred to line 08.
•
Line 03, average fixed guideway, LOS D, E, F, is transferred to the field under line 08.
•
Line 06, total fixed guideway for funding, LOS D, E, F, older than 7 years, is transferred to line 16.
•
Line 05, total fixed guideway, LOS D, E, F, older than 7 years, is transferred to the field under line 16.
•
Line 09, total high intensity bus for funding, LOS D, E, F, older than 7 years, is transferred to line 18.
•
Line 08, total high intensity bus, LOS D, E, F, older than 7 years, is transferred to the field under line 18.
Trolleybus (TB)
Internet reporting automatically calculates the number of directional route miles (DRM) by UZA, non-UZA and total for all
approved segments, as follows:
All segments:
•
Total mixed traffic right-of-way (ROW) @ fiscal year end (FYE)
•
Average controlled ROW
•
Total exclusive ROW @ FYE
•
Average exclusive ROW
•
Total mixed traffic ROW @ FYE
•
Average mixed traffic ROW
•
Average controlled, exclusive, and mixed traffic ROW
•
Average controlled, exclusive, and mixed traffic ROW for funding
•
Total controlled, exclusive, and mixed traffic ROW @ FYE.
Segments ≥ seven years @ Federal fiscal year end (FFYE):
•
Total controlled access ROW
•
Total exclusive ROW
•
Total mixed traffic ROW
•
Total controlled, exclusive, and mixed traffic ROW
•
Total controlled, exclusive, and mixed traffic ROW for funding.
Internet reporting automatically transfers the data to the Service form (S-10):
•
Total controlled access ROW @ FYE is transferred to line 25
•
Total exclusive ROW @ FYE is transferred to line 24
•
Total mixed traffic ROW @ FYE is transferred to line 26.
Internet reporting automatically transfers the data to the FFA-10 form:
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2013 Urban Reporting Manual
•
Average controlled, exclusive, and mixed traffic ROW for funding is transferred to line 08
•
Total controlled, exclusive, and mixed traffic ROW for segments ≥ seven years @ FFYE for funding is transferred to
line 16.
Rail, Ferryboat and Aerial Tramway
Internet reporting automatically calculates the number of directional route miles (DRM) by urbanized area (UZA), other than
urbanized area (non-UZA) and total for all approved segments, as follows:
All Segments:
•
Total for all segments @ fiscal year end (FYE);
•
Average monthly for all segments; and
•
Average monthly for all segments for funding.
All segments ≥ seven years @ Federal fiscal year end (FFYE):
•
Total for all segments ≥ seven years; and
•
Total for all segments ≥ seven years for funding.
Internet reporting automatically transfers the data to the Service form (S-10):
•
Total for all segments @ fiscal year end (FYE) is transferred to line 27.
Internet reporting automatically transfers the data to the Federal Funding Allocation Statistics form (FFA-10):
•
Average for all segments for funding is transferred to line 08; and
•
Total for all segments ≥ seven years @ Federal fiscal year end (FFYE) for funding is transferred to line 16.
Modifying, Adding and Deleting FG segments
With limited exceptions, you cannot modify or add segments without FTA approval. You must submit a request for approval
using the New Fixed Guideway Segment Request selection under the Add Correspondence button of the e-File tab. The
process for deleting segments is similar. This section outlines the process for making changes and for obtaining FTA
approval.
Modify Existing Segment Data
Internet reporting pre-fills the S-20 form with data from the prior year NTD submission. Transit agencies can modify data for
existing FG and HIB segments. You should not remove a segment from revenue service and create a new segment in order
to update a data field.
You can edit the following data fields for existing segments without prior NTD approval:
•
One-way/Two-way – this is a service characteristic of how transit services operate over the segment, either oneway or two-way operations. This generally does not change.
•
Out of Revenue Service Date – this is the date that your transit agency stopped operating transit service on the
segment. This field should only be completed if the service is discontinued. Do not include temporary
reconstructions. Add a Form Note describing any temporary segment closures.
Without FTA approval, you cannot change the following data fields for existing segments:
•
Urbanized area (UZA) – UZAs are based on the 2010 U.S. census. Boundaries should not change unless the U.S.
Bureau of the Census changes them. Therefore, segments should not change UZA location.
•
Segment Name – the name of the segment using conventional standards that makes the segment readily
identifiable. Segment names do not usually change.
•
Begins At and Ends At – the beginning and ending points of the segment. Beginning and ending points do not
change. If service is discontinued on a portion of the segment or the segment is extended, you should add new
segments (See discussion below).
•
Length – the physical length of the segment reported to the nearest hundredth of a mile. Length should not change
unless the segment was incorrectly measured or in the wrong location (UZA) in the prior report year.
Fixed Guideway Segments form (S-20)— 229
2013 Urban Reporting Manual
•
Segment Type (Bus (MB) and Commuter Bus (CB) only) – there are six categories describing the physical
construction of the segment. This should not change unless the segment was reconstructed and its category has
changed or high occupancy/toll (HO/T) lane operation is allowed.
•
Peak Level of Service (LOS) (CB, MB, RB only) – peak level of service (LOS) is periodically updated by state and
local highway agencies. You should check for updates to LOS information.
•
Safe Operation (CB, MB, RB only) – this usually does not change, but you should review.
•
Hours Prohibited (CB, MB, RB and trolleybus (TB) only) – this usually does not change, but you should review.
•
Enforcement Hours (CB, MB, RB only) – this usually does not change, but you should review.
•
Original Date of Revenue Service – the date that public transit service was first operated on the segment by any
transit agency. This date should not change.
•
Agency Revenue Service Start Date – the date that your transit agency started operating revenue service.
•
Out of Revenue Service Date – if your transit agency stopped operating transit service on the segment during the
year, you should report the last date of revenue service. Other transit agencies may continue to operate on this
segment.
•
Months Operated – the number of months during the year that your transit agency operated on the segment. Unless
your transit agency began or ended service on the segment during the year, this should be 12 months.
•
TOS Claimed – this only applies if your transit agency operated both DO and PT services for the same mode on the
same segment in their NTD Annual report. If a segment is added to both TOS you must identify the segment on
both S-20 form as either PT or DO. If during a prior year NTD Annual report both PT and DO were operated and
only one TOS is operated in the current year, you may need to correct the TOS claimed.
•
NTD Agency Claiming Segment – this usually does not change unless agreed to by all the transit agencies
operating service over the segment.
•
Statutory BRT – this can only change with FTA approval.
If changes are necessary, you must make a request to FTA. Changes will be considered on a case-by-case basis.
Requested changes do not take effect until after the FTA approval process is complete and the S-20 form has been
saved. You should make these requests using the New Fixed Guideway Segment Request selection under the Add
Correspondence button of the e-File tab. The requests for data field changes, including supporting documentation,
must be received at least 60 calendar days prior to the report due date. You should refer to the NTD Annual Reporting
Timelines exhibit under When to Report in the Introduction section to determine due dates.
The requests for data field changes should:
•
Identify the segment-by-segment code and segment name.
•
Describe fully the requested changes. This description should provide the existing and requested values for each
change in a data field.
•
Detail the reason for each change. Most reasons are straightforward because there have been changes in the
physical environment or changes in the services operated. However, some reasons may be based on corrections to
data submitted in the prior year’s report. If a correction is requested, you must provide detailed support for the
correction and an explanation for why you submitted incorrect data in the prior year’s report.
•
If length is changed, you must attach detailed maps depicting exact measurement to the E-file tab at least 60
calendar days prior to the report due date.
When a data change request is approved, you must save the S-20 form. The form will then update to include the approved
changes in the summary of DRM and the updated data will be transferred to other forms.
Add Pre-Existing and New Segment Data
You may add a segment that has been reported to the NTD in a prior report or may add a new segment by clicking on the
Add Segment button on the form. A Drop-Down menu provides a list of previously reported segments by urbanized area
(UZA) as well as a Create New Segment button. The following rules apply:
•
If your transit agency is operating on an existing segment for the first time, you should select the segment from the
list. This is a listing of all existing FG and HIB segments in your area. You should add your agency’s revenue
service start date in the applicable field.
•
If your transit agency operates service on only a portion of a pre-existing segment, you should use the Create New
Segment button. You should report the same original date of revenue service. The segment code will appear as
230 — Fixed Guideway Segments form (S-20)
2013 Urban Reporting Manual
New under Proposed New Segments. NTD staff will reassign a segment code based on the pre-existing segment at
the end of the validation process for all reporters. Also, in your request for changes you must identify the portions of
the segment on which your transit agency operates.
•
If your transit agency operates on a segment not in the list, you should use the Create New Segment button. The
segment code will appear under Proposed New Segments. You should complete all data fields and report the
original date of revenue service and the agency revenue service start date. These should be the same and should
be a date sometime during the current report year.
Once the segments have been proposed, you will be reminded upon saving this form to go to the e-File tab and submit your
request for Fixed Guideway (FG) or High Intensity Bus (HIB) Changes. The requests for data field changes, including
supporting documentation, must be received at least 60 calendar days prior to the report due date. You should refer
to the NTD Annual Reporting Timelines exhibit under When to Report in the Introduction section to determine due dates.
When you request new segments you must attach detailed supporting documentation to the E-file tab:
•
Maps (preferably engineering diagrams) which clearly identify each:
o
Segment beginning and ending point, mile post markings preferred
o
Segment length to the nearest hundredth of a mile, and other supporting documentation of the
measurement.
•
Proof of when the segment went into revenue service so that the agency revenue service start date can be verified
(a newspaper article or press release).
•
A schedule showing your service on the segment
You must submit requests for new segments at least 60 calendar days prior to the report due date.
For apportionment purposes, the 7-year age requirement for fixed guideway and high intensity bus segments is based on the
report year when the segment is first reported by any NTD transit agency. This pertains to segments reported for the first
time in the current report year. Even if you can document a revenue service start date prior to the current NTD report year,
FTA will only consider segments continuously reported to NTD.
Segments will not be included into the calculations until FTA approves the segments and you save the S-20 form again.
Once you save the S-20, the total will re-calculate and the data will transfer to the S-10 and the FFA-10 forms.
Delete Segment Data
If you requested a segment in error or if you reported a segment in error, you must contact NTD staff for FTA approval to
delete segments. Once these segments have FTA approval to be deleted, you should save the S-20 form and the total will
re-calculate and the revised data will transfer to the S-10 and FFA-10.
If your transit agency no longer operated service on a segment that you reported in the prior report year, you should enter
under Out of Revenue Service Date, the date that your transit agency terminated transit service was for this mode and TOS.
If service ended in the prior report year, you should enter that date. If service was last operated on the last day of the prior
report year, you should enter the date for the first day of the current report year.
Line by Line Instructions for Fixed Guideway Segments form (S-20) – Bus (CB,MB)
From the Forms Summary Screen, you should click on the Fixed Guideway Segments form (S-20) link for the mode and
type of service (TOS) to open the S-20 form.
The S-20 form is pre-filled with segment descriptions from the prior year NTD report submission. You may add additional
segments by using the Add Segment and Create New Segment buttons. Segments submitted under the Create New
Segment button must receive FTA approval before they are added into calculations on the form.
Form Level Help: You should click on the Help tab at the top of the screen for form level help.
Form Note: A form note can be attached to any form. You should use the Add Form Note link for relevant information to a
specific field, to the entire form or to multiple forms. You should click on the Add Form Note link at the top of the screen and
enter your note on the Notes screen. You can review and/or edit a form note from the Notes tab. You should not use the
Form Notes feature to answer issues generated from this form. From the Issues tab you should use the Add Comments
link next to the specific issue.
Saving or Closing the Form: You should click on the Save button at the bottom of the screen to save the form. Click on the
Close button at the bottom of the screen to close the form without saving.
Fixed Guideway Segments form (S-20)— 231
2013 Urban Reporting Manual
.25 Miles or Less Segments
For CB and MB mode, transit agencies must comply with FTA requirements regarding segments that are either .25 miles or
less in length or also used by toll-paying single occupancy vehicles (SOVs) on an incidental basis.
You must justify segments for CB and MB mode that are less than or equal .25 miles unless they are operating on a bridge,
in a tunnel or connect with a transit terminal. Follow instructions under the length field.
Column a: Segment Code. This field is pre-filled with data for pre-existing segments from the prior year and cannot be
edited. These pre-filled codes are for NTD internal use only.
•
New segments: This field appears as New. A segment code will be assigned at the end of the validation process.
Column b: Urbanized Area (UZA). This field is pre-filled with data for pre-existing segments from the prior year and cannot
be edited.
•
New segments: From the drop-down menu, select the number of the urbanized area (UZA) in which the segment is
geographically located or select other than urbanized area (non-UZA) if the segment is not geographically located in
UZA. Segments should not cross UZA boundaries.
Column c: Segment Name. This field is pre-filled with data for pre-existing segments from the prior year and cannot be
edited.
•
New segments: Enter the name of the segment. Provide enough detail to identify the segment and its location. Use
route or line name, or the roadways where the facilities are located, to identify segments.
Column d: Begins At. This field is pre-filled with data for pre-existing segments from the prior year and cannot be edited.
New segments: Enter the point at which the segment begins, in sufficient detail that it can be uniquely identified. Use readily
identifiable locations (e.g., intersections and mileposts) to describe segment endpoints. Do not use abbreviations in these
endpoint descriptions because they need to be easily identifiable on maps, timetables and other materials during the
validation process.
Column e: Ends At. This field is pre-filled with data for pre-existing segments from the prior year and cannot be edited.
•
New segments: Enter the point at which the segment ends, in sufficient detail that it can be uniquely identified. Use
readily identifiable locations (e.g., intersections and mileposts) to describe segment endpoints. Do not use
abbreviations in these endpoint descriptions because they need to be easily identifiable on maps, timetables and
other materials during the validation process.
Column f: Length. This field is pre-filled with data for pre-existing segments from the prior year and cannot be edited.
•
New segments: Enter the segment length to the nearest hundredth of a mile. Reporting the segment length to the
nearest hundredth of a mile provides the accuracy of the directional route miles to the nearest tenth for the Federal
funding allocations.
Column g: One/Two-way. This field is pre-filled with data for pre-existing segments from the prior year. Click on the Modify
button to make revisions.
•
For pre-existing and new segments: From the drop-down menu, select the number of directions in which vehicles
may travel (one-way or two-way).
Column h: Segment Type. This field is pre-filled with data for pre-existing segments from the prior year and cannot be
edited.
•
New segments: From the drop-down menu, select the type of physical construction (segment type):
o
A. Exclusive busway separated from traffic by physical barriers
o
B. Exclusive busway separated from traffic by painted lines
o
C. Roadway lanes for exclusive use by high occupancy vehicles and separated from traffic by physical
barriers
o
D. Roadway lanes for exclusive use by high occupancy vehicles and separated from traffic by painted lines
o
E. Roadway lanes operated as an HO/T lane
Column i: Peak Level of Service (LOS). This field is pre-filled with data for pre-existing segments from the prior year and
cannot be edited.
•
New segments: From the drop-down menu, select the peak period level of service (LOS) ranging from A (best) to F
(worst) traffic conditions as defined in the Highway Capacity Manual. In reporting LOS, this is the traffic condition on
232 — Fixed Guideway Segments form (S-20)
2013 Urban Reporting Manual
the lanes next to the CB, MB or RB segment or in the travel corridor. Peak LOS must be determined by a
qualified traffic engineer. The peak period LOS should be reported for the:
•
General traffic lanes for priority lanes on a multilane highway, or
•
General traffic lanes for exclusive lanes parallel to a multilane highway, but physically separated from the general
traffic lanes, or
•
Corridor served by a stand-alone HOV roadway of which no lane is open to general traffic.
The levels of service are:
A.
Indicates a relatively free flow of traffic, with little or no limitation on vehicle movement or speed.
B.
Describes a steady flow of traffic, with only slight delays in vehicle movement and speed. All queues clear in a
single traffic signal cycle.
C.
Denotes a reasonably steady, high volume flow of traffic, with some limitations on movement and speed, and
occasional backups on critical approaches.
D.
Designates the level where traffic nears an unstable flow. Intersections still function, but short queues develop and
cars may have to wait through one cycle during short peaks.
E.
Represents traffic characterized by slow movement and frequent (although momentary) stoppages. This type of
congestion is considered severe, but is not uncommon at peak traffic hours, with frequent stopping, long standing
queues, and blocked intersections.
F.
Describes unsatisfactory stop-and-go traffic characterized by traffic jams and stoppages of long duration. Vehicles
at signalized intersections usually have to wait through one or more signal changes, and upstream intersections
may be blocked by the long queues.
Column j: Safe Operation. This field is pre-filled with data for pre-existing segments from the prior year and cannot be
edited.
•
For new segments: From the drop-down menu, select whether or not safe operation requirements are met, as
follows:
o
Select yes if HOV lanes on freeways meet the safe operation requirements.
o
Select no if HOV lanes on freeways do not meet the safe operation requirements.
o
For all other segments (non-freeways), select yes.
o
The safe operation requirements apply to priority lanes on freeways used by CB and MB mode and other
HOVs, such as vanpools (VP) and carpools, to ensure safe travel. For these lanes there must be some
indication of separation to ensure safe access between free flowing high occupancy vehicle lanes and the
congested, unrestricted lanes. Separation can be physical barriers or lane division markings, but not
diamond markings, overhead signs or roadside signs. Lanes restricted to CB, MB and RB mode qualify as
safely operated.
Column k: Hours Prohibited. This field is pre-filled with data for pre-existing segments from the prior year and cannot be
edited.
•
For new segments: Enter the number of hours per week during which single occupancy vehicles (SOVs) are legally
prohibited from using any portion of the segment. If your transit agency has stricter requirements for high
occupancy vehicle (HOV) facilities than the prohibition of single occupancy vehicles (SOVs), for example, three or
more persons per vehicle, then those requirements apply to the high occupancy toll (HO/T) lane, (i.e., one and twoperson vehicles would pay tolls).
Column l: Enforced/Prohibited. This field is pre-filled with data for pre-existing segments from the prior year and cannot be
edited.
•
For new segments: Enter the number of hours per week during which officers of the law enforce the prohibition,
throughout the segment. There must be a level of enforcement sufficient to ensure that 95 percent of the vehicles
using the segment are eligible to use it.
Column m: Original Date of Revenue Service. This field is pre-filled with data for pre-existing segments from the prior year
and cannot be edited.
•
For new segments: Enter the opening date of revenue service on this segment by any transit operator, even though
your transit agency may not have been the original operator. If you are the first transit agency to operate on a new
segment, the original date of revenue service will be the same as the agency revenue service start date.
Fixed Guideway Segments form (S-20)— 233
2013 Urban Reporting Manual
Column n: Agency Revenue Service Start Date. This field is pre-filled with data for pre-existing segments from the prior year
and cannot be edited.
•
For new segments: Enter the date that your transit agency started operating revenue service. Internet reporting
automatically determines and enters the number of months operated.
Column o: Out of Revenue Service Date. Pre-existing segments: Click on the Modify button to make revisions.
•
Enter the last date of revenue service if your transit agency stopped operating transit service on the segment during
the year. Other reporters may continue to operate on this segment. If a segment is temporarily out of service for
rehabilitation or reconstruction for less than 12 months, do not enter an out of revenue service date. FTA allows the
months operated as 12. If a segment is out of service for rehabilitation or reconstruction for more than 12 months,
or for some other temporary stoppage of service, contact your NTD analyst. FTA will make a determination on to
report the segment.
Column p: Months Operated. This field cannot be edited.
•
For new segments: Internet reporting automatically determines and enters the number of months operated using
the agency revenue service start date. Internet reporting will round the number of months of operation to a whole
number, reporting a full month for revenue service that begins between the first and 14th of the month; revenue
service that begins from the 15th through the end of the month is not counted. If revenue service began in the last
two weeks of your transit agency’s fiscal year, Internet reporting will indicate 0 months.
•
Pre-existing segments:
o
If you did not enter an out of revenue service date, Internet Reporting automatically enters 12 months.
o
If a segment is temporarily out of service for rehabilitation or reconstruction for less than 12 months, the
months operated will indicate 12.
o
If a segment is out of service for rehabilitation or reconstruction for more than 12 months, contact your
NTD analyst. FTA will make a determination on how to report the segment.
Column q: Type of service (TOS) Claimed. This field is pre-filled with data for pre-existing segments from the prior year and
cannot be edited.
•
For new segments: Enter the TOS claimed for the segment’s DRM on the Federal Funding Allocation Statistics form
(FFA-10) — DO or PT service — if the same mode operates on the same segment for both the DO and PT service,
report the segment on both the DO and PT forms.
Column r: Mode Claimed. This field is pre-filled with data for pre-existing segments from the prior year and cannot be
edited.
•
For new segments: Enter the mode claiming the segment’s DRM on the Federal Funding Allocation Statistics form
(FFA-10).
Column s: NTD Agency Claiming Segment. This field is pre-filled with data for pre-existing segments from the prior year and
cannot be edited.
•
For new segments: Enter the NTD ID for the transit agency claiming the segment’s DRM on the Federal Funding
Allocation Statistics form (FFA-10).
Directional Route Miles Summary
Fixed Guideway (Busway/Bus Lane)
All Levels of Service (LOS)
Line 01: Total Fixed Guideway @ Fiscal Year End (FYE). This is an auto-calculated field and cannot be edited, review for
accuracy.
•
The total number of DRM for all segments that are transit-exclusive at all times by UZA, non-UZA and total. Internet
reporting automatically transfers the total (all UZA and non- UZA) data to the S-10 form, line 24.
Line 02: Total Controlled Access ROW @ FYE. This is an auto-calculated field and cannot be edited, review for accuracy.
•
The total number of DRM for all segments that are transit-exclusive at some times by UZA, non-UZA and total over
the course of the report year.
Levels of Service (LOS) D, E, F
Line 03: Average fixed guideway. This is an auto-calculated field and cannot be edited, review for accuracy.
234 — Fixed Guideway Segments form (S-20)
2013 Urban Reporting Manual
•
The average number of DRM for all segments that are transit-exclusive at all times and have LOS D, E, or F, by
UZA, non-UZA and total over the course of the report year. Internet reporting automatically transfers the total (all
UZA and non UZA) data to the Federal Funding Allocation form (FFA-10), the field under line 08.
Line 04: Average fixed guideway for Funding. This is an auto-calculated field and cannot be edited, review for accuracy.
•
The average number of DRM for all segments that are transit-exclusive at all times and have LOS D, E, or F, and
claimed by the reporting agency and mode/type of service by UZA, non-UZA and total over the course of the report
year. Internet reporting automatically transfers the total (all UZA and non UZA) data to the Federal Funding
Allocation form (FFA-10), line 08.
LOS D, E, F and > 7 years at Federal Fiscal Year End
Line 05: Total fixed guideway @ FYE. This is an auto-calculated field and cannot be edited, review for accuracy.
•
The total number of DRM for all segments that are transit-exclusive at all times and have LOS D, E, or F, and are
older than 7 years, by UZA, non-UZA, and total. Internet reporting automatically transfers the total (all UZA and non
UZA) data to the Federal Funding Allocation form (FFA-10), the field under line 16.
Line 06: Total fixed guideway for Funding @ FYE. This is an auto-calculated field and cannot be edited, review for
accuracy.
•
The total number of DRM for all segments that are transit-exclusive at all times and claimed by the reporting agency
and mode/type of service and have LOS D, E, or F, and are older than 7 years, by UZA, non-UZA, and total.
Internet reporting automatically transfers the total (all UZA and non UZA) data to the Federal Funding Allocation
form (FFA-10), line 16.
High Intensity Motorbus (Shared Use – HOV – HO/T)
All Levels of Service (LOS)
Line 07: Total high intensity bus @ FYE. This is an auto-calculated field and cannot be edited, review for accuracy.
•
The total number of DRM for all segments on High Intensity Bus ROW by UZA, non-UZA and total. Internet
reporting automatically transfers the total (all UZA and non- UZA) data to the S-10 form, line 25.
LOS D, E, F and > 7 years at Federal Fiscal Year End
Line 08: Total high intensity bus. This is an auto-calculated field and cannot be edited, review for accuracy.
•
The total number of DRM for all segments on High Intensity Bus ROW that have LOS D, E, or F and are older than
7 years, by UZA, non-UZA and total. Internet reporting automatically transfers the total (all UZA and non- UZA) data
to the FFA-10 form, the field under line 18.
Line 09: Total high intensity bus for funding. This is an auto-calculated field and cannot be edited, review for accuracy.
•
The total number of DRM for all segments on High Intensity Bus ROW that are claimed by the reporting agency and
mode/type of service and have LOS D, E, or F and are older than 7 years, by UZA, non-UZA and total. Internet
reporting automatically transfers the total (all UZA and non- UZA) data to the FFA-10 form, line 18.
Line by Line Instructions for Fixed Guideway Segments form (S-20) – Bus Rapid
Transit (RB)
From the Forms Summary Screen, you should click on the Fixed Guideway Segments form (S-20) link for the mode and
type of service (TOS) to open the S-20 form.
The S-20 form is pre-filled with segment descriptions from the prior year NTD report submission. You may add additional
segments by using the Add Segment and Create New Segment buttons. Segments submitted under the Create New
Segment button must receive FTA approval before they are added into calculations on the form.
Form Level Help: You should click on the Help tab at the top of the screen for form level help.
Form Note: A form note can be attached to any form. You should use the Add Form Note link for relevant information to a
specific field, to the entire form or to multiple forms. You should click on the Add Form Note link at the top of the screen and
enter your note on the Notes screen. You can review and/or edit a form note from the Notes tab. You should not use the
Form Notes feature to answer issues generated from this form. From the Issues tab you should use the Add Comments
link next to the specific issue.
Saving or Closing the Form: You should click on the Save button at the bottom of the screen to save the form. Click on the
Close button at the bottom of the screen to close the form without saving.
Fixed Guideway Segments form (S-20)— 235
2013 Urban Reporting Manual
.25 Miles or Less Segments
For CB and MB mode, transit agencies must comply with FTA requirements regarding FG segments that are either .25 miles
or less in length or also used by toll-paying single occupancy vehicles (SOVs) on an incidental basis.
You must justify FG segments for CB and MB mode that are less than or equal .25 miles unless they are operating on a
bridge, in a tunnel or connect with a transit terminal. Follow instructions under the length field.
Column a: Segment Code. This field is pre-filled with data for pre-existing segments from the prior year and cannot be
edited. These pre-filled codes are for NTD internal use only.
•
New segments: This field appears as New. A segment code will be assigned at the end of the validation process.
Column b: Urbanized Area (UZA). This field is pre-filled with data for pre-existing segments from the prior year and cannot
be edited.
•
New segments: From the drop-down menu, select the number of the urbanized area (UZA) in which the segment is
geographically located or select other than urbanized area (non-UZA) if the segment is not geographically located in
UZA. Segments should not cross UZA boundaries.
Column c: Segment Name. This field is pre-filled with data for pre-existing segments from the prior year and cannot be
edited.
•
New segments: Enter the name of the segment. Provide enough detail to identify the segment and its location. Use
route or line name, or the roadways where the facilities are located, to identify segments.
Column d: Begins At. This field is pre-filled with data for pre-existing segments from the prior year and cannot be edited.
New segments: Enter the point at which the segment begins, in sufficient detail that it can be uniquely identified. Use readily
identifiable locations (e.g., intersections and mileposts) to describe segment endpoints. Do not use abbreviations in these
endpoint descriptions because they need to be easily identifiable on maps, timetables and other materials during the
validation process.
Column e: Ends At. This field is pre-filled with data for pre-existing segments from the prior year and cannot be edited.
•
New segments: Enter the point at which the segment ends, in sufficient detail that it can be uniquely identified. Use
readily identifiable locations (e.g., intersections and mileposts) to describe segment endpoints. Do not use
abbreviations in these endpoint descriptions because they need to be easily identifiable on maps, timetables and
other materials during the validation process.
Column f: Length. This field is pre-filled with data for pre-existing segments from the prior year and cannot be edited.
•
New segments: Enter the segment length to the nearest hundredth of a mile. Reporting the segment length to the
nearest hundredth of a mile provides the accuracy of the directional route miles to the nearest tenth for the Federal
funding allocations.
Column g: One/Two-way. This field is pre-filled with data for pre-existing segments from the prior year. Click on the Modify
button to make revisions.
•
For pre-existing and new segments: From the drop-down menu, select the number of directions in which vehicles
may travel (one-way or two-way).
Column h: Segment Type. This field is pre-filled with data for pre-existing segments from the prior year and cannot be
edited.
•
New segments: From the drop-down menu, select the type of physical construction (segment type):
o
A. Exclusive busway separated from traffic by physical barriers
o
B. Exclusive busway separated from traffic by painted lines
o
C. Roadway lanes for exclusive use by high occupancy vehicles and separated from traffic by physical
barriers
o
D. Roadway lanes for exclusive use by high occupancy vehicles and separated from traffic by painted lines
o
E. Roadway lanes operated as an HO/T lane
o
F. Roadway used by mixed traffic that is part of a bus rapid transit route
Column i: Peak Level of Service (LOS). This field is pre-filled with data for pre-existing segments from the prior year and
cannot be edited.
•
New segments: From the drop-down menu, select the peak period level of service (LOS) ranging from A (best) to F
(worst) traffic conditions as defined in the Highway Capacity Manual. In reporting LOS, this is the traffic condition on
236 — Fixed Guideway Segments form (S-20)
2013 Urban Reporting Manual
the lanes next to the CB, MB or RB fixed guideway (FG) segment or in the travel corridor. Peak LOS must be
determined by a qualified traffic engineer. The peak period LOS should be reported for the:
o
General traffic lanes for priority lanes on a multilane highway, or
o
General traffic lanes for exclusive lanes parallel to a multilane highway, but physically separated from the
general traffic lanes, or
o
Corridor served by a stand-alone HOV roadway of which no lane is open to general traffic.
The levels of service are:
A.
Indicates a relatively free flow of traffic, with little or no limitation on vehicle movement or speed.
B.
Describes a steady flow of traffic, with only slight delays in vehicle movement and speed. All queues clear
in a single traffic signal cycle.
C.
Denotes a reasonably steady, high volume flow of traffic, with some limitations on movement and speed,
and occasional backups on critical approaches.
D.
Designates the level where traffic nears an unstable flow. Intersections still function, but short queues
develop and cars may have to wait through one cycle during short peaks.
E.
Represents traffic characterized by slow movement and frequent (although momentary) stoppages. This
type of congestion is considered severe, but is not uncommon at peak traffic hours, with frequent stopping,
long standing queues, and blocked intersections.
F.
Describes unsatisfactory stop-and-go traffic characterized by traffic jams and stoppages of long duration.
Vehicles at signalized intersections usually have to wait through one or more signal changes, and
upstream intersections may be blocked by the long queues.
Column j: Safe Operation. This field is pre-filled with data for pre-existing segments from the prior year and cannot be
edited.
•
For new segments: From the drop-down menu, select whether or not safe operation requirements are met, as
follows:
o
Select yes if HOV lanes on freeways meet the safe operation requirements.
o
Select no if HOV lanes on freeways do not meet the safe operation requirements.
o
For all other segments (non-freeways), select yes.
o
The safe operation requirements apply to priority lanes on freeways used by CB and MB mode and other
HOVs, such as vanpools (VP) and carpools, to ensure safe travel. For these lanes there must be some
indication of separation to ensure safe access between free flowing high occupancy vehicle lanes and the
congested, unrestricted lanes. Separation can be physical barriers or lane division markings, but not
diamond markings, overhead signs or roadside signs. Lanes restricted to CB, MB and RB mode qualify as
safely operated.
Column k: Hours Prohibited. This field is pre-filled with data for pre-existing segments from the prior year and cannot be
edited.
•
For new segments: Enter the number of hours per week during which single occupancy vehicles (SOVs) are legally
prohibited from using any portion of the segment. If your transit agency has stricter requirements for high
occupancy vehicle (HOV) facilities than the prohibition of single occupancy vehicles (SOVs), for example, three or
more persons per vehicle, then those requirements apply to the high occupancy toll (HO/T) lane, (i.e., one and twoperson vehicles would pay tolls).
Column l: Enforced/Prohibited. This field is pre-filled with data for pre-existing segments from the prior year and cannot be
edited.
•
For new segments: Enter the number of hours per week during which officers of the law enforce the prohibition,
throughout the segment. There must be a level of enforcement sufficient to ensure that 95 percent of the vehicles
using the fixed guideway (FG) segment are eligible to use it.
Column m: Original Date of Revenue Service. This field is pre-filled with data for pre-existing segments from the prior year
and cannot be edited.
•
For new segments: Enter the opening date of revenue service on this segment by any transit operator, even though
your transit agency may not have been the original operator. If you are the first transit agency to operate on a new
segment, the original date of revenue service will be the same as the agency revenue service start date.
Fixed Guideway Segments form (S-20)— 237
2013 Urban Reporting Manual
Column n: Agency Revenue Service Start Date. This field is pre-filled with data for pre-existing segments from the prior year
and cannot be edited.
•
For new segments: Enter the date that your transit agency started operating revenue service. Internet reporting
automatically determines and enters the number of months operated.
Column o: Out of Revenue Service Date. Pre-existing segments: Click on the Modify button to make revisions.
•
Enter the last date of revenue service if your transit agency stopped operating transit service on the segment during
the year. Other reporters may continue to operate on this segment. If a segment is temporarily out of service for
rehabilitation or reconstruction for less than 12 months, do not enter an out of revenue service date. FTA allows the
months operated as 12. If a segment is out of service for rehabilitation or reconstruction for more than 12 months,
or for some other temporary stoppage of service, contact your NTD analyst. FTA will make a determination on to
report the segment.
Column p: Months Operated. This field cannot be edited.
•
For new segments: Internet reporting automatically determines and enters the number of months operated using
the agency revenue service start date. Internet reporting will round the number of months of operation to a whole
number, reporting a full month for revenue service that begins between the first and 14th of the month; revenue
service that begins from the 15th through the end of the month is not counted. If revenue service began in the last
two weeks of your transit agency’s fiscal year, Internet reporting will indicate 0 months.
•
Pre-existing segments:
o
If you did not enter an out of revenue service date, Internet Reporting automatically enters 12 months.
o
If a segment is temporarily out of service for rehabilitation or reconstruction for less than 12 months, the
months operated will indicate 12.
o
If a segment is out of service for rehabilitation or reconstruction for more than 12 months, contact your
NTD analyst. FTA will make a determination on how to report the segment.
Column q: Type of service (TOS) Claimed. This field is pre-filled with data for pre-existing segments from the prior year and
cannot be edited.
•
For new segments: Enter the TOS claimed for the segment’s DRM on the Federal Funding Allocation Statistics form
(FFA-10) — DO or PT service — if the same mode operates on the same segment for both the DO and PT service,
report the segment on both the DO and PT forms.
Column r: Mode Claimed. This field is pre-filled with data for pre-existing segments from the prior year and cannot be
edited.
•
For new segments: Enter the mode claiming the segment’s DRM on the Federal Funding Allocation Statistics form
(FFA-10).
Column s: NTD Agency Claiming Segment. This field is pre-filled with data for pre-existing segments from the prior year and
cannot be edited.
•
For new segments: Enter the NTD ID for the transit agency claiming the segment’s DRM on the Federal Funding
Allocation Statistics form (FFA-10).
Column t: Statutory BRT: This field is pre-filled with data for pre-existing segments from the prior year and cannot be edited.
•
For new segments: Enter yes if this portion of your BRT system has been certified as BRT by FTA. In almost all
cases you should choose yes. If you are not sure what to select, contact your analyst.
Directional Route Miles Summary
Fixed Guideway (Busway / Bus Lane)
All Levels of Service (LOS)
Line 01: Total fixed guideway @ Fiscal Year End (FYE). This is an auto-calculated field and cannot be edited, review for
accuracy.
•
The total number of DRM for all segments that are transit-exclusive at all times by UZA, non-UZA and total. Internet
reporting automatically transfers the total (all UZA and non- UZA) data to the S-10 form, line 24.
Line 02: Total Controlled Access ROW @ FYE. This is an auto-calculated field and cannot be edited, review for accuracy.
238 — Fixed Guideway Segments form (S-20)
2013 Urban Reporting Manual
•
The total number of DRM for all segments that are transit-exclusive at some times by UZA, non-UZA and total over
the course of the report year.
Levels of Service (LOS) D, E, F
Line 03: Average fixed guideway. This is an auto-calculated field and cannot be edited, review for accuracy.
•
The average number of DRM for all segments that are transit-exclusive at all times and have LOS D, E, or F, by
UZA, non-UZA and total over the course of the report year. Internet reporting automatically transfers the total (all
UZA and non UZA) data to the Federal Funding Allocation form (FFA-10), the field under line 08.
Line 04: Average fixed guideway for Funding. This is an auto-calculated field and cannot be edited, review for accuracy.
•
The average number of DRM for all segments that are transit-exclusive at all times and have LOS D, E, or F, and
claimed by the reporting agency and mode/type of service by UZA, non-UZA and total over the course of the report
year. Internet reporting automatically transfers the total (all UZA and non UZA) data to the Federal Funding
Allocation form (FFA-10), line 08.
LOS D, E, F and > 7 years at Federal Fiscal Year End
Line 05: Total fixed guideway @ FYE. This is an auto-calculated field and cannot be edited, review for accuracy.
•
The total number of DRM for all segments that are transit-exclusive at all times and have LOS D, E, or F, and are
older than 7 years, by UZA, non-UZA, and total. Internet reporting automatically transfers the total (all UZA and non
UZA) data to the Federal Funding Allocation form (FFA-10), the field under line 16.
Line 06: Total fixed guideway for Funding @ FYE. This is an auto-calculated field and cannot be edited, review for
accuracy.
•
The total number of DRM for all segments that are transit-exclusive at all times and claimed by the reporting agency
and mode/type of service and have LOS D, E, or F, and are older than 7 years, by UZA, non-UZA, and total.
Internet reporting automatically transfers the total (all UZA and non UZA) data to the Federal Funding Allocation
form (FFA-10), line 16.
High Intensity Motorbus (Shared Use – HOV – HO/T)
All Levels of Service
Line 07: Total high intensity bus @ FYE. This is an auto-calculated field and cannot be edited, review for accuracy.
•
The total number of DRM for all segments on High Intensity Bus ROW by UZA, non-UZA and total.
LOS D, E, F and > 7 years at Federal Fiscal Year End
Line 08: Total high intensity bus. This is an auto-calculated field and cannot be edited, review for accuracy.
•
The total number of DRM for all segments on High Intensity Bus ROW that have LOS D, E, or F and are older than
7 years, by UZA, non-UZA and total. Internet reporting automatically transfers the total (all UZA and non- UZA) data
to the FFA-10 form, the field under line 18.
Line 09: Total high intensity bus for funding. This is an auto-calculated field and cannot be edited, review for accuracy.
•
The total number of DRM for all segments on High Intensity Bus ROW that are claimed by the reporting agency and
mode/type of service and have LOS D, E, or F and are older than 7 years, by UZA, non-UZA and total. Internet
reporting automatically transfers the total (all UZA and non- UZA) data to the FFA-10 form, line 18.
Fixed Guideway Segments form (S-20)— 239
2013 Urban Reporting Manual
Line by Line Instructions for Fixed Guideway Segments form (S-20) – Trolleybus
From the Forms Summary Screen, you should click on the Fixed Guideway Segments form (S-20) link for the mode and
type of service (TOS) to open the S-20 form.
The S-20 form is pre-filled with segment descriptions from the prior year NTD report submission. You may add additional
segments by using the Add Segment and Create New Segment buttons. Segments submitted under the Create New
Segment button must receive FTA approval before they are added into calculations on the form.
Form Level Help: You should click on the Help tab at the top of the screen for form level help.
Form Note: A form note can be attached to any form. You should use the Add Form Note link for relevant information to a
specific field, to the entire form or to multiple forms. You should click on the Add Form Note link at the top of the screen and
enter your note on the Notes screen. You can review and/or edit a form note from the Notes tab. You should not use the
Form Notes feature to answer issues generated from this form. From the Issues tab you should use the Add Comments
link next to the specific issue.
Saving or Closing the Form: You should click on the Save button at the bottom of the screen to save the form. You should
click on the Close button at the bottom of the screen to close the form without saving.
Column a: Segment Code. This field is pre-filled with data for pre-existing segments from the prior year and cannot be
edited. These pre-filled codes are for NTD internal use only.
•
New segments: This field appears as New. A segment code will be assigned at the end of the validation process.
Column b: Urbanized Area (UZA). This field is pre-filled with data for pre-existing segments from the prior year and cannot
be edited.
•
New segments: From the drop-down menu, select the number of the urbanized area (UZA) in which the segment is
geographically located or select other than urbanized area (non-UZA) if the segment is not geographically located in
a UZA. Segments should not cross UZA boundaries.
Column c: Segment Name. This field is pre-filled with data for pre-existing segments from the prior year and cannot be
edited.
•
New segments: Enter the name of the segment. Provide enough detail to identify the segment and its location. Use
route or line name, or the roadways where the facilities are located, to identify segments.
Column d: Begins At. This field is pre-filled with data for pre-existing segments from the prior year and cannot be edited.
•
New segments: Enter the point at which the segment begins, in sufficient detail that it can be uniquely identified.
Use readily identifiable locations (e.g., intersections and mileposts) to describe segment endpoints. Do not use
abbreviations in these endpoint descriptions because they need to be easily identifiable on maps, timetables and
other materials during the validation process.
Column e: Ends At. This field is pre-filled with data for pre-existing segments from the prior year and cannot be edited.
•
New segments: Enter the point at which the segment ends, in sufficient detail that it can be uniquely identified. Use
readily identifiable locations (e.g., intersections and mileposts) to describe segment endpoints. Do not use
abbreviations in these endpoint descriptions because they need to be easily identifiable on maps, timetables and
other materials during the validation process.
Column f: Length. This field is pre-filled with data for pre-existing segments from the prior year and cannot be edited.
•
New segments: Enter the segment length to the nearest hundredth of a mile. Reporting the segment length to the
nearest hundredth of a mile provides the accuracy of the directional route miles to the nearest tenth for the Federal
funding allocations.
Column g: One/Two-way. This field is pre-filled with data for pre-existing segments from the prior year. Click on the Modify
button to make revisions.
•
For pre-existing and new segments: From the drop-down menu, select the number of directions in which vehicles
may travel (one-way or two-way).
Column k: Hours Prohibited. This field is pre-filled with data for pre-existing segments from the prior year and cannot be
edited.
•
For new segments: Enter the number of hours per week during which single occupancy vehicles (SOVs) are legally
prohibited from using any portion of the segment. If your transit agency has stricter requirements for HOV facilities
than the prohibition of SOVs, for example, three or more persons per vehicle, then those requirements apply to the
HO/T lane, (i.e., one and two-person vehicles would pay tolls).
240 — Fixed Guideway Segments form (S-20)
2013 Urban Reporting Manual
Column m: Original Date of Revenue Service. This field is pre-filled with data for pre-existing segments from the prior year
and cannot be edited.
•
For new segments: Enter the opening date of revenue service on this segment by any transit operator, even though
your transit agency may not have been the original operator. If you are the first transit agency to operate on a new
segment, the original date of revenue service will be the same as the agency revenue service start date.
Column n: Agency Revenue Service Start Date. This field is pre-filled with data for pre-existing segments from the prior year
and cannot be edited. Internet reporting automatically determines and enters the number of months operated.
•
For new segments: Enter the date that your transit agency started operating revenue service.
Column o: Out of Revenue Service Date. Pre-existing segments: Click on the Modify button to make revisions.
•
Enter the last date of revenue service if your transit agency stopped operating transit service on the segment
during the year. Other reporters may continue to operate on this segment. If a segment is temporarily out of service
for rehabilitation or reconstruction for less than 12 months, do not enter an out of revenue service date. FTA allows
the months operated as 12. If a segment is out of service for rehabilitation or reconstruction for more than 12
months, or for some other temporary stoppage of service, contact your NTD analyst. FTA will make a determination
on to report the segment.
Column p: Months Operated. This field cannot be edited.
•
For new segments: Internet reporting automatically determines and enters the number of months operated using
the agency revenue service start date. Internet reporting will round the number of months of operation to a whole
number, reporting a full month for revenue service that begins between the first and 14th of the month; revenue
service that begins from the 15th through the end of the month is not counted. If revenue service began in the last
two weeks of your transit agency’s fiscal year, Internet reporting will indicate 0 months.
•
Pre-existing segments:
o
If you did not enter an out of revenue service date, Internet Reporting automatically enters 12 months.
o
If a segment is temporarily out of service for rehabilitation or reconstruction for less than 12 months, the
months operated will indicate 12.
o
If a segment is out of service for rehabilitation or reconstruction for more than 12 months, contact your
NTD analyst. FTA will make a determination on how to report the segment.
Column q: TOS Claimed. This field is pre-filled with data for pre-existing segments from the prior year and cannot be edited.
•
For new segments: Enter the TOS claimed for the segment’s DRM on the FFA-10 form — (DO or PT) service — if
the same mode operates on the same segment for both the DO and PT service, report the segment on both the
directly operated DO and PT forms.
Column r: Mode Claimed. This field is pre-filled with data for pre-existing segments from the prior year and cannot be
edited.
•
For new segments: Enter the mode claiming the segment’s DRM on the Federal Funding Allocation Statistics form
(FFA-10).
Column s: NTD Agency Claiming Segment. This field is pre-filled with data for pre-existing segments from the prior year and
cannot be edited.
•
For new segments: Enter the NTD ID for the transit agency claiming the segment’s DRM on the FFA-10 form.
Directional Route Miles Summary
Line 01: Total Controlled Access Right-of-Way (ROW) @ Fiscal Year End (FYE). This is an auto-calculated field and
cannot be edited, review for accuracy. Internet reporting automatically transfers the total (all UZA and non- UZA) data to the
Service form (S-10), line 25.
•
The total number of DRMs for all segments on controlled access ROW by UZA, non-UZA and total.
Line 02: Average Controlled Access ROW. This is an auto-calculated field and cannot be edited, review for accuracy.
•
The average number of DRM for all segments on controlled access ROW by UZA, non-UZA and total over the
course of the report year.
Line 03: Total Exclusive ROW @ FYE. This is an auto-calculated field and cannot be edited, review for accuracy. Internet
reporting automatically transfers the total (all UZA and non UZA) data to the Service form (S-10), line 24.
Fixed Guideway Segments form (S-20)— 241
2013 Urban Reporting Manual
•
The total number of DRM for all segments on exclusive ROW by UZA, non-UZA and total.
Line 04: Average Exclusive ROW. This is an auto-calculated field and cannot be edited, review for accuracy.
•
The average number of DRM for all segments on exclusive ROW by UZA, non-UZA and total over the course of the
report year.
Line 05: Total Mixed Traffic ROW @ FYE. This is an auto-calculated field and cannot be edited, review for accuracy.
Internet reporting automatically transfers the total (all UZA and non-UZA) data to the Service form (S-10), line 26.
•
The total number of DRM for all segments on mixed traffic ROW by UZA, non-UZA, and total.
Line 06: Average Mixed Traffic ROW. This is an auto-calculated field and cannot be edited, review for accuracy.
•
The average number of DRM for all segments on mixed traffic ROW by UZA, non-UZA, and total over the course of
the report year.
Line 07: Total Average Controlled, Exclusive and Mixed Traffic ROW. This is an auto-calculated field and cannot be edited,
review for accuracy. Internet reporting automatically transfers the total (UZA and non-UZA) data to the FFA-10 form below
line 08. Vehicle revenue miles (VRM), passenger miles traveled (PMT) and operating expenses (OE) for all eligible
directional route miles can be claimed under fixed guideway (FG) on the FFA-10 form, lines 10 through 12.
•
The total average number of DRM on controlled, exclusive and mixed traffic ROW for all segments by UZA, nonUZA and total over the course of the report year. These data are used in determining eligible segments for the
Urbanized Area Formula Program (UAF).
Line 08: Total Average Controlled, Exclusive and Mixed Traffic ROW for Funding. This is an auto-calculated field and
cannot be edited, review for accuracy. Internet reporting automatically transfers the total (all UZA and non-UZA) data to the
FFA-10 form, line 08. These are the eligible DRM used for the UAF Program.
•
The average number of DRM on controlled access, exclusive, and mixed traffic ROW for all segments claimed by
the reporting agency for funding by UZA, non-UZA and total over the course of the report year.
Line 09: Total Controlled, Exclusive and Mixed Traffic ROW @ FYE. This is an auto-calculated field and cannot be edited,
review for accuracy.
•
The total number of DRM on controlled access, exclusive, and mixed traffic ROW for all segments by UZA, nonUZA and total.
All Segments > Seven Years @ Federal Fiscal Year End (FFYE)
Line 10: Total Controlled Access ROW. This is an auto-calculated field and cannot be edited, review for accuracy.
•
The number of DRM on controlled access ROW for segments ≥ seven years by UZA, non-UZA, and total.
Line 11: Total Exclusive ROW. This is an auto-calculated field and cannot be edited, review for accuracy.
•
The number of DRM on exclusive ROW for segments ≥ seven years by UZA, non-UZA, and total.
Line 12: Total Mixed Traffic ROW. This is an auto-calculated field and cannot be edited, review for accuracy.
•
The number of DRM on mixed traffic ROW for segments ≥ seven years by UZA, non-UZA, and total.
Line 13: Total Controlled, Exclusive and Mixed Traffic ROW. This is an auto-calculated field and cannot be edited, review
for accuracy. Internet reporting automatically transfers the total (UZA and non-UZA) data to the Federal Funding Allocation
Statistics form (FFA-10) below line 16. VRM for all eligible directional route miles can be claimed under FG on the FFA-10
form, line 17.
•
The total number of DRM on controlled access, exclusive and mixed traffic ROW for segments > seven years by
UZA, non-UZA, and total. These data are used in determining eligible segments for the UAF Program.
Line 14: Total Controlled, Exclusive and Mixed Traffic ROW for Funding. This is an auto-calculated field and cannot be
edited, review for accuracy. Internet reporting automatically transfers the total (all UZA and non-UZA) data to the FFA-10
form, line 16. These are the eligible DRM used for the State of Good Repair Program.
•
The total number of DRM on controlled access, exclusive and mixed traffic ROW for segments ≥ seven years
claimed by the reporting agency for funding, by UZA, non-UZA, and total.
242 — Fixed Guideway Segments form (S-20)
2013 Urban Reporting Manual
Line by Line Instructions for Fixed Guideway Segments form (S-20) – Rail, Ferryboat,
Aerial Tramway
From the Forms Summary screen, you should click on the Fixed Guideway Segments form (S-20) link for the mode and
type of service (TOS) to open the S-20 form.
The Fixed Guideway Segments form (S-20) is pre-filled with segment descriptions from the prior year NTD report
submission. You may add additional segments by using the Add Segment and Create New Segment buttons. Segments
submitted under the Create New Segment button must receive FTA approval before they are added into calculations on the
form.
Form Level Help: You should click on the Help tab at the top of the screen for form level help.
Form Note: A form note can be attached to any form. You should use the Add Form Note link for relevant information to a
specific field, to the entire form or to multiple forms. You should click on the Add Form Note link at the top of the screen and
enter your note on the Notes screen. You can review and/or edit a form note from the Notes tab. You should not use the
Form Notes feature to answer issues generated from this form. From the Issues tab you should use the Add Comments
link next to the specific issue.
Saving or Closing the Form: You should click on the Save button at the bottom of the screen to save the form. You should
click on the Close button at the bottom of the screen to close the form without saving.
Special Note Regarding Ferryboat (FB) DRM
FB directional route miles (DRM) are based on the most direct route between terminals over navigable water in statute miles.
This route may not be the length of the actual path followed. If there are several terminals connected by multiple routes, you
should measure the DRM as the minimum path connecting all the terminals.
Column a: Segment Code. This field is pre-filled with data for pre-existing segments from the prior year and cannot be
edited. These pre-filled codes are for NTD internal use only.
•
New segments: This field appears as New. A segment code will be assigned at the end of the validation process.
Column b: Urbanized Area (UZA). This field is pre-filled with data for pre-existing segments from the prior year and cannot
be edited.
•
New segments: From the drop-down menu, select the number of the UZA in which the segment is geographically
located or select non-UZA if the segment is not geographically located in UZA. A segment should not be entered as
in an UZA and also in a non-UZA Segments should not cross UZA boundaries.
Column c: Segment Name. This field is pre-filled with data for pre-existing segments from the prior year and cannot be
edited.
•
New segments: Enter the name of the segment. Provide enough detail to identify the segment and its location. Use
route or line name, or the roadways where the facilities are located, to identify segments.
Column d: Begins At. This field is pre-filled with data for pre-existing segments from the prior year and cannot be edited.
•
New segments: Enter the point at which the segment begins, in sufficient detail that it can be uniquely identified.
Use readily identifiable locations (e.g., intersections and mileposts) to describe segment endpoints. Do not use
abbreviations in these endpoint descriptions because they need to be easily identifiable on maps, timetables and
other materials during the validation process.
Column e: Ends At. This field is pre-filled with data for pre-existing segments from the prior year and cannot be edited.
•
New segments: Enter the point at which the segment ends, in sufficient detail that it can be uniquely identified. Use
readily identifiable locations (e.g., intersections and mileposts) to describe segment endpoints. Do not use
abbreviations in these endpoint descriptions because they need to be easily identifiable on maps, timetables and
other materials during the validation process.
Column f: Length. This field is pre-filled with data for pre-existing segments from the prior year and cannot be edited.
•
New segments: Enter the segment length to the nearest hundredth of a mile. Reporting the segment length to the
nearest hundredth of a mile provides the accuracy of the directional route miles to the nearest tenth for the Federal
funding allocations.
Column g: One/Two-way. This field is pre-filled with data for pre-existing segments from the prior year. Click on the Modify
button to make revisions.
Fixed Guideway Segments form (S-20)— 243
2013 Urban Reporting Manual
•
For pre-existing and new segments: From the drop-down menu, select the number of directions in which vehicles
may travel (one-way or two-way).
Column m: Original Date of Revenue Service. This field is pre-filled with data for pre-existing segments from the prior year
and cannot be edited.
•
For new segments: Enter the opening date of revenue service on this segment by any transit operator, even though
your transit agency may not have been the original operator. If you are the first transit agency to operate on a new
segment, the original date of revenue service will be the same as the agency revenue service start date.
Column n: Agency Revenue Service Start Date. This field is pre-filled with data for pre-existing segments from the prior year
and cannot be edited.
•
For new segments: Enter the date that your transit agency started operating revenue service. Internet reporting
automatically determines and enters the number of months operated.
Column o: Out of Revenue Service Date. Pre-existing segments: Click on the Modify button to make revisions.
•
Enter the last date of revenue service if your transit agency stopped operating transit service on the segment
during the year. Other reporters may continue to operate on this segment. If a segment is temporarily out of service
for rehabilitation or reconstruction for less than 12 months, do not enter an out of revenue service date. FTA allows
the months operated as 12. If a segment is out of service for rehabilitation or reconstruction for more than 12
months, or for some other temporary stoppage of service, contact your NTD analyst. FTA will make a determination
on to report the segment.
Column p: Months Operated. This field cannot be edited.
•
For new segments: Internet reporting automatically determines and enters the number of months operated using
the agency revenue service start date. Internet reporting will round the number of months of operation to a whole
number, reporting a full month for revenue service that begins between the first and 14th of the month; revenue
service that begins from the 15th through the end of the month is not counted. If revenue service began in the last
two weeks of your transit agency’s fiscal year, Internet reporting will indicate 0 months.
•
Pre-existing segments:
o
If you did not enter an out of revenue service date, Internet Reporting automatically enters 12 months.
o
If a segment is temporarily out of service for rehabilitation or reconstruction for less than 12 months, the
months operated will indicate 12.
o
If a segment is out of service for rehabilitation or reconstruction for more than 12 months, contact your
NTD analyst.. FTA will make a determination on how to report the segment.
Column q: Type of service (TOS) Claimed. This field is pre-filled with data for pre-existing segments from the prior year and
cannot be edited.
•
For new segments: Enter the TOS claimed for the segment’s DRM on the FFA-10 form — DO or PT service — if
the same mode operates on the same segment for both the DO and PT service, report the segment on both the DO
and PT forms.
Column r: Mode Claimed. This field is pre-filled with data for pre-existing segments from the prior year and cannot be
edited.
•
For new segments: Enter the mode claiming the segment’s DRM on the Federal Funding Allocation Statistics form
(FFA-10).
Column s: NTD Agency Claiming Segment. This field is pre-filled with data for pre-existing segments from the prior year and
cannot be edited.
•
For new segments: Enter the NTD ID for the transit agency claiming the segment’s DRM on the FFA-10 form.
Directional Route Miles Summary
Line 01: Total for All Segments @ Fiscal Year End (FYE). This is an auto-calculated field and cannot be edited, review for
accuracy. Internet reporting automatically transfers the total (all UZAs and non-UZAs) data to the S-10 form, line 27.
•
The number of DRM for all segments by UZA, non-UZA and total.
Line 02: Average Monthly for All Segments. This is an auto-calculated field and cannot be edited, review for accuracy.
•
The average number of DRM for all segments by UZA, non-UZA and total over the course of the report year.
244 — Fixed Guideway Segments form (S-20)
2013 Urban Reporting Manual
Line 03: Average Monthly for All Segments for Funding. This is an auto-calculated field and cannot be edited, review for
accuracy. Internet reporting automatically transfers the total data (all UZAs and non-UZAs) to the FFA-10 form, line 08.
These are the eligible DRM used for the UAF Program.
•
The average number of DRM for all segments by UZA, non-UZA and total for the segments claimed by the
reporting agency for funding over the course of the reporting year.
All Segments > Seven Years @ Federal Fiscal Year End (FFYE)
Line 04: Total for Segments > Seven Years. This is an auto-calculated field and cannot be edited, review for accuracy.
These data are used in determining eligible segments for the State of Good Repair Program. Vehicle revenue miles (VRM)
can be claimed under fixed guideway (FG) on the FFA-10 form, line 17.
•
The number of DRM at least seven years old by UZA, non-UZA and total.
Line 05: Total for Segments > Seven Years for Funding. This is an auto-calculated field and cannot be edited, review for
accuracy. Internet reporting automatically transfers the total (all UZAs and non-UZAs) data to the FFA-10 form, line 16.
These are the eligible DRM used for the State of Good Repair Program.
•
The number of DRM at least seven years old by UZA, non-UZA and total for the segments claimed by the reporting
agency for funding.
Fixed Guideway Segments form (S-20)— 245
2013 Urban Reporting Manual
Resource Module
The Resource Module contains three forms:
•
Employees form (R-10);
•
Maintenance Performance form (R-20); and
•
Energy Consumption form (R-30).
Employees form (R-10)
The R-10 form collects data on the number of transit agency employees (person count) and their total work hours. Data are
reported by mode for directly operated (DO) service only. The employee data are reported for operating labor (which is
reported on the Operating Expenses form (F-30) by function) and for total capital labor.
Maintenance Performance form (R-20)
The R-20 form collects data on revenue vehicle system failures. Data are reported on one form for all DO and purchased
transportation (PT) modes, except for demand response-taxi mode.
Energy Consumption form (R-30)
The R-30 form collects data on revenue vehicle fuel consumption. Data are reported on one form for all DO and PT rail
modes and one form for all DO and PT non-rail modes, except for demand response-taxi mode.
246 – Resource Module
2013 Urban Reporting Manual
Employees form (R-10)
Employees form (R-10) —- 247
2013 Urban Reporting Manual
Overview
The Employees form (R-10) collects data on the number of transit agency employees (person count) and their total work
hours by labor category.
Reporting Requirements and Thresholds
This form is required for directly operated (DO) service only. Complete one form for each DO mode.
What Has Changed from Prior Year
There are no changes to the R-10 form for the 2013 report year.
Approach
The data on this form pertain only to transit agency employees that work on DO modes. Two data items are reported —
hours worked by employees and the number of employees (person count). The data items are reported by labor
classification — operating and capital — and type of employee — full time and part time.
In order to complete the form it is necessary to understand:
•
Who are employees of the transit agency;
•
How should the employees be categorized; and
•
How to count employee work hours and employees.
Employees
An employee is defined in NTD reporting as someone whose salary cost is reported in expense object class (501) labor on
the F-30 form. Typically this means that the transit agency writes the payroll checks for the employee and provides an
Internal Revenue Service Form W-2: Wage and Tax Statement for the employee.
Transit agencies may have two different types of employees — full time and part time employees. The NTD requires
employee data to be categorized and reported by full time and part time employees according to the definitions used by your
transit agency. Generally, your agency’s human resources department uses these definitions to classify each employee as
either full or part time.
Full time employees usually must work a minimum number of hours, such as at least 30 hours per week or 1,000 hours per
year. Full time employees also usually receive a full benefits package.
Part time employees work less than the minimum number of hours required for full time employees, and usually receive no
benefits or sometimes prorated benefits. Often, part time employees are paid at a lower pay rate than full time employees.
Full time employees working part of their time in a function or mode are not part time employees. For example, a full time
mechanic may repair bus (MB) and demand response (DR) vehicles and should be considered as a full time employee on
both the MB and DR R-10 forms.
Sometimes, transit agencies also classify employees as either permanent or temporary. These classifications should not be
considered when reporting data for the R-10 form since both types of employees can be either full time or part time.
Persons employed through a temporary employment agency are not employees of the transit agency. The temporary
employment agency, not the transit agency, writes payroll checks for the employees and provides the Internal Revenue
Service Forms W-2: Wage and Tax Statement for the employees. Furthermore, their salary costs are not reported in
expense object class (501) labor, but instead in expense object class (503) services on the F-30.
248 — Employees form (R-10)
2013 Urban Reporting Manual
Exhibit 65 — Guidelines for Determining Whether an Individual is an Employee
The following individuals are employees under NTD reporting:
•
An individual who has worked his / her scheduled assignment
•
An individual on extended sick leave
•
An individual temporarily disabled and assigned to another position
•
An individual who has left the transit agency through separation or retirement and whose position has not been refilled but
continues to receive a paycheck from the transit agency.
•
An individual on a paid leave of absence
•
An individual on an unpaid leave of absence of a prolonged duration, as long as he is retained on the benefits program and
retains his job security rights
The following individuals are not employees under NTD reporting:
•
An individual working temporarily on a service contract (expense object class (503) services)
•
An individual employed by an entity, either private or public, that has a contract with the transit agency to perform specific
services (e.g., management services, clerical)
•
An individual under contract to another company but working on the transit agency’s premises (e.g., temporary clerical
services)
Employee Work Hours and Counts
Employee work hours and the actual person count of employees are collected for different time periods. The employee work
hours cover all work performed during the report year. The actual person count of employees is determined at the end of the
report year.
Employee work hours are the total hours worked by transit agency employees during the report year. Employees may have
been hired during the year, or may have left before the end of the report year. Regardless of when employees begin or leave
their jobs, the work hours performed during the reporting period are reported on this form. Employee work hours are
determined from payroll records.
Overtime hours may be paid at a rate equal to 1.5 times the normal rate. However, the actual work hours should be reported.
For example, an employee who works 10 hours of overtime should have 10 hours reported, not 15.
Work hours are not equivalent to and typically are less than total hours paid to transit employees. Work hours might be
considered “duty hours” — hours during which employees are performing work for the transit agency. Work hours do not
include hours related to fringe benefits, such as holiday time and sick leave.
A full time employee is paid approximately 2,080 total hours in a report year (40 hours per week x 52 weeks / year). Work
hours may be 1,700 to 1,800 of the 2,080 hours with the balance of the hours being paid for fringe benefits such as holiday
and sick leave.
It is unusual for full time employees to have average paid work hours that are equal to or greater than 2,080 hours.
However, if a large amount of overtime was worked, this can cause total hours to be over 2,080.
The actual person count of employees is determined at the end of the report year. Normally, it is the number of employees
who are working at the end of the fiscal year, but there may be unique situations such as employees on a paid leave of
absence or employees who have left the agency through retirement or separation. See the guidelines above for who should
or should not be counted as an employee.
Since employee work hours and the actual person count of employees are collected for different time periods, the
relationships between the two statistics must be interpreted with care. In most cases, the average number of work hours per
full time employee is less than 2,080 hours, and
typically is in the range of 1,700 to 1,800 work
Exhibit 66 — Hours Worked
hours.
Example: A transit agency has a full-time employee. This employee
was paid for 2,080 hours of work; she spent 80 hours on vacation, 24 on
sick leave, 40 on holidays, and 16 on personal leave. The remaining
1,920 was her time actually at work. How many hours should be
reported?
Solution: Report hours actually worked: 1,920.
However, high numbers of employees working at
the end of the fiscal year relative to the average
staffing levels over the fiscal year may suggest low
hours worked per employee. Conversely, low
numbers of employees at the end of the fiscal year
may suggest high hours worked per employee.
Employees form (R-10) —- 249
2013 Urban Reporting Manual
Relationship of Employees form to Other NTD forms
Operating Expenses form (F-30) – The work hours reported by operating labor classification on the R-10 form should be
consistent with the labor expenses reported by function on the F-30 form. If work hours are reported in a specific
operating labor classification (e.g., vehicle maintenance), then there should be corresponding labor expenses
reported for the same function in object class (501) labor on the F-30 form. Conversely, if labor expenses are reported
in a specific function (e.g., non-vehicle maintenance) object class (501) labor on the F-30, then there should be
corresponding work hours reported for the same operating labor classification on the R-10 form.
Detailed Instructions
Report employee work hours and counts by labor classification: operating labor and capital labor.
Labor Classification
Operating Labor
Operating labor are the personnel necessary to carry out the day-to-day requirements for providing transit service. Operating
labor is reported by the four functions on the F-30 form — vehicle operations (010), vehicle maintenance (041), non-vehicle
maintenance (042), and general administration (160).
The Uniform System of Accounts (USOA) has defined the work activities performed by employees in each function. The
following exhibit summarizes the USOA work activities for operating labor by function.
Exhibit 67 — Employee Operating Labor Classifications — Chapter 6 of Uniform System of Accounts
Vehicle Operations Labor (line 01)
010 Vehicle Operations
010 — Transportation administration and support
011 — Transportation administration and support. Transportation managers, superintendents, port captains, terminal
managers, supervisors and others engaged in administering transportation service at the system division and station levels;
secretaries, stenographers and clerks supporting supervision of transportation activities; driver training instructors, students
and service inspectors.
012 — Revenue vehicle movement control. System, division, and station managers and supervisors engaged in
controlling dispatch, movement and return of revenue vehicles; secretaries and clerks supporting the supervision of vehicle
movement control; road supervisors, dispatchers, stop and zone representatives, starters, timekeepers and employees
engaged in furnishing supplies to vehicle operators; radio and telephone communication operators monitoring and
controlling vehicle movement at communication centers.
021 — Scheduling of transportation operations. Traffic managers, superintendents, department heads and supervisors
engaged in supervising the preparation of schedules for transportation operations; secretaries, stenographers and clerktypists supporting the supervision of scheduling activities; schedule analysts, makers, checkers, statistical clerks; design,
layout and reproduction people engaged in producing finished schedules.
151 — Ticketing and fare collection. Managers, treasurers, cashiers, department heads and supervisors engaged in
supervising ticketing and fare collection activities; secretaries and clerk-typists supporting supervision; agents distributing,
selling and collecting fares; printers and other machine operators producing tickets, tokens; people controlling and servicing
sales outlets; vault pullers, sorters, money counters and cash clerks, security guards for vehicles and at collection and
counting area; vehicle drivers transporting money to counting facilities and banks; accounting and control clerks auditing and
monitoring fare sales, collection and counting activities; fare registration reconciliation clerks.
161 — System security. Security managers and supervisors engaged in supervising system-wide security; secretaries and
clerks supporting security supervision; police officers, special agents, patrol staff, inspectors and others engaged in
providing overall security.
030 — Revenue vehicle operation. Platform and travel pay of scheduled line, unscheduled line, charter and contract
service revenue vehicle operators, conductors, collectors and other operating crew members working aboard transit
vehicles; pay of ferryboat deck crews (e.g., captain, chief officers, mates, pilots).
Vehicle Maintenance Labor (line 02)
041 Vehicle Maintenance
041 — Maintenance administration — vehicles. Maintenance managers, port engineers, superintendents, supervisors
and non-working lead workers engaged in directing and supervising maintenance and repairs to vehicles; secretaries and
clerk-typists supporting the administration of maintenance activities; garage and shop clerks, timekeepers and other clerical
people engaged in scheduling and recording vehicle maintenance activities, vehicle maintenance training instructors and
students; engineers and other technicians engaged in vehicle maintenance activities.
250 — Employees form (R-10)
2013 Urban Reporting Manual
Exhibit 67 — Employee Operating Labor Classifications — Chapter 6 of Uniform System of Accounts
051 — Servicing revenue vehicles. Service managers, supervisors and lead workers engaged in overseeing the
preparation of revenue vehicles for service (excluding repair work); cleaners, washers, fuelers, oilers and hostlers;
secretaries and clerks supporting vehicle servicing activities.
061 — Inspection and maintenance of revenue vehicles. Working supervisors, lead workers, inspectors, service
personnel, apprentices, greasers, mechanics, welders, major component repair staff, electricians, bench hands, machinists,
coil winders, sheet metal workers, sanders, painters, body workers, upholsterers, glass installers, carpenters, blacksmiths
and others engaged in repair, maintenance and inspection activities for revenue vehicles.
062 — Accident repairs of revenue vehicles. All direct and indirect maintenance and administrative labor actually
expended on or allocated to the repair of accident damage on revenue vehicles.
071 — Vandalism repairs of revenue vehicles. All direct and indirect maintenance and administrative labor actually
expended on or allocated to the repair of vandalism damage on revenue vehicles.
081 — Servicing and fuel of service vehicles. Service managers, supervisors, and lead workers engaged in overseeing
the preparation of service vehicles for operation (excluding repair work); cleaners, washers, fuelers, oilers and hostlers;
secretaries and clerks supporting servicing activities for service vehicles.
091 — Inspection and maintenance of service vehicles. Working supervisors, lead workers, inspectors, service staff,
greasers, mechanics, apprentices, welders, major component repair staff, electricians, bench hands, machinists, coil
winders, sheet metal workers, sanders, painters, body workers, upholsters, glass installers, carpenters, blacksmiths, and
others engaged in garage and shop repair and maintenance activities for service vehicles.
Non-Vehicle Maintenance Labor (line 03)
042 Non-Vehicle Maintenance
042 — Maintenance administration — facilites (non-vehicles). Maintenance managers, superintendents, supervisors and
non-working lead workers engaged in directing and supervising maintenance and repairs to transit way and structures and to
other buildings, grounds and equipment; secretaries and clerk typists supporting the administration of maintenance activities;
clerks, timekeepers and other clerical people engaged in scheduling and recording maintenance activities; maintenance
training instructors and students; engineers and other technicians engaged in transit way and structures and in other
buildings, grounds and equipment maintenance activities.
101 — Maintenance of vehicle movement control systems. Working supervisors, lead workers, electronics technicians,
radio and telephone repair staff and others engaged in the repair and maintenance of vehicle movement control equipment.
111 — Maintenance of fare collection and counting equipment. Working supervisors, lead workers, mechanics,
cleaners, service staff, and others engaged in the repair and maintenance of fare collection and counting equipment.
121 — Maintenance of roadway and track. Working supervisors, lead workers, inspectors, repair crewmembers, and
others engaged in the repair and maintenance of roadway and track (e.g., sanding, removing snow, sweeping, scraping).
122 — Maintenance of structure, tunnels and subways. Working supervisors, lead workers, inspectors, repair crew
members, carpenters, custodians, painters, and others engaged in the repair and maintenance of transit way structures,
tunnels, bridges and subways.
123 — Maintenance of passenger stations. Working supervisors, lead workers, inspectors, mechanics, service staff,
carpenters, plumbers, electricians, custodians, painters, janitors, utility workers, groundskeepers, and others engaged in the
repair and maintenance of passenger station buildings, grounds and equipment.
124 — Maintenance of operating station buildings, grounds and equipment. Working supervisors, lead workers,
inspectors, mechanics, service staff, carpenters, plumbers, electricians, custodians, painters, janitors, utility workers,
groundskeepers and others engaged in the repair and maintenance of operation station buildings, grounds and equipment.
125 — Maintenance of garage and shop buildings, grounds and equipment. Working supervisors, lead workers,
inspectors, mechanics, service staff, carpenters, plumbers, electricians, custodians, painters, janitors, utility workers,
groundskeepers, and others engaged in the repair and maintenance of garage and shop buildings, grounds and equipment.
126 — Maintenance of communication system. Working supervisors, lead workers, electricians, service staff, cleaners,
electronics technicians, mechanics, utility workers, inspectors, and others engaged in the repair and maintenance of general
communication equipment.
127 — Maintenance of general administration buildings, grounds and equipment. Working supervisors, lead workers,
inspectors, mechanics, service staff, carpenters, plumbers, electricians, custodians, painters, janitors, utility workers,
groundskeepers, and others engaged in the repair and maintenance of general administration buildings, grounds and
equipment.
128 — Accident repairs of buildings, grounds and equipment. All direct and indirect maintenance and administrative
labor actually expended on or allocated to the repair of accident damage on buildings, grounds and equipment.
131 — Vandalism repairs of buildings, grounds and equipment. All direct and indirect maintenance and administrative
labor actually expended on or allocated to the repair of vandalism damage on buildings, grounds and equipment.
141 — Operation and maintenance of electric power facilities. Managers, supervisors, lead workers, operators,
monitors, clerks and others directly engaged in the generation and distribution of electric power: working supervisors, lead
workers, inspectors, mechanics, carpenters, plumbers, electricians, custodians, painters, janitors, utility workers, service
staff, and others engaged in the repair and maintenance of electric power generation and distribution facilities.
General Administration Labor (line 04)
160 General Administration
Employees form (R-10) —- 251
2013 Urban Reporting Manual
Exhibit 67 — Employee Operating Labor Classifications — Chapter 6 of Uniform System of Accounts
165 — Injuries and damages. Managers, department heads and supervisors engaged in supervising injuries and damages
activities; secretaries and clerks supporting administration and supervision; negotiators, lawyers, claims adjusters, investigators,
special agents and photographers; statisticians and clerks accumulating and maintaining claims and accident data.
166 — Safety. Managers, directors, and department heads engaged in directing, conducting, and supervising a system safety
program; secretaries and clerks supporting safety activities; safety instructors, statisticians, and others engaged in implementing
system safety policies and procedures.
167 — Personnel administration. Managers, directors, supervisors, and department heads engaged in administering and
supervising personnel activities; secretaries and clerk typists supporting personnel administration; recruiters, interviewers,
testers, counselors, reviewers and examiners; employee welfare representatives, analysts, technicians and clerks; medical
directors, nurses and first-aid assistants; job and performance evaluation analysts, orientation and training instructors,
employment history record clerks, labor relations researchers, negotiators and grievance administrators.
168 — General legal services. Managers, directors and department heads engaged in administering and supervising general
legal activities; secretaries and clerks supporting administration and supervision; attorneys, regulatory specialists, researchers,
legal clerks and others providing general legal services to the transit agency.
169 — General insurance. Managers, supervisors, and department heads engaged in administering and supervising a general
insurance program; secretaries and clerk typists supporting general insurance administration; claims adjusters, investigators,
researchers, special agents, statisticians and clerks accumulating and maintaining claims and other general insurance
information.
170 — Data processing. Managers, supervisors and department heads engaged in supervising data processing activities;
secretaries and clerk-typists supporting data processing supervision; operators of computers, bookkeeping and accounting
machines, unit record and other data processing equipment; data entry operators and verifiers; system analysts and
programmers; data processing input and output control clerks; service staff and other repair people responsible for maintaining
data processing equipment.
171 — Finance and accounting. Comptroller, treasurer, supervisors, chief accountants and department heads engaged in
supervising finance and accounting activities; secretaries and clerk-typists supporting finance and accounting administration;
accountants, bookkeepers and accounting clerks; budget analysts, cost accountants and internal auditors; receipts and labor
distribution clerks, property and other fixed assets clerks.
172 — Purchasing and stores. Managers, directors, supervisors and department heads engaged in administering and
supervising purchasing and stores activities; secretaries and clerk-typists supporting purchasing and stores administration;
purchasing agents, buyers and specification analysts, storekeepers, stock clerks, shipping and receiving clerks, material
handlers and deliverers; price, order and inventory control clerks.
173 — General engineering. Managers, chief engineers, supervisors, and department heads engaged in directing and
supervising general engineering activities; secretaries and clerk typists supporting administration of general engineering;
engineers, specification analysts, researchers and drafters.
174 — Real estate management. Managers, directors and department heads engaged in managing transit real estate;
secretaries and clerical staff supporting administration of real estate activities.
175 — Office management and services. Office managers, supervisors and department heads engaged in supervising office
management and services activities; secretaries and clerk-typists supporting administration of office management and services;
main receptionists, switchboard operators, messengers, librarians, central file clerks, and mail room workers; printing shop
operators and clerks; in-house newspaper writers and publishers; cafeteria and custodial employees.
176 — General management. Directors, general manager, assistant general manager, marine superintendent and operations
manager (responsible for maintenance and transportation); administrative analysts, assistants and staff, special projects
manager and staff; secretaries and other clerical staff supporting general management activities.
177 — Planning. Directors, managers, supervisors and department heads engaged in directing and supervising planning
activities; secretaries and clerks supporting supervision activities; transit analysts and planners; design, layout and graphics
specialists.
145 — Preliminary transit system development. All direct and indirect labor actually expended on or allocated to the
preliminary development of a transit agency.
162 — Customer services. Managers, department heads and supervisors engaged in supervising customer service activities;
charter service managers, sales personnel and staff workers; people operating route information booths and stands; telephone
information operators and clerks; employees staffing a lost and found department; people engaged in designing, producing and
distributing system maps and timetables.
163 — Promotion. Marketing and advertising managers, public information directors and other supervisors and department
heads engaged in directing and supervising promotion activities; secretaries and clerks supporting supervision of promotion;
design and layout artists, news writers and editors, mass media and public relations representatives; printers and machine
operators producing promotional material.
164 — Market research. Directors, managers, supervisors and department heads engaged in directing and supervising transit
market research activities; secretaries and clerks supporting supervision activities; customer and market researchers.
252 — Employees form (R-10)
2013 Urban Reporting Manual
Capital Labor
Capital labor is the personnel involved in the purchase of equipment (e.g., buses, shelters) and construction of facilities (e.g.,
garages, guideway, stations). The work activities for capital labor are related to design and engineering, purchase, land
acquisition / relocation, construction, rehabilitation, and management of capital grants and projects.
Employee Work Hours and Counts
You should report the number of employee work hours and actual person counts of employees, full time and part time.
Employee Work Hours
You should report work hours for all the hours worked by transit agency employees during the report year, even if they
are not employees at the end of the report year.
Actual Person Count
You should report actual person counts based on approved and filled positions at the end of the report year.
You should allocate work hours and person counts among labor classifications and modes if an employee works for more
than any one of the following:
•
Function;
•
Mode; and
•
Type of service (TOS).
Your payroll records should enable you to allocate hours using a reasonable and consistent approach from year to year. You
should report actual person counts to one decimal place. Employee counts are not required to add up to a whole number.
You should report only the hours and actual person counts of employees for directly operated (DO) modes. You should
exclude the hours worked on behalf of purchased transportation (PT) agreements.
The example below describes how to report information for an employee working on more than one mode and TOS.
Exhibit 68 — Work Hours and Allocated Person Count
Example: A transit agency has a full time employee who performs vehicle maintenance on both directly
operated (DO) and purchased transportation (PT) services. How should the employee and his work hours be
reported?
Type of
Full Time Employee Work
Service
Hours
Mode
DR
DO
800
DR
PT
600
MB
PT
400
Total
1,800
Solution: Prorate the employee using the number of hours worked.
Mode
DR
DR
MB
Type of
Service
DO
PT
PT
Total
Full Time Employee Work
Hours
800 (line 02, column a)
600 (not reported)
400 (not reported)
Calculation of
Employee
800 / 1,800
600 / 1,800
400 / 1,800
1,800
Full Time Employees
0.5 (line 02, column c)
0.3 (not reported)
0.2 (not reported)
1.0
Note: Mode DR/DO, the employee works 50 % of their time on this mode. DR/PT the employee works 30%
of their time and MB-PT the employee works 20% off their time. Purchased transportation is not reported
however, so in this case, the agency would only report half an employee (.5), on line 2, column c, and that
person’s hours worked for the reportable mode only, in this case 800 hours.
Employees form (R-10) —- 253
2013 Urban Reporting Manual
Line by Line Instructions for Employees form (R-10)
You should complete one form for each DO mode.
Form Level Help: You should click on the Help tab at the top of the screen for form level help.
Form Notes: A form note can be attached to any form. You should use the Add Form Note link for relevant information to a
specific field, to the entire form or to multiple forms. You should click on the Add Form Note link at the top of the screen and
enter your note on the Notes screen. You can review and / or edit a form note from the Notes tab. You should not use the
Form Notes feature to answer issues generated from this form. From the Issues tab You should use the Add Comments
link next to the specific issue.
Saving or Closing the Form: You should click on the Save button at the bottom of the screen to save the form. You should
click on the Close button at the bottom of the screen to close the form without saving.
Labor Classifications
Operating Labor
Line 01: Vehicles Operations (010)
•
Column a: Employee Work Hours for Full Time Employees. Enter the number of full time employee work hours for
vehicle operations, including transportation administration and support, revenue vehicle operation, ticketing and fare
collection, and system security. These are all the hours worked by full time employees during the report year,
even if they are not employees of the transit agency at the end of the report year.
•
Column b: Employee Work Hours for Part Time Employees. Enter the number of part time employee work hours for
vehicle operations, including transportation administration and support, revenue vehicle operation, ticketing and fare
collection, and system security. These are all the hours worked by part time employees during the report year,
even if they are not employees of the transit agency at the end of the report year.
•
Column c: Actual Person Count for Full Time Employees. Enter the actual person count of full time employees
performing vehicle operations, including transportation administration and support, revenue vehicle operation,
ticketing and fare collection, and system security. These are all the full time personnel holding approved and
filled positions at the end of the report year.
•
Column d: Actual Person Count for Part Time Employees. Enter the actual person count of part time employees
performing vehicle operations, including transportation administration and support, revenue vehicle operation,
ticketing and fare collection, and system security. These are all the part time personnel holding approved and
filled positions at the end of the report year.
Line 02: Vehicle Maintenance (041)
•
Column a: Employee Work Hours for Full Time Employees. Enter the number of full time employee work hours
directing, supervising and / or performing inspection and vehicle maintenance activities, repairs, and servicing
(cleaning, sweeping, washing, fueling, oiling) of transit vehicles (revenue vehicles and service vehicles). These are
all the hours worked by full time employees during the report year, even if they are not employees of the
transit agency at the end of the report year.
•
Column b: Employee Work Hours for Part Time Employees. Enter the number of part time employee work hours
directing, supervising and / or performing inspection and vehicle maintenance activities, repairs and servicing
(cleaning, sweeping, washing, fueling, oiling) of transit vehicles (revenue vehicles and service vehicles). These are
all the hours worked by part time employees during the report year, even if they are not employees of the
transit agency at the end of the report year.
•
Column c: Actual Person Count for Full Time Employees. Enter the actual person count of full time employees
directing, supervising and / or performing inspection and vehicle maintenance activities, repairs and servicing
(cleaning, sweeping, washing, fueling, oiling) of transit vehicles (revenue vehicles and service vehicles). These are
all the full time personnel holding approved and filled positions at the end of the report year.
•
Column d: Actual Person Count for Part Time Employees. Enter the actual person count of part time employees
directing, supervising and / or performing inspection and vehicle maintenance activities, repairs and servicing
(cleaning, sweeping, washing, fueling, oiling) of transit vehicles (revenue vehicles and service vehicles). These are
all the part time personnel holding approved and filled positions at the end of the report year.
Line 03: Non-Vehicle Maintenance (042)
•
Column a: Employee Work Hours for Full Time Employees. Enter the number of full time employee work hours
directing, supervising and / or performing non-vehicle maintenance of buildings, grounds, roadways and track, fare
254 — Employees form (R-10)
2013 Urban Reporting Manual
collection and counting equipment, and revenue vehicle movement control systems. These are all the hours
worked by full time employees during the report year, even if they are not employees of the transit agency
at the end of the report year.
•
Column b: Employee Work Hours for Part Time Employees. Enter the number of part time employee work hours
directing, supervising and / or performing non-vehicle maintenance of buildings, grounds, roadways and track, fare
collection and counting equipment, and revenue vehicle movement control systems. These are all the hours
worked by part time employees during the report year, even if they are not employees of the transit agency
at the end of the report year.
•
Column c: Actual Person Count for Full Time Employees. Enter the actual person count of full time employees
directing, supervising and / or performing non-vehicle maintenance of buildings, grounds, roadways and track, fare
collection and counting equipment, and revenue vehicle movement control systems. These are all the full time
personnel holding approved and filled positions at the end of the report year.
•
Column d: Actual Person Count for Part Time Employees. Enter the actual person count of part time employees
directing, supervising and / or performing non-vehicle maintenance of buildings, grounds, roadways and track, fare
collection and counting equipment, and revenue vehicle movement control systems. These are all the part time
personnel holding approved and filled positions at the end of the report year.
Line 04: General Administration (160)
•
Column a: Employee Work Hours for Full Time Employees. Enter the number of full time employee work hours
performing executive, professional, supervisory and clerical general administrative duties including planning, legal
services, data processing, finance and accounting, safety, insurance, general engineering, real estate
management, and customer service, promotion and market research. These are all the hours worked by full time
employees during the report year, even if they are not employees of the transit agency at the end of the
report year.
•
Column b: Employee Work Hours for Part Time Employees. Enter the number of part time employee work hours
performing executive, professional, supervisory and clerical general administrative duties including planning, legal
services, data processing, finance and accounting, safety, insurance, general engineering, real estate
management, and customer service, promotion and market research. These are all the hours worked by part
time employees during the report year, even if they are employees of the transit agency at the end of the
report year.
•
Column c: Actual Person Count for Full Time Employees. Enter the actual person count of full time employees
performing executive, professional, supervisory and clerical general administrative duties including planning, legal
services, data processing, finance and accounting, safety, insurance, general engineering, real estate
management, and customer service, promotion and market research. These are all the full time personnel
holding approved and filled positions at the end of the report year.
•
Column d: Actual Person Count for Part Time Employees. Enter the actual person count of part time employees
performing executive, professional, supervisory and clerical general administrative duties including planning, legal
services, data processing, finance and accounting, safety, insurance, general engineering, real estate
management, and customer service, promotion and market research. These are all the part time personnel
holding approved and filled positions at the end of the report year.
Line 05: Total Operating Labor
•
Column a: Employee Work Hours for Full Time Employees. This is an auto-calculated field and cannot be edited,
review for accuracy. The number of full time employee work hours for vehicle operations, vehicle maintenance, nonvehicle maintenance and general administration equal to the sum of lines 01 through 04.
•
Column b: Employee Work Hours for Part Time Employees. This is an auto-calculated field and cannot be edited,
review for accuracy. The number of part time employees, employee work hours for vehicle operations, vehicle
maintenance, non-vehicle maintenance and general administration equal to the sum of lines 01 through 04.
•
Column c: Actual Person Count for Full Time Employees. This is an auto-calculated field and cannot be edited,
review for accuracy. The actual person count of full time employees performing vehicle operations, vehicle
maintenance, non-vehicle maintenance and general administration equal to the sum of lines 01 through 04.
•
Column d: Actual Person Count for Part Time Employees. This is an auto-calculated field and cannot be edited,
review for accuracy. The actual person count of part time employees performing vehicle operations, vehicle
maintenance, non-vehicle maintenance and general administration equal to the sum of lines 01 through 04.
Line 06: Total Capital Labor
Employees form (R-10) —- 255
2013 Urban Reporting Manual
•
Column a: Employee Work Hours for Full Time Employees. Enter the number of full time employee work hours
involved in purchasing equipment (e.g., buses, shelters) and constructing facilities (e.g., garages, guideway,
stations). These are all the hours worked by full time employees during the report year, even if they are not
employees of the transit agency at the end of the report year.
•
Column b: Employee Work Hours for Part Time Employees. Enter the number of part time employee work hours
involved in purchasing equipment (e.g., buses, shelters) and constructing facilities (e.g., garages, guideway,
stations). These are all the hours worked by part time employees during the report year, even if they are not
employees of the transit agency at the end of the report year.
•
Column c: Actual Person Count for Full Time Employees. Enter the actual person count of full time employees
involved in purchasing equipment (e.g., buses, shelters) and constructing facilities (e.g., garages, guideway,
stations). These are all the full time personnel holding approved and filled positions at the end of the report year.
•
Column d: Actual Person Count for Part Time Employees. Enter the actual person count of part time employees
involved in purchasing equipment (e.g., buses, shelters) and constructing facilities (e.g., garages, guideway,
stations). These are all the part time personnel holding approved and filled positions at the end of the report year.
Line 07: Total Labor
•
Column a: Employee Work Hours for Full Time Employees. This is an auto-calculated field and cannot be edited,
review for accuracy The number of full time employee work hours for operating and capital labor equal to the sum of
lines 05 and 06.
•
Column b: Employee Work Hours for Part Time Employees. This is an auto-calculated field and cannot be edited,
review for accuracy The number of part time employee work hours for operating and capital labor equal to the sum
of lines 05 and 06.
•
Column c: Actual Person Count for Full Time Employees. This is an auto-calculated field and cannot be edited,
review for accuracy The actual person count of full time employees for operating and capital labor equal to the sum
of lines 05 and 06.
•
Column d: Actual Person Count for Part Time Employees. This is an auto-calculated field and cannot be edited,
review for accuracy The actual person count of part time employees for operating and capital labor equal to the sum
of lines 05 and 06.
256 — Employees form (R-10)
2013 Urban Reporting Manual
Maintenance Performance form (R-20)
Maintenance Performance form (R-20) —- 257
2013 Urban Reporting Manual
Overview
The Maintenance Performance form (R-20) collects data on revenue vehicle system failures.
Reporting Requirements and Thresholds
This form is required for all directly operated (DO) and purchased transportation (PT) modes except demand response taxi
mode (DT/PT). You should complete one form for all modes and types of service.
What Has Changed from Prior Year
There are no changes to the R-20 form for the 2013 report year.
Approach
You should report only failure data for revenue vehicles. Revenue vehicle system failures are mechanical problems that
affect a vehicle as follows:
•
The specific vehicle does not complete its scheduled revenue trip; or
•
The specific vehicle does not start its next scheduled revenue trip.
The definition of revenue vehicle system failures applies to the performance of a specific vehicle (e.g., bus equipment
number 5009). A failure is counted when the specific vehicle (e.g., 5009) fails to complete its scheduled revenue trip or start
its next scheduled revenue trip. This is true even when another vehicle (e.g., vehicle number 4004) is substituted and no
revenue service is lost.
The failures may occur in revenue service including layover / recovery time, or during deadhead operations. See the Service
form (S-10) section of this manual for a detailed discussion of revenue service, layover/recovery time, and deadhead.
The revenue vehicle system failures are reported in two categories:
•
Major mechanical system failures are those that limit actual vehicle movement or are safety issues; and
•
Other mechanical system failures.
Detailed Instructions
You should report data by mode and type of service.
Failures are classified as either a major or other failure of a part of the revenue vehicle’s mechanical systems.
You should report all failures that affect the completion of a scheduled revenue trip or the start of the next scheduled
revenue trip, including failures during deadheading and layover.
Major Mechanical System Failures
These are failures of a mechanical element of the revenue vehicle that prevents the vehicle from completing a scheduled
revenue trip or from starting the next scheduled revenue trip because actual movement is limited or because of safety
concerns. Examples of major bus failures include breakdowns of brakes, doors, engine cooling system, steering and front
axle, rear axle and suspension. A failure need not be expensive or difficult to repair to be classified as major- for example, a
flat tire would be a major failure if it prevented the bus from completing its scheduled trip.
A number of factors affect the number of major mechanical system failures incurred by a transit agency including local
operating conditions, types of vehicles operated, and effectiveness of the maintenance program. However, it is expected that
the same types of major mechanical failures will be reported by different agencies. The differences among agencies may be
in the numbers reported, not the types of major mechanical failures.
Other Mechanical System Failures
These are failures of some other mechanical element of the revenue vehicle that, because of local agency policy, prevents
the revenue vehicle from completing a scheduled revenue trip or from starting the next scheduled revenue trip even though
the vehicle is physically able to continue in revenue service. Examples of other bus failures include breakdowns of fare
boxes, wheelchair lifts, heating, and ventilation and air conditioning (HVAC) systems,
258 — Maintenance Performance form (R-20)
2013 Urban Reporting Manual
Since other mechanical system failures are based on local policies, there will be variation in the types and therefore, the
numbers reported by different transit agencies. For example, some agencies in the southern part of the country may
continue to operate a bus with a heating system breakdown while agencies in the northern part of the country would replace
the bus immediately.
The following examples illustrate how revenue vehicle system failures are reported.
Exhibit 69 — Revenue Vehicle System Failure Reporting
Example 1: The air conditioning on one of Hamlet Transit Agency’s buses (MB/DO) fails while carrying passengers in revenue
service. The driver determines that he is unable to repair the problem and calls for a backup because it is a hot day.
Solution: You should report as other mechanical system failure (line 02, MB). Air conditioning is not considered a major system,
because the bus could physically continue in revenue service without working air conditioning.
Example 2: During layover, one of Hamlet Transit Agency’s buses (MB/DO) experiences an engine cooling system failure. The
vehicle is towed to the garage. A backup bus is dispached immediately and the next trip departs on time.
Solution: You should report as a major mechanical systems failure because the bus could not physically operate its next
scheduled trip (line 01, MB).
Example 3: The brakes stick on one of Hamlet Transit Agency’s buses (MB/DO). The driver radios for help from the mobile
repair unit; the unit adjusts the brakes during the scheduled layover for the bus in time for the bus to start its next scheduled trip.
Solution: You do not report because the bus started its next scheduled trip.
Example 4: The front axle breaks on one of Hamlet Transit Agency’s buses (MB/DO) on its scheduled pullout from the garage to
the beginning of the bus route. The bus is towed to the garage and a replacement vehicle is sent.
Solution: You should report as a major mechanical systems failure because the bus could not start its next scheduled trip (line
01, MB).
Example 5: While deadheading back to the dispatching point at the end of the day, an electrical system problem activates the
wheelchair lift on one of Hamlet Transit Agency’s vans (DR/DO). The lift gets stuck in the extended position and the van has to
be towed to the garage.
Solution: You should not report since the van completed all of its scheduled trips for the day.
Example 6: A substation that provides power to Hamlet Transit Agency’s light rail (LR/DO) experiences a temporary failure. Rail
service is delayed for ten minutes. Passengers stay on-board and service resumes.
Solution: You should do not report this incident. There is no mechanical failure of a light rail passenger car.
Example 7: A vehicle’s mirror breaks, making it unsafe to operate. Another vehicle is swapped in.
Solution: Since the vehicle was unsafe to operate, this is a major mechanical failure.
Example 8: On a 6-car heavy rail (HR/DO) train, one of the doors fails, making one car unable to carry passengers, while the
other 5 are still operable. The train is not removed from service.
Solution: Since one car is unable to provide service, this is a major mechanical failure.
Maintenance Performance form (R-20) —- 259
2013 Urban Reporting Manual
Exhibit 70 — Revenue Vehicle System Failure Reporting
Line by Line Instructions for Maintenance Performance form (R-20)
You should complete one form for rail modes and non-rail modes by mode and type of service.
Form Level Help: You should click on the Help tab at the top of the screen for form level help.
Form Notes: A form note can be attached to any form. You should use the Add Form Note link for relevant information to a
specific field, to the entire form or to multiple forms. You should click on the Add Form Note link at the top of the screen and
enter your note on the Notes screen. You can review and / or edit a form note from the Notes tab. You should not use the
Form Notes feature to answer issues generated from this form. From the Issues tab You should use the Add Comments
link next to the specific issue.
Saving or Closing the Form: You should click on the Save button at the bottom of the screen to save the form. You should
click on the Close button at the bottom of the screen to close the form without saving.
Revenue Vehicle System Failures
Line 01: Major Mechanical System Failures. By mode.
•
Enter the number of failures of mechanical components of major systems that prevent the specific revenue vehicle
from completing a scheduled revenue trip or from starting the next scheduled revenue trip because actual
movement is limited or because of safety concerns.
Line 02: Other Mechanical System Failures. By mode.
•
Enter the number of failures of mechanical components of major systems that, because of local agency policy,
prevent the specific revenue vehicle from completing a scheduled revenue trip or from starting the next scheduled
revenue trip even though the vehicle is physically able to continue in revenue service.
Line 03: Total Revenue Vehicle System Failures.
•
This is an auto-calculated field and cannot be edited, review for accuracy. By mode, the total number of revenue
vehicle system failures equal to the sum of lines 01 and 02.
260 — Maintenance Performance form (R-20)
2013 Urban Reporting Manual
Energy Consumption form (R-30)
Energy Consumption form (R-30)— 261
2011 Urban Reporting Manual
Overview
The Energy Consumption form (R-30) collects data on the fuels consumed by revenue vehicles. These are the fuels used to
propel the revenue vehicle.
Reporting Requirements and Thresholds
This form is required for all directly operated (DO) and purchased transportation (PT) modes except demand response taxi
(DT). You should complete one form for all modes and types of service.
What Has Changed from Prior Year
Fuel type Grain Additive (GR) has been eliminated and hydrogen (HY) has been added.
Approach
Only the fuel used to propel revenue vehicles is reported. Lubricants are not reported.
Relationship of Energy Consumption to Other NTD Forms
This form has a key reporting relationship with the Revenue Vehicle Inventory form (A-30). The fuel types for which fuel
consumption is reported on the R-30 form should be consistent — one-to-one matching — with the fuel types reported on the
A-30 form. The only exceptions to this reporting relationship are when the vehicles have been added or retired from the
vehicle inventory during the report year since the R-30 form shows fuel consumption for the entire report year while the A-30
form shows the vehicle inventory on the last day of the report year.
Detailed Instructions
You are required to report energy consumption in kilowatt-hours, gallons, or gallon equivalents.
There are two versions of the form that you may complete, based on the modes operated by your agency:
•
All rail modes; and
•
All non-rail modes.
The rail form has fewer selections of fuel types than the non-rail form.
Rail Modes
The reporting for rail modes is done by energy type.
Energy Type
You should report the following types of energy consumed for rail modes:
•
Kilowatt hours of propulsion power (EP);
•
Gallons of diesel fuel (DF);
•
Gallons of bio-diesel (BD);
•
Gallons of liquefied petroleum gas (LPG) (LP);
•
Gallons of liquefied natural gas (LNG) (LN); and
•
Gallons of other fuel (OR).
If none of the energy choices fits, you should select gallons of other fuel (OR). Internet reporting will display a box for you to
describe the other fuel (OR) consumed.
You should report fuel mixtures by the amount of fuel consumed in each category.
Non-Rail Modes
The reporting for non-rail modes is done by energy types, but also may involve considerations related to hybrid vehicles and
CNG conversion.
262 — Energy Consumption form (R-30)
2013 Urban Reporting Manual
Energy Type
You should report the following types of energy consumed for non-rail modes:
•
Kilowatt hours of propulsion power (EP);
•
Kilowatt hours to charge batteries (EB);
•
Gallons of diesel fuel (DF);
•
Gallons of bio-diesel (BD);
•
Gallons of gasoline (GA);
•
Gallons of liquefied petroleum gas (LPG) (LP);
•
Gallons of liquefied natural gas (LNG) (LN);
•
Gallons of methanol (MT);
•
Gallons of ethanol (ET);
•
Gallons of compressed natural gas (CNG) (CN);
•
Gallons of bunker fuel (low grade of diesel fuel often used in ferryboat operations) (BF);
•
Gallons of kerosene (KE);
•
Gallons of other fuel (OR); and
•
Gallons of hydrogen (HY).
If none of the energy choices fits, you should select gallons of other fuel (OR). Internet reporting will display a box for you to
describe the other fuel (OR) consumed.
You should report fuel mixtures by the amount of fuel consumed in each category.
Hybrid Vehicles
Vehicles that consume liquid fuel, but supplement the combustion engine with an electric motor which is charged by the
motion of the vehicle, are called hybrids. Only the primary fuel source (typically gasoline or diesel) should be reported.
Dual Fuel
A vehicle that uses more than one source of fuel is called dual fuel. This includes plug-in hybrids that consume both liquid
fuel and electricity from an outlet. It does not include hybrids that charge their batteries using systems on board the vehicle,
without plugging into an electric outlet.
CNG/Hydrogen Conversion
You should report compressed natural gas (CNG) in gallon equivalents of either gasoline or diesel fuel. If possible, you
should contact the supplier for the correct conversion factors. If you cannot obtain the conversion factor from the
supplier, you should use the conversion factors in the exhibit below. The actual form in Internet reporting provides a link to
the Conversion Table.
In order to apply the factors, you should determine what type of fuel the revenue vehicle would have likely used if it were not
powered by CNG, generally with diesel or gasoline. Several examples of applying this reporting guideline are provided in
Exhibit 72 below.
1 kilogram of hydrogen is equivalent to 1 gallon of gasoline; thus, hydrogen may be reported in kilograms or gasoline gallon
equivalents (gge).
Energy Consumption form (R-30)— 263
2011 Urban Reporting Manual
Exhibit 71 — Compressed Natural Gas Conversion Factors
1 Therm = 100,000 BTUs
Gallon equivalents of diesel (#2 grade) = Number of BTUs / 138,000
Gallon equivalents of gasoline = Number of BTUs / 114,000
Gallon equivalent of gasoline = 5.66 pounds
Gallon equivalent of diesel (#2 grade) = 5.42 pounds
Exhibit 72 — Compressed Natural Gas Conversion
Example 1: A transit agency has one small bus for demand response service that uses CNG fuel. It buys 5,000 therms of CNG.
Solution: The transit agency decides that the most likely fuel if not CNG would have been DF.
5,000 therms × 100,000 BTU / 138,000 = 3,623 equivalent gallons of diesel fuel (DF)
Example 2: A transit agency has one eight-passenger van for demand response (DR) service that uses CNG fuel. It buys 4,500
therms of CNG.
Solution: The transit agency decides that the most likely fuel if not CNG would have been gasoline (GA).
4,500 therms × 100,000 BTU / 114,000 = 3,947 equivalent gallons of gasoline (GA)
Example 3: A transit agency has one eight-passenger van for demand response (DR) service that uses CNG fuel. It buys 4,000
pounds of CNG.
Solution: The transit agency decides that the most likely fuel if not CNG would have been gasoline (GA).
600 pounds × 5.66 gallons per pound = 3,396 equivalent gallons of gasoline (GA)
Line by Line Instructions Energy Consumption form (R-30)
You should complete one form for rail modes and one form for non-rail modes by mode and type of service. The form does
not collect fuel consumption data for taxicab services (DT/PT). Form Level Help: You should click on the Help tab at the top
of the screen for form level help.
Form Notes: A form note can be attached to any form. You should use the Add Form Note link for relevant information to a
specific field, to the entire form or to multiple forms. You should click on the Add Form Note link at the top of the screen and
enter your note on the Notes screen. You can review and / or edit a form note from the Notes tab. You should not use the
Form Notes feature to answer issues generated from this form. From the Issues tab you should use the Add Comments
link next to the specific issue.
Saving or Closing the Form: You should click on the Save button at the bottom of the screen to save the form. You should
click on the Close button at the bottom of the screen to close the form without saving.
Energy Type – By Mode for all lines
Line 01: Kilowatt Hours to Charge Batteries (EB).
•
Enter the number of kilowatt hours to charge EB for electric revenue vehicles for all non-rail modes.
Line 02: Kilowatt Hours of Propulsion Power (EP).
•
Enter the number of kilowatt hours of EP consumed by the revenue vehicles for all rail and trolleybus (TB) modes
and battery-powered vehicles.
Line 03: Gallons of Diesel Fuel (DF).
•
Enter the number of gallons of DF consumed by the revenue vehicles for all rail and non-rail modes.
Line 04: Gallons of Bio-Diesel (BD).
264 — Energy Consumption form (R-30)
2013 Urban Reporting Manual
•
Enter the number of gallons of BD consumed by the revenue vehicles all for non-rail modes.
Line 05: Gallons of Gasoline (GA).
•
Enter the number of gallons of GA consumed by the revenue vehicles for all non-rail modes.
Line 06: Gallons of Liquefied Petroleum Gas (LPG) (LP).
•
Enter the number of gallons of LPG consumed by the revenue vehicles for all rail and non-rail modes.
Line 07: Gallons of Liquefied Natural Gas (LNG) (LN).
•
Enter the number of gallons of LNG consumed by the revenue vehicles for all rail and non-rail modes.
Line 08: Gallons of Methanol (MT).
•
Enter the number of gallons of MT consumed by the revenue vehicles for all non-rail modes.
Line 09: Gallons of Ethanol (ET).
•
Enter the number of gallons of ET consumed by the revenue vehicles for all non-rail modes.
Line 10: Gallons of Compressed Natural Gas (CNG) (CN).
•
Enter the number of equivalent gallons (gasoline or diesel fuel) of CNG consumed by the revenue vehicles for all
non-rail modes. If possible, contact the supplier for the correct conversion factors. If you cannot obtain the
conversion factor from the supplier, click the text link to view a CNG conversion table for equivalent gallons.
Line 11: Gallons of Bunker Fuel (BF).
•
Enter the number of gallons of BF (low grade of diesel fuel often used in ferryboat operations) consumed by the
revenue vehicles for all non-rail modes.
Line 12: Gallons of Kerosene (KE).
•
Enter the number of gallons of KE consumed by the revenue vehicles for all non-rail modes.
Line 13: Gallons of Hydrogen (HY).
•
Enter the number of gallons of HY consumed by the revenue vehicles for all non-rail modes.
Line 14: Gallons of Other Fuel (OR).
•
Enter the number of gallons of any OR fuel consumed by the revenue vehicles for all rail and non-rail modes.
Gallons of OR fuel – If none of the energy choices fit select gallons of OR fuel. Internet reporting will display a box
for you to describe the OR fuel consumed.
Energy Consumption form (R-30)— 265
2013 Urban Reporting Manual
Federal Funding Allocation Statistics Module
The Federal Funding Allocation Statistics Module contains one form, the Federal Funding Allocation Statistics form (FFA-10).
Federal Funding Allocation Statistics form (FFA-10)
The purpose of the FFA-10 form is to summarize data used in apportioning funds for the Federal Transit Administration’s
(FTA) Urbanized Area Formula Program (§5307), including the Small Transit Intensive Cities program, State of Good Repair
Program (§5337), Bus and Bus Facilities Program (§5339), and Rural Formula Program (§5311).
This form is required from transit agencies in or serving urbanized areas (UZAs) using 2010 U.S. Bureau of the Census
information. Census UZA definitions and UZA boundary maps are now available on the NTD webpage.
Transit agencies complete separate forms for directly operated (DO) and for purchased transportation (PT) services by
mode. When completed, the FFA-10 automatically populates data from other areas of the report. For this reason, you must
check the FFA-10 for any changes before submitting if service data has changed in other areas of the report.
266 — Federal Funding Allocation Statistics form (FFA-10)
2013 Urban Reporting Manual
Federal Funding Allocation Statistics form (FFA-10)
Federal Funding Allocation Statistics form (FFA-10) — 267
2013 Urban Reporting Manual
268 — Federal Funding Allocation Statistics form (FFA-10)
2013 Urban Reporting Manual
Federal Funding Allocation Statistics form (FFA-10) — 269
2013 Urban Reporting Manual
Overview
The FTA uses the statistics from the Federal Funding Allocation Statistics form (FFA-10) to allocate funds for four programs:
•
Urbanized Area Formula Program (§5307), including Small Transit Intensive Cities (STIC);
•
State of Good Repair (§5337);
•
Bus and Bus Facilities (§5339); and
•
Rural Formula Program (§5311).
Urbanized Area Formula Program
The FTA UAF (§5307 of the Federal Transit Act) is a formula program for capital projects, planning activities, and under
limited circumstances, operating expenses.
The UAFP apportionment for all urbanized areas uses population, population density, and statistical data from the NTD.
Specifically, the information from the NTD is the basis for the following apportionment factors:
•
Actual vehicle revenue miles (VRM);
•
Fixed guideway directional route miles (FG DRM);
•
Passenger miles traveled (PMT) multiplied by PMT per operating expenses; and
•
Whether the service is fixed guideway service or non-fixed guideway service.
The UAF contains separate funding tiers for FG and non-fixed guideway (NFG) modes. Fixed guideway modes fall into three
categories:
•
Modes that utilize a separate right-of-way (ROW) — aerial tramway (TR) or rails for the exclusive use of public
transportation service, (i.e., Alaska railroad (AR), cable car (CC), commuter rail (CR), heavy rail (HR), inclined plane
(IP), light rail (LR), monorail/automated guideway (MG), streetcar (SR) and hybrid rail (YR));
•
Modes that utilize a ROW usable by other forms of transportation, but by statute are designated as FG, (i.e.,
trolleybus (TB) and ferryboat (FB)); and
•
Bus (MB, bus rapid transit (RB) and commuter bus (CB) modes (by definition) for buses operating on controlled
access or exclusive ROW.
A threshold level of at least one mile of FG in an UZA is required to receive FG tier funds.
STIC (Small Transit Intensive City) Funding
For urbanized areas with fewer than 200,000 population, the UAFP apportionment uses population and population density,
as well as factors under the Small Transit Intensive Cities (STIC) formula. The STIC formula apportions funds to urbanized
areas with fewer than 200,000 population that meet or exceed the average level of service for all UZAs with populations
between 200,000 and 1,000,000 based on one or more of six factors:
•
Passenger miles traveled per vehicle revenue mile;
•
Passenger miles traveled per vehicle revenue hour (VRH);
•
Vehicle revenue miles per capita;
•
Vehicle revenue hours per capita;
•
Passenger miles traveled per capita; and
•
Unlinked passenger trips (UPT) per capita.
Transit agencies report these data items on the FFA-10 form. For a discussion of these data items, see the Service Module
forms (S-10 and S-20) and Operating Expenses form (F-30).
State of Good Repair
The FTA State of Good Repair program (§5337) is a formula program that provides capital assistance for maintenance of
fixed guideway and high intensity bus facilities in a state of good repair.
270 — Federal Funding Allocation Statistics form (FFA-10)
2013 Urban Reporting Manual
The formula apportions funds for qualifying fixed guideway (FG) and high intensity bus (HIB) segments using directional
route miles (DRM) and the actual vehicle revenue miles (VRM) operated over the DRM. Segments qualify for the
apportionment based on the following factors:
•
The segments qualify for the UAFP apportionment;
•
The segments are in continuous transit operation for at least seven Federal fiscal years; and
•
A threshold level of at least one mile of qualified FG/HIB DRM in the UZA.
There are two key aspects to continuous transit operations:
•
FTA reviews previous NTD reports to assess continuous transit operations. To qualify, the NTD must contain data
for a FG segment for the last six report years. Even if a transit agency can document an earlier revenue service
start date for the segment, FTA will only consider segments continuously reported to the NTD.
•
Continuous transit operations cover all transit agencies operating on a segment. For example, if another transit
agency reported service on a FG segment for the last six NTD Report Years, then your service on the segment will
also qualify for the Fixed Guideway Modernization apportionment, even if this is your first year operating on the
segment.
Bus and Bus Facilities (§5339)
Under MAP-21, the formerly discretionary bus and bus facilities program is now a smaller formula grant program, precluding
both congressional earmarks and discretionary grant-making by the Administration. Grants may be used to finance capital
projects to replace, rehabilitate, and purchase buses and related equipment and to construct bus-related facilities, in
accordance with the grant requirements in section 5307.
Rural Formula Program (§5311)
The rural formula program, previously known as “Non-urbanized” formula grants, provides funding to states for public
transportation in rural areas, with most funding apportioned based on land area and population in rural areas. However, a
service factor is added to the apportionment formula and as a result, a portion of the funds will be apportioned based on land
area, revenue-vehicle miles, and low-income individuals in rural areas. The low-income population factor is included in a
similar manner as with the §5307 urbanized area formula grants, in order to account for the expanded eligibility for JARC-like
projects.
Urban reporters to NTD can receive 5311 funding if they operate in non-urbanized areas. Any data allocated to non-UZA on
the FFA-10 form is incorporated into the 5311 apportionment.
Reporting Requirements and Thresholds
All transit agencies must complete this form. Complete one form for each mode and type of service (TOS).
What Has Changed from Prior Year
For MB, CB, and RB, the new High Intensity Bus tier has been added.
Approach
There are three items that determine how to complete the FFA-10 form:
•
Mode of service;
•
Census UZAs and non-UZA served by transit; and
•
Inclusion of fixed guideway/high intensity bus.
Mode of Service
The FFA-10 form has four versions for the following groups of modes:
•
Bus (MB), bus rapid transit (RB) and commuter bus (CB) service operating on fixed guideway;
•
Trolleybus (TB) mode;
•
Rail, ferryboat (FB) and aerial tramway (TR) modes; and
Federal Funding Allocation Statistics form (FFA-10) — 271
2013 Urban Reporting Manual
•
MB and CB service not operating on fixed guideway and other non-fixed guideway modes—demand response
(DR), demand response- taxi (DT), jitney (JT), publico (PB) and vanpool (VP).
The FFA-10 form uses data reported on other NTD forms to develop the statistics used in the apportionment of 5307, 5311,
5337, and 5339 funding.
Internet reporting automatically transfers the eligible annual total data from other forms. Therefore, you must complete the
source forms before completing this form.
If you change data on the source forms, you must edit any data you entered on the FFA-10 form — there
are no automatic re-calculations of UZA and non-UZA area statistics or bus, bus rapid transit and commuter
bus FG and NFG statistics. Please recheck these forms whenever changes are made.
The exhibit below lists the source forms and data items.
Exhibit 73 — Federal Funding Allocation Statistics Form Corresponding Data
Data Item
Source Forms
UZA number, non-UZA
B-10 Item 5
VRM
S-10 line 12, column d
VRH
S-10 line 15, column d
UPT
S-10 line 18, column d
PMT
S-10 line 20, column d
OE
DO Modes – F-30 line 15, column e
PT Modes – F-30 line 15, column e
minus line 12, column e
minus B-30, item 8, Other costs incurred by buyer or sellers filing a separate NTD
Annual report.
FG DRM
S-20
Rail, FB and TR modes, line 03
MB, RB and CB modes, line 04
TB mode, line 08
FG DRM ≥ seven FFYs old
S-20
Rail, FB and TR modes, line 05
CB, RB and MB modes, line 06
TB mode, line 14
VRM ≥ seven FFYs old
Subset of VRM on S-10
line 12, column d, operated on FG segments
HIB DRM ≥ seven FFYs old
S-20
CB, RB and MB modes, line 09
Census UZAs and Non-UZAs Served by Transit
Transit agencies determine their service areas based on access to transit (see Basic Information form (B-10). As a result, the
geographic service area is not usually consistent with either political or Census-designated boundaries. To complete the
FFA-10, you must follow the new rules governing allocation of transit service that connects one or more UZAs or Non-UZAs
with one or more UZAs.
See detailed description of new rules under Detailed Instructions.
Detailed Instructions
There are five situations that can occur and dictate how transit agencies complete the FFA-10 form:
•
You serve only one UZA.
•
You also serve a non-UZA or more than one UZA. You may have to report its annual statistics among areas since
the apportionments are made by UZA.
272 — Federal Funding Allocation Statistics form (FFA-10)
2013 Urban Reporting Manual
•
You operate MB or CB FG service. You must report annual statistics for FG and NFG since the apportionments are
made by FG and NFG modes. NFG (Non-Fixed Guideway) would include any mode not operating on fixed
guideway segments, for example a Demand Response vehicle not using any FG travel.
•
You are one of several transit agencies that operate over the same FG segments. You must coordinate with the
other transit agencies to decide which transit agency will report DRM for the shared segments since the
apportionment process recognizes only once the shared segments regardless of how many transit agencies
operate on the shared segments.
•
You operate a FG/HIB mode and some of the guideway is at least seven Federal fiscal years old. You must enter
the VRM operated for the guideway at least seven Federal fiscal years old.
Urbanized Area Number
UZA numbers are transferred automatically from the Identification form (B-10).
The following rules apply:
•
If you serve only one UZA and do not operate on fixed guideway, check the box under the UZA number, select an
allocation method on line 02, save and exit the form. Internet reporting automatically completes the statistics for the
UZA.
•
If you serve only one UZA and operate on fixed guideway, check the box under the UZA number and report VRM
for the State of Good Repair Program. See the SGR instructions below.
•
If you serve multiple UZAs and non-UZAs, select a UZA and non-UZA reporting method for reporting the statistics
used in the funding allocations.
•
If you serve multiple UZAs and non-UZAs and operate over both fixed and non-fixed guideway for bus (MB), bus
rapid transit (RB) or commuter (CB) modes, you must report statistics in the areas served first, and then select a
fixed / non-fixed guideway reporting method to report the statistics used in the funding allocations for fixed and for
non-fixed guideway.
For this form, the number of UZAs and non-UZAs served may be fewer than those reported for the service area on the B-10
form under item 5, demographic information. The demographic information is reported based on physical location of
services, which, for apportionment purposes, may be different from the UZAs and non-UZAs served. Also, the UZAs and
non-UZAs reported for the service area on the B-10 form show the service areas served by all modes and TOS operated
which may be greater than the areas served by a specific mode and TOS.
Urbanized Area and Other than Urbanized Area Reporting Method
You must follow the reporting rules when you provide transit service in multiple UZAs or UZAs and non-UZAs (see Reporting
Rules below). There are three methods permitted for reporting statistics among UZAs and non-UZAs.
•
Actual Data is a direct measurement (or recording) of each data point by UZA.
•
VRM (passenger car revenue miles for rail modes) is a direct measurement of the actual vehicle revenue miles and
is used as the factor to allocate VRH (passenger car revenue hours for rail modes), PMT, UPT and OE among the
areas.
•
Other methodology. Use the e-file tab to describe the other methodology and show your calculations.
If your service is not entirely contained within one UZA, select the
reporting method you will be using for allocating your data across
UZAs and non-UZAs in your service area. If you can report actual
data for each UZA and any non-UZAs in your service area, select
Actual Data from the UZA and Non-UZA Reporting Method dropdown menu.
Exhibit 74 — Funding Source menu selections
a.
Actual Vehicle Revenue Miles (VRM)
b.
Actual Data
c.
Other Methodology
If you use the VRM method, report your total actual VRM to each of
the selected areas and any fixed guideway directional route miles. Internet reporting will then allocate the rest of your service
data based on the proportions of your VRM in each area. If you use another method, select Other methodology. Attach in the
e-file tab a description of the methodology. Include the calculations for the data statistics you report for each UZA and nonUZA.
If you used the actual data or other method of reporting, i.e., you directly entered actual data make sure that the
annual total column equals the data statistics automatically transferred from other forms—actual vehicle revenue
miles, actual vehicle revenue hours, passenger miles traveled, unlinked passenger trips, operating expenses and
fixed guideway directional route miles.
Federal Funding Allocation Statistics form (FFA-10) — 273
2013 Urban Reporting Manual
Reporting Rules for More than One Urbanized Area and Other than Urbanized Areas
Areas are classified by the U.S. Census designations of:
•
UZA with 200,000 or more population (large UZA);
•
UZA with fewer than 200,000 population (small UZA); and
•
Non-UZA (i.e., fewer than 50,000 population).
Under the revised rules, the transit agency determines which UZA or non-UZA is served. The transit agency may then:
•
Allocate all the data statistics to the UZAs or non-UZAs primarily served; or
•
Allocate the data statistics proportionally to the UZAs and non-UZAs served using a reasonable and consistent
methodology.
This rule applies to transit service that connects:
•
Two or more large UZAs;
•
Two or more small UZAs;
•
Any combination of small and large UZAs, as long as they do not benefit from both FTA Section 5307 and 5311
operating assistance; and
•
One or more large or small UZAs to non-UZAs, as long as no FTA Section 5311 funds benefit the service.
There are two exceptions to the primarily served criterion, each involving FTA Section 5311 funds (operating or capital) and
benefiting the service:
•
You must report entirely to non-UZAs (UZA 0) any transit service that benefits from grants provided by FTA’s
Section 5311. If you are receiving FTA Section 5311 funding for rural service you must be allocating some service
to the non-UZA (UZA 0) since service in that area is not within a UZA boundary.
•
You must allocate service that connects non-UZAs and UZAs (large or small) if the service benefits from both FTA
Sections 5307 and 5311 operating assistance. You must use the UZA proportion of operating expenses funded by
FTA Section 5307 program (including local matching funds), to allocate the statistics to the UZAs.
For either of these two exceptions, select Other methodology from the UZA and Non-UZA Reporting Method
menu. Attach in the e-file tab a description of the methodology. Include the calculations for the data statistics you
report for each UZA and non-UZA.
The areas where a vehicle trip starts and ends, and the size of the area help determine service location under the serve rule
requirements. The following exhibits demonstrate these rules and their application.
Exhibit 75 — Reporting Exclusively Urban or Exclusively Rural Trips
Scenario 1: Both ends of a vehicle trip are contained entirely within an area, either UZA A (any size) or the non-UZA.
Solution 1: All statistics for the formula allocations are reported in UZA A, or the non-UZA, where the service is located.
274 — Federal Funding Allocation Statistics form (FFA-10)
2013 Urban Reporting Manual
Exhibit 76 — Reporting Trips Between Two UZAs
Scenario 2: One end of the vehicle trip is in a small UZA B with fewer than 200,000 populations and the other trip end is in a
large UZA A with 200,000 or more population.
Solution 2:
•
FTA Sections 5307 or 5311 Operating Assistance funds for the service.
The transit agency determines whether UZA A or UZA B is primarily served. You may report all statistics for the formula
allocations in the UZA primarily served or allocate statistics between the two UZAs or among the two UZAs and the
non-UZA.
•
No FTA Sections 5307 and 5311 Operating Assistance funds for the service.
The transit agency must allocate statistics to the UZAs based on the proportion of FTA Section 5307 operating
assistance. For example, if FTA Section 5307 operating assistance for UZA B funded 35% of the operating expenses
for the service, then allocate at least 35% of all statistics to UZA B.
•
If a fixed guideway segment begins in UZA A and enters UZA B then the allocation must be divided on the boundary of
the UZAs, showing the millage of track in each UZA.
Exhibit 77 — Reporting Trips Between a UZA and a Non-UZA
Scenario 3: One end of the vehicle trip is in a non-UZA and the other trip end is in UZA A (any size). The transit agency uses
FTA Section 5311 funds for the service.
Solution 3: You must report all statistics in the non-UZA.
Federal Funding Allocation Statistics form (FFA-10) — 275
2013 Urban Reporting Manual
Exhibit 78 — Reporting Trips Between two Large UZAs
Scenario 4: One vehicle trip end is in UZA A and the other trip end is in UZA B, both with 200,000 or more population, and
passing through a non-UZA.
Solution 4: The transit agency determines whether UZA A or UZA B is primarily served. You may report all statistics for the
formula allocations in the UZA primarily served or allocate statistics between the two UZAs. The statistics for the non-UZA can be
reported in either UZA A or UZA B or divided between the two UZAs.
Generally, UZAs with 200,000 or more population are not eligible for operating assistance under FTA Section 5307. If the transit
service uses operating assistance, then you must allocate statistics as described in Scenario 2.You must report all statistics in
the non-UZA.
Exhibit 79 — Reporting Trips Between two Small UZAs
Scenario 5: One vehicle trip end is in UZA A and the other trip end is in UZA B, both with fewer than 200,000 population, and
passing through a non-UZA.
Solution 5:
•
No FTA Section 5307 or 5311 Operating Assistance funds for the service.
The transit agency determines whether UZA A or UZA B is primarily served. You may report all statistics for the formula
allocations in the UZA primarily served or allocate statistics between the two UZAs.
•
FTA Operating Assistance funds in UZA A and UZA B and no FTA Section 5311 for the service.
The transit agency must allocate statistics to the UZAs based on the proportion of operating assistance. For example, if
FTA Section 5307 operating assistance for UZA A funded 35% and for UZA B 40% of the operating expenses for the
service, then allocate at least 35% of all statistics to UZA A and 40% to UZA B. The statistics for the non-UZA can be
reported in either UZA A or UZA B or divided between the two UZAs.
276 — Federal Funding Allocation Statistics form (FFA-10)
2013 Urban Reporting Manual
Bus Fixed Guideway / High Intensity Bus Operations
For bus, (MB) and commuter bus (CB) modes, most transit agencies operate in mixed traffic right-of-way (ROW). However,
they may also operate on fixed guideway or high intensity bus lanes.
If you identified FG/HIB segments that met the eligibility criteria for funding, then your transit agency should report statistics
for FG/HIB and NFG operations. Funding eligibility is based on the following criteria:
•
Only segments on controlled access ROW or exclusive ROW;
•
Those segments must serve travel corridors with unfavorable levels of service (LOS) (D, E or F);
•
Travel on those segments must have restricted hours during which single occupancy vehicles (SOVs) are legally
prohibited and are enforced from using any segment portion or meet the high occupancy / toll (HO/T) lane
requirements;
•
If your transit agency has stricter requirements for high occupancy vehicle (HOV) facilities than the prohibition of
SOVs, i.e., three or more persons per vehicle, then those requirements apply to the HO/T lane, i.e., one and twoperson vehicles would pay tolls; and
•
Segments on high-speed facilities (expressways) shared with vanpools (VP) or carpools must be safely operated.
Even though another transit agency is designated as the agency reporting the FG DRM on the FFA-10 form, each agency
that operates service over the FG DRM should report the VRM, PMT and OE on the FFA-10 form.
See the Fixed Guideway Segments form (S-20) for a discussion of how FG DRM is determined for funding
eligibility.
Reporting Bus, Bus Rapid Transit and Commuter Bus Statistics for Fixed and for Non-Fixed Guideway
It is not mandatory to report MB and CB statistics separately for FG and NFG operations. Transit agencies may report all
statistics as non-fixed guideway.
Reporting fixed and non-fixed guideway statistics follows the same concepts used for reporting statistics among multiple
urbanized areas and other than urbanized areas served. The following three steps should be followed:
•
First, if there is service to more than one UZA and / or service to a non-UZA, report statistics among UZAs and nonUZAs before reporting statistics for fixed and non-fixed guideway. See the above section on Reporting Statistics
among UZAs and non-UZAs.
•
Second, by area, use one of the three methodologies to allocate data statistics between fixed and non-fixed
guideway. If you select Actual Vehicle Revenue Miles, you will only have to enter VRM and Internet Reporting will
calculate PMT and OE automatically. If you select Actual Data or Other, you will have to enter these data manually.
•
Third, for the State of Good Repair Program, directly enter the portion of the actual vehicle revenue miles reported
for the Urbanized Area Formula Program that operate on the fixed guideway directional route miles greater than or
equal to seven Federal fiscal years old.
Also for the SGR Program, enter the portion of the actual vehicle revenue miles reported for the Urbanized Area Formula
Program that operate on the high intensity bus directional route miles greater than or equal to seven Federal fiscal years old.
There is no automatic data entry or reporting methodology for SGR miles: Use your schedules and internal
records to determine VRM.
The following example illustrates reporting bus statistics for FG and for NFG operations.
Federal Funding Allocation Statistics form (FFA-10) — 277
2013 Urban Reporting Manual
Exhibit 80 — Reporting Bus Statistics for Fixed and for Non-Fixed Guideway
Example: An agency operates bus (MB) service in two UZAs. It operates on 20 directional route miles (DRM) of fixed guideway
and 50 DRM of high intensity bus, both spread across the two UZAs. It provided 20,000,000 VRM of service in 2013.
Solution: The agency first determines that 75% of its service primarily serves UZA A, while 25% serves UZA B. They select
Actual Vehicle Revenue Miles on line 02 and enter 15,000,000 VRM on line 03 under UZA A, and 5,000,000 VRM on line 03
under UZA B. Internet reporting automatically calculates lines 04-07.
The agency then determines that 12 DRM of its fixed guideway serve UZA A, and 8 DRM serve UZA B. They select Actual
Vehicle Revenue Miles on line 09 and enter 12 and 8 on line 08.
The agency finds that 550,000 of its VRM were on the 12 miles’ worth of FG DRM in UZA A, and 450,000 VRM were on the 8
miles’ FG DRM in UZA B. They enter these figures on line 10. Internet reporting automatically calculates lines 11-15.
All 8 miles of FG in UZA B are older than 7 years. Thus the agency enters 8 on line 16 and 450,000 on line 17, under UZA B.
However, only 6 of the 12 miles of FG in UZA A are older than 7 years. The agency determines that of the 550,000 VRM on this
FG, 200,000 were on segments older than 7 years. They enter 6 on line 16 and 200,000 on line 17, under UZA A.
Of the 50 HIB DRM, 30 are older than 7 years. The agency finds that 15 of these serve UZA A and 15 serve UZA B. They enter
15 under both UZA A and UZA B on line 18.
The agency finds that they operated 2,000,000 VRM on the 30 HIB DRM older than 7 years. Of this, they find that 1,100,000
served UZA A and 900,000 served UZA B. They enter 1,100,000 and 900,000 on line 19.
Multiple Operators or Types of Service on the Same Fixed Guideway/High Intensity Bus Lane
There may be multiple NTD reporters using a segment or one reporter may have several modes, or both DO and PT
services, on the segment. Transit agencies should report all the VRM, VRH, PMT, UPT and OE for the service operated over
the FG segments.
However DRM for a FG/HIB segment can only be used once in the apportionment of Federal funds. Therefore, the DRM will
only be reported once by any transit agency on the FFA-10 form when the segment is served by multiple operators, modes,
or service types. It is a local decision which operator reports the DRM for segments served by multiple operators or service
types. NTD only is concerned that this reporting is consistent from year-to-year and that the reporting is accurate. Agencies
should decide which agency and mode will claim the segment before the segment is proposed to NTD; then the claiming
agency and mode should be the one to propose the segment on the S-20 form. Thereafter Internet Reporting will
automatically assign the DRM to the claiming agency and mode.
The S-20 form includes identification of the transit agency, mode and TOS for allocation of funds using the statistics on the
FFA-10 form. Only the DRM for those segments identified on the S-20 form claimed for funding by your transit agency are
transferred to the FFA-10 form.
Fixed Guideway Segments at least Seven Federal Fiscal Years Old
For the State of Good Repair Program, directly enter the portion of the actual vehicle revenue miles reported for the UAF
Program that operate on the fixed guideway directional route miles greater than or equal to seven Federal fiscal years old.
There is no automatic data entry or reporting methodology for this part of the form: Use your schedules and internal records
to determine VRM.
High Intensity Bus Segments at least Seven Federal Fiscal Years Old
For the State of Good Repair Program, directly enter the portion of actual vehicle revenue miles reported for the UAF
Program that operate on the high intensity bus directional route miles greater than or equal to seven Federal fiscal years old.
There is no automatic data entry or reporting methodology for this part of the form: Use your schedules and internal records
to determine VRM.
278 — Federal Funding Allocation Statistics form (FFA-10)
2013 Urban Reporting Manual
Line by Line Instructions for Federal Funding Allocation Statistics form (FFA-10)
This form is for all transit agencies that serve a UZA as designated by the U. S. Bureau of the Census.
Complete one form for each directly operated (DO) mode and for each purchased transportation (PT) mode.
Complete the Contractual Relationship form (B-30) for any PT service, and the Operating Expenses form (F-30), Service
form (S-10), and Fixed Guideway Segments form (S-20) for each mode and type of service (TOS) prior to completing the
FFA-10 form. In addition, if you change data on the source forms, you must edit any data you entered on the FFA-10 form —
there are no automatic re-calculations of UZA and non-UZA area statistics or bus, bus rapid transit and commuter bus fixed
(FG) and non-fixed guideway (NFG) statistics.
Form Level Help: Click on the Help tab at the top of the screen for form level help.
Form Note: A form note can be attached to any form. Use the Add Form Note link for relevant information to a specific field,
to the entire form or to multiple forms. Click on the Add Form Note link at the top of the screen and enter your note on the
Notes screen. You can review and / or edit a form note from the Notes tab. Do not use the Form Notes feature to answer
issues generated from this form. From the Issues tab use the Add Comments link next to the specific issue.
Saving or Closing the Form: Click on the Save button prior to exiting the form and continuing with the report. Click on the
Close button at the bottom of the screen to close the form without saving.
Line 01, columns b - y: UZA Number. This field is pre-filled with data from the Identification form (B-10) and cannot be
edited. This field contains the UZA and non-UZA numbers for your service area. For apportionment purposes, if your transit
agency serves multiple UZAs or non-UZAs you may not have statistics reported in all the UZAs or non-UZAs based on the
serve rules for allocation of the formula data statistics.
Line 02: UZA Reporting Method. From the drop-down menu, select the methodology used for reporting vehicle revenue
hours (VRH), passenger miles traveled (PMT), unlinked passenger trips (UPT) and operating expenses (OE) between UZAs.
If the service is operated in more than one UZA, enter the statistics for each UZA.
•
Check the check-box(es) for each UZA and non-UZA to which the methodology should be applied.
Annual Total
Line 03: Total VRM: This applies only to bus, bus rapid transit and commuter bus modes.
•
Column a: Data from Other Forms. This field is pre-filled with data from the S-10 form and cannot be edited. This
field displays the total annual VRM for your entire service area for both FG and NFG guideway operations.
•
Columns b – y: By UZA. Enter VRM for each UZA and non-UZA.
•
Column z: Annual Total. This is an auto-calculated field and cannot be edited. This field displays the sum of VRM
from the UZA and non-UZA columns. Annual total data must equal data from other forms, column a.
Line 04: Total VRH
•
Column a: Data from Other Forms. This field is pre-filled with data from the S-10 and cannot be edited. This field
displays the total actual vehicle revenue hours for your entire service area for both FG and NFG operations.
•
Columns b – y: By UZA. Enter vehicle revenue hours for each UZA. Column z: Annual Total. This is an autocalculated field and cannot be edited. This field displays the sum of vehicle revenue hours from the UZA and nonUZA columns. Annual total data must equal data from other forms, column a.
Line 05: Total PMT: This applies only to MB mode.
•
Column a: Data from Other Forms. This field is pre-filled with data from the S-10 form and cannot be edited. This
field displays the total annual passenger miles traveled for your entire service area for both FG and NFG
operations.
•
Columns b – y: By UZA. Enter passenger miles traveled for each UZA.
•
Column z: Annual Total. This is an auto-calculated field and cannot be edited. This field displays the sum of
passenger miles traveled from the UZA and non-UZA columns. Annual total data must equal data from other forms,
column a.
Line 06: Total UPT
•
Column a: Data from Other Forms. This field is pre-filled with data from the S-10 form and cannot be edited. This
field displays the total unlinked passenger trips for your entire service area for both fixed and non-fixed guideway
operations.
Federal Funding Allocation Statistics form (FFA-10) — 279
2013 Urban Reporting Manual
•
Columns b – y: By UZA. Enter unlinked passenger trips for each UZA.
•
Column z: Annual Total. This is an auto-calculated field and cannot be edited. This field displays the sum of
unlinked passenger trips from the UZA and non-UZA columns. Annual total data must equal data from other forms,
column a.
Line 07: Total OE: This applies only to bus, bus rapid transit and commuter bus modes.
•
Column a: Data from Other Forms. This field is pre-filled with data from the F-30 form and cannot be edited. This
field displays the total annual operating expenses for your entire service area for both fixed and non-fixed guideway
operations.
•
Columns b – y: By UZA. Enter operating expenses for each UZA.
•
Column z: Annual Total. This is an auto-calculated field and cannot be edited. This field displays the sum of
operating expenses from the UZA and non-UZA columns. Annual total data must equal data from other forms,
column a.
Urbanized Area Formula Program – Fixed Guideway
Fixed guideway is not applicable for demand response (DR), demand response taxi (DT), jitney (JT), publico (PB) and
vanpool (VP) modes.
Line 08: DRM
•
Column a: Data from Other Forms. This field is pre-filled with data from the S-20 form and cannot be edited. This
field displays the total directional route miles (DRM) for your entire service area eligible for the Urbanized Area
Formula Program (UAF) apportionment.
•
Columns b – y: By UZA. Enter fixed guideway directional route miles (FG DRM) for each UZA. Fixed guideway that
enters two different UZAs would be designated as two separate track segments based on the division of the UZA.
•
Column z: Annual Total. This is an auto-calculated field and cannot be edited. This field displays the sum of FG
DRM from the UZA and non-UZA columns. Annual total data must equal data from other forms, column a.
Line 09: Fixed / Non-Fixed Guideway Reporting Method. It is not mandatory for your transit agency to report separate
statistics for bus (MB), bus rapid transit (RB) or commuter bus (CB) FG and NFG. Internet reporting automatically assigns
the statistics (VRM, PMT, and OE) to NFG. If you choose to report statistics, select the fixed / non-fixed guideway reporting
methodology from the drop-down menu. Applicable only for bus, bus rapid transit and commuter bus modes.
Line 10: VRM
•
Column a: Data from Other Forms. This field is pre-filled with data from the S-10 form and cannot be edited. This
field displays the total annual actual vehicle revenue miles for your entire service area for fixed guideway
operations. Not applicable to bus, bus rapid transit or commuter bus modes; only totals appear for data from other
forms across fixed and non-fixed guideway operations (line 03).
•
Columns b – y: By UZA. Enter actual vehicle revenue miles for each UZA for service operated on FG DRM that are
reported on the S-20 form for:
o
All rail, FB and TR modes — line 02;
o
MB, RB and CB modes — line 12; and
o
TB mode — line 07.
Remember that even though directional route miles on fixed guideway can only be reported once for funding, you
can report actual vehicle revenue miles, passenger miles traveled and operating expenses for service operated on
the fixed guideway directional route mile using the line numbers cited above.
•
Column z: Annual Total. This is an auto-calculated field and cannot be edited. This field displays the sum of actual
vehicle revenue miles from the UZA and non-UZA columns. For all fixed guideway modes except bus, bus rapid
transit and commuter bus annual total data must equal data from other forms, column a. Only totals only appear for
data from other forms across fixed and non-fixed guideway operations (line 03).
Line 11: PMT
•
Column a: Data from Other Forms. This field is pre-filled with data from the S-10 form and cannot be edited. This
field displays the total passenger miles traveled for your entire service area for FG operations. Not applicable to
bus, bus rapid transit and commuter bus modes; only totals appear for data from other forms across fixed and nonfixed guideway operations (line 05).
280 — Federal Funding Allocation Statistics form (FFA-10)
2013 Urban Reporting Manual
•
Columns b – y: By UZA. Enter passenger miles traveled for each UZA.
Remember that even though directional route miles on fixed guideway can only be reported once for funding, you
can report actual vehicle revenue miles, passenger miles traveled and operating expenses for service operated on
the FG DRM. The S-20 form summarizes the DRM over which the actual vehicle revenue miles, passenger miles
traveled and operating expenses operated on the fixed guideway can be reported on the FFA-10 form as follows:
•
o
All rail, FB and TR modes — line 02;
o
MB, RB and CB modes — line 12; and
o
TB mode — line 07.
Column z: Annual Total. This is an auto-calculated field and cannot be edited. This field displays the sum of
passenger miles traveled from the UZA and non-UZA columns. Make sure that the annual total equals the
passenger miles traveled automatically transferred from other forms (column a) for fixed guideway modes except
bus, bus rapid transit and commuter bus modes. Only totals appear for data from other forms across fixed and nonfixed guideway operations (line 05).
Line 12: OE
•
Column a: Data from Other Forms. This field is pre-filled with data from the F-30 form and B-30 form, and cannot
be edited. This field displays the total operating expenses for your entire service area for fixed guideway operations.
Not applicable to bus, bus rapid transit or commuter bus modes; only totals appear for data from other forms across
fixed and non-fixed guideway operations (line 07).
•
Columns b – y: By UZA. Enter OE for each UZA. If a UZA uses the VRM or operating assistance reporting
methodology, this field will be automatically calculated.
Remember that even though directional route miles on fixed guideway can only be reported once for funding, you
can report actual vehicle revenue miles, passenger miles traveled and operating expenses for service operated on
the fixed guideway directional route miles. The S-20 form summarizes the directional route miles over which the
actual vehicle revenue miles, passenger miles traveled and operating expenses operated on the fixed guideway
can be reported on the FFA-10 form as follows:
•
o
All rail, FB and TR modes — line 02;
o
MB, RB and CB modes — line 12; and
o
TB mode — line 07.
Column z: Annual Total. This is an auto-calculated field and cannot be edited. This field displays the sum of
operating expenses from the UZA and non-UZA columns. Make sure that the annual total equals the operating
expenses automatically transferred from other forms (column a) for fixed guideway modes except MB, RB and CB.
Only totals appear for data from other forms across fixed and non-fixed guideway operations (line 07).
Urbanized Area Formula Program – Non-Fixed Guideway
Line 13: VRM
•
Column a: Data from Other Forms. This field is pre-filled with data from the S-10 form and cannot be edited. This
field displays the total annual VRM for your entire service area for NFG operations. Not applicable to FG modes or
MB, RB and CB modes with reporting of statistics in FG and NFG operations; only totals appear for data from other
forms across FG and NFG operations (line 03).
•
Columns b – y: By UZA. Enter actual vehicle revenue miles for each UZA. Not applicable to fixed guideway modes
or bus, bus rapid transit and commuter bus modes with reporting of statistics in fixed and non-fixed guideway
operations. For bus, bus rapid transit and commuter bus modes with reporting of statistics in non-fixed guideway
operations, this field will be automatically calculated as line 03 minus line 10.
•
Column z: Annual Total. This is an auto-calculated field and cannot be edited. This field displays the sum of actual
vehicle revenue miles from the UZA and non-UZA columns. Annual total data must equal data from other forms
(column a) for non-fixed guideway modes. If you have reported bus, rapid transit or commuter bus statistics in both
fixed and non-fixed guideway operations, totals only appear for data from other forms across fixed and non-fixed
guideway operations on line 03.
Line 14: PMT
•
Column a: Data from Other Forms. This field is pre-filled with data from the S-10 form and cannot be edited. This
field displays the total annual actual passenger miles traveled for your entire service area for non-fixed guideway
operations. Not applicable to fixed guideway modes or bus, bus rapid transit and commuter bus modes with
Federal Funding Allocation Statistics form (FFA-10) — 281
2013 Urban Reporting Manual
reporting of statistics in fixed and non-fixed guideway operations; only totals appear for data from other forms
across fixed and non-fixed guideway operations (line 04).
•
Columns b – y: By UZA. Enter PMT for each UZA. If a UZA uses the actual vehicle revenue miles or operating
assistance reporting methodology, this field will be automatically calculated. Not applicable to fixed guideway
modes or bus, rapid transit and commuter bus modes with reporting of statistics in FG and NFG operations. For
MB, RB and CB modes with reporting of statistics in NFG operations, this field will be automatically calculated as
line 05 minus line 11.
•
Column z: Annual Total. This is an auto-calculated field and cannot be edited. This field displays the sum of
passenger miles traveled from the UZA and non-UZA columns. Annual total data must equal data from other forms
(column a) for non-fixed guideway modes. If you have reported bus, bus rapid transit or commuter bus statistics in
both fixed and non-fixed guideway operations, totals only appear for data from other forms across fixed and nonfixed guideway operations on line 05.
Line 15: OE
•
Column a: Data from Other Forms. This field is pre-filled with data from the S-10 form and cannot be edited. This
field displays the total annual operating expenses for your entire service area for non-fixed guideway operations.
Not applicable to fixed guideway modes or bus, bus rapid transit and commuter bus modes with reporting of
statistics in fixed and non-fixed guideway operations; only totals appear for data from other forms across fixed and
non-fixed guideway operations (line 07).
•
Columns b – y: By UZA. Enter operating expenses for each UZA. If a UZA uses the actual vehicle revenue miles or
operating assistance reporting methodology, this field will be automatically calculated. Not applicable to fixed
guideway modes or bus, bus rapid transit and commuter bus modes with reporting of statistics in FG and NFG
operations. For MB, RB and CB modes with reporting of statistics in NFG operations, this field will be automatically
calculated as line 07 minus line 12.
•
Column z: Annual Total. This is an auto-calculated field and cannot be edited. This field displays the sum of
operating expenses from the UZA and non-UZA columns. Annual total data must equal data from other forms
(column a) for non-fixed guideway modes. If you have reported bus, bus rapid transit or commuter bus statistics in
both fixed and non-fixed guideway operations, totals only appear for data from other forms across FG and NFG
operations on line 07.
State of Good Repair Program
Line 16: FG DRM ≥ Seven Years @ Federal Fiscal Year End (FFYE)
•
Column a: Data from Other Forms. This field is pre-filled with data from the S-20 form and cannot be edited. This
field displays the total DRM for your entire service area for FG in operation at least seven Federal fiscal years
eligible for the State of Good Repair Program apportionment. Service must have started on or before September
30, 2006.
•
Columns b – y: By UZA. Enter directional route miles for FG in operation at least seven Federal fiscal years for
each UZA. This number should be less than or equal to the directional route miles reported under the UAF Program
on line 08.
•
Column z: Annual Total. This is an auto-calculated field and cannot be edited. This field displays the sum of FG
DRM from the UZA and non-UZA columns. Annual total data must equal data from other forms, column a.
Line 17: FG VRM ≥ Seven Years @ FFYE
•
•
Columns b – y: By UZA. Enter the number of actual VRM operated over the DRM for FG in operation at least seven
FFYs, by UZA. These should be less than or equal to the actual VRM reported under the UAF on line 10. There is
no automatic data entry or reporting methodology. Determine actual VRM from your schedules and other internal
records. Remember that even though DRM on FG can only be reported once for funding, you can report actual
VRM for service operated on the FG-DRM. The S-20 summarizes the DRM over which the actual VRM operated on
the FG can be reported on the FFA-10 form as follows:
o
All rail, FB and TR modes — line 04;
o
MB, RB and CB modes — line 16; and
o
TB mode — line 13.
Column z: Annual Total. This is an auto-calculated field and cannot be edited. This field displays the sum of actual
VRM from the UZA and non-UZA columns. This number should be less than or equal to the total number of actual
FG VRM reported under the UAF Program on line 10.
282 — Federal Funding Allocation Statistics form (FFA-10)
2013 Urban Reporting Manual
Line 18: HIB DRM ≥ Seven Years @ Federal Fiscal Year End (FFYE)
•
Column a: Data from Other Forms. This field is pre-filled with data from the S-20 form and cannot be edited. This
field displays the total DRM for your entire service area for HIB in operation at least seven Federal fiscal years
eligible for the State of Good Repair Program apportionment. Service must have started on or before September
30, 2006.
•
Columns b – y: By UZA. Enter directional route miles for HIB in operation at least seven Federal fiscal years for
each UZA. This number should be less than or equal to the directional route miles reported under the UAF Program
on line 08.
•
Column z: Annual Total. This is an auto-calculated field and cannot be edited. This field displays the sum of HIB
DRM from the UZA and non-UZA columns. Annual total data must equal data from other forms, column a.
Line 19: HIB VRM ≥ Seven Years @ FFYE
•
•
Columns b – y: By UZA. Enter the number of actual VRM operated over the DRM for HIB in operation at least
seven FFYs, by UZA. These should be less than or equal to the actual VRM reported under the UAF on line 10.
There is no automatic data entry or reporting methodology. Determine actual VRM from your schedules and other
internal records. Remember that even though DRM on HIB can only be reported once for funding, you can report
actual VRM for service operated on the HIB-DRM. The S-20 summarizes the DRM over which the actual VRM
operated on the HIB can be reported on the FFA-10 form as follows:
o
All rail, FB and TR modes — line 04;
o
MB, RB and CB modes — line 18; and
o
TB mode — line 13.
Column z: Annual Total. This is an auto-calculated field and cannot be edited. This field displays the sum of actual
VRM from the UZA and non-UZA columns. This number should be less than or equal to the total number of actual VRM
reported under the UAF Program on line 03.
Federal Funding Allocation Statistics form (FFA-10) — 283
2013 Urban Reporting Manual
Declarations Module
This module contains three declarations:
•
Chief Executive Officer (CEO) Certification;
•
Independent Auditor Statement for Financial Data (IAS–FD); and
•
Independent Auditor Statement for Federal Funding Allocation Data (IAS–FFA).
Declarations
The National Transit Database (NTD) program was created to provide a comprehensive public transit database. To meet a
high standard of data quality, the Federal Transit Administration (FTA) requires each transit agency to complete declarations
stating the validity of the data being reported.
Reporting Requirements and Thresholds
All required declarations must be completed with the original NTD report submission. A transit agency must file a complete
NTD Annual Report by the report due date. You should refer to the NTD Annual Reporting Timelines exhibit under When to
Report in the Introduction section to determine dates.
Requirements for submission of the declarations are as follows:
•
The CEO Certification form (D-10) is submitted with the other NTD reporting forms.
•
The IAS – FD must be sent via the e-File. The scanned document must display the letterhead, signature and date
signed.
•
The IAS – FFA is not submitted but must be kept on file at the transit agency for FTA’s Triennial Review. The IAS–
FFA should be completed no later than the last date to receive report revisions, or your agency may be Closed Out
Failure to Report. As this audit statement is a requirement for reporting, failure to complete the IAS–FFA data in a
timely manner may result in the agency not qualifying for apportionment.
If there are compelling circumstances why the Statement cannot be completed on time, the NTD Annual Report
must be filed by the due date and the chief executive officer (CEO) must indicate in Part 4d of the D-10 the reason
why the Statement is late and when it will be completed.
For further information, you should refer to e-File: Sending Declarations, Waivers, and General Correspondence to NTD and
Viewing Report Submission Stages in the Internet Reporting section of this manual.
The exhibit below is a summary of required declarations describing who must make the declaration and follow-up actions.
Exhibit 81 — Annual Declaration Requirements
Declaration
Performed by
Reporter Actions Required
Chief Executive Officer (CEO)
Certification
Chief Executive
Officer
Annual requirement – D-10 form
Independent Auditor Statement
for Financial Data (IAS-FD)
Independent
Auditor
Review to confirm use of accrual accounting and Uniform System of
Accounts (USOA), or a directly translatable method. Approval is granted in
writing from FTA. Thereafter, the CEO annually certifies financial data in the
CEO Certification. It is valid until the accounting method changes or
significant issues arise.
Submit a scanned copy of the IAS-FD via the e-File.
Independent Auditor Statement
for Federal Funding Allocation
Data (IAS-FFA)
Independent
Auditor
Annual requirement for agencies in urbanized areas (UZAs) ≥ 200,000
population with 100 or more vehicles operated in annual maximum service
(VOMS) across all modes and types of service (TOS).
The IAS-FFA is retained at the agency for Triennial Review. Reported in
part four of the D-10 form, as required.
What Has Changed from Prior Year
There are no changes to the Declarations for the 2013 report year.
284 — Declarations Module
2013 Urban Reporting Manual
Chief Executive Officer Certification (D-10) form
Independent Auditor Statement for Financial Data (IAS-FD) — 285
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286 — Chief Executive Officer Certification (D-10) form
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Overview
Each transit agency is required to submit a CEO Certification with its NTD Annual Report. The certification is an NTD form,
approved by the transit agency's CEO that endorses and attests to the accuracy of the data submitted in the NTD Annual
Report. A CEO Certification is not required of transit agencies with a Planning Waiver, Capital Grants Waiver, or a full
reporting waiver for the report year.
The D-10 should identify the title of the CEO and be electronically approved. The CEO is the principal executive in charge of,
and responsible for, the transit agency.
The following examples illustrate who is a CEO:
•
Transit authority general manager;
•
Transit authority administrator;
•
County or city government department head;
•
State Department of Transportation division head;
•
Council of Governments, commission or transit district executive director;
•
City sponsored demand response (DR) system executive director; or
•
Whomever the transit agency board designates to be authorized and accountable for the NTD Annual Report.
Examples of a CEO for purchased transportation (PT) by a private operator filing a separate report are:
•
Senior operations manager (site specific); and
•
Officers (e.g., the president, vice president or controller at the corporate level are also acceptable). This includes
equivalent positions at operating subsidiaries.
The CEO is required to complete a certification for each NTD report year. The certification must:
•
Certify the accuracy of the complete data submitted in the overall report;
•
Certify specifically the accuracy of the Federal funding allocation data used in the Urbanized Area Formula Program
(UAF) and State of Good Repair (5337) and Bus and Bus Facilities (5339) programs;
•
Attest to the independent auditor reviews of both financial data and Federal funding allocation data, if applicable;
and
•
Describe the procedures used to estimate or collect actual passenger miles traveled (PMT) data and unlinked
passenger trip (UPT) data by mode and type of service (TOS).
Overall Report
The CEO Certification attests that all data contained in the NTD Annual Report are accurate and are collected and reported
in accordance with NTD definitions.
Federal Funding Allocation Data
If the transit agency serves an UZA with a population of 200,000 or more, the CEO Certification attests that:
•
The data items used for the apportionment of UAF Program, State of Good Repair (5337) and Bus and Bus
Facilities (5339) funds are accurate; and
•
There is documentation of procedures and internal controls to ensure data accuracy.
Independent Auditor Statement for Financial Data (IAS-FD)
The IAS-FD is usually a one-time review that determines if the transit agency’s accounting system meets FTA requirements.
If a transit agency meets the requirements in the prior year and has not changed its accounting system, FTA waives the
requirement for an annual IAS-FD.
The CEO Certification is used to verify one of the following:
•
An IAS-FD was done for the current report year;
•
FTA approved an IAS-FD for a prior report year and the system’s accounting system remains unchanged; or
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•
A waiver was granted not to have an IAS-FD for the current year or whether.
This information is provided in the D-10 form for the CEO to review and, as needed, make changes.
It is important to note that “accounting system” refers to the accounting methodology such as accrual or cash basis and the
chart of accounts. "Accounting system" does not refer to the hardware or software. Therefore, if the accounting system
remains the same, while the hardware or software is upgraded or changed, a new IAS–FD is not required.
Independent Auditor Statement for Federal Funding Allocation Data (IAS-FFA)
If the transit agency is in or serves a UZA with a population of 200,000 or more and operates 100 or more vehicles operated
in annual maximum service (VOMS) across all modes and TOS, the CEO Certification states that the transit agency's IAS–
FFA has been completed, along with:
•
The name of the auditor and date of the completed Independent Auditor Statement;
•
Whether there are any negative findings; and
•
If there were any negative findings, how the transit agency addressed the negative findings.
If there are compelling circumstances which prevent the IAS–FFA to be completed on time, the NTD Annual Report must be
filed by the due date and the CEO must indicate in paragraph 4d of the D-10 the reason why the IAS–FFA is late and when it
will be completed. The IAS–FFA must be completed no later than the last date to receive report revisions for the transit
agency’s report due date.
Passenger Miles Traveled (PMT) Data
The CEO Certification describes the PMT data collection or estimation procedure for each mode and type of service using
one of the following:
•
5a: FTA Circular (select circular 2710.1a or 2710.2a) (estimated data);
•
5b: 100% count of PMT data (actual data). If available and reliable, you must report 100 percent counts;
•
5c: Alternative sampling procedure: Note that the procedure must meet 95% confidence and ±10% precision levels
as determined by a qualified statistician (estimated data);
•
5d: Collected and estimated using the trip length from the last mandatory year multiplied by the unlinked passenger
trip (UPT) number from this year (estimated data). The last mandatory year PMT data were collected and estimated
(select from the following) (Internet Reporting will display a box for you to describe):
o
Using FTA Circular (select circular 2710.1a or 2710.2a) (estimate);
o
Using a 100% count of PMT data (actual); or
o
Using an alternative sampling procedure determined to meet 95% confidence and ±10% precision levels
by a qualified statistician (estimate);
•
5e: None of the above. Internet Reporting will display a box for you to describe; or
•
5f: NTD Sampling Method.
For PT service, sellers for the same mode may use different data collection or estimation procedures. Therefore, the CEO
Certification for PMT data is made for each PT mode by contract.
It is important that there is consistency in the NTD Annual Report on how PMT data are collected or estimated. The CEO
Certification and the Independent Auditor Statement for Federal Funding Allocation Data must agree on how PMT data are
collected or estimated.
Unlinked Passenger Trip (UPT) Data
The CEO Certification describes the UPT data collection or estimation procedure for each mode and type of service using
one of the following:
•
6a: FTA Circular 2710.1A (estimated data);
•
6b: 100% count of UPT data (actual data) (if available and reliable, you must report 100 percent counts);
•
6c: Alternative sampling procedure determined to meet 95% confidence and
statistician (estimated data);
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2013 Urban Reporting Manual
•
6d: None of the above. Internet Reporting will display a box for you to describe; or
•
6e: NTD Sampling Method.
For PT service, sellers for the same mode may use different data collection or estimation procedures. Therefore,, the CEO
Certification for UPT data is made for each PT mode by contract.
Chief Executive Officer Certification form (D-10)
Through this form, the CEO makes the necessary assurances of data accuracy, data recording and retention procedures,
and uniform reporting requirements. The CEO makes the following assurances:
•
Attests that the data are accurate, truthful and conform in all material respects with the USOA and Reporting
Manuals.
•
Verifies data accuracy, collection, supervision, and records retention for fixed guideway directional route miles
DRM) and age of fixed guideway (FG) segments, High Intensity Bus directional route miles and age of
segments, actual vehicle revenue miles (VRM), actual vehicle revenue hours, passenger miles traveled,
operating expense (OE) by mode and TOS used in the UAF and State of Good Repair (5337) and Bus and
Facilities (5339) allocations for agencies serving UZAs with 200,000 or more population.
•
Attests that the transit agency has / has not received FTA approval of an IAS–FD for a prior report year. If the
transit agency does not have approval, the CEO must state the independent auditor's name and the date that the
IAS–FD was completed for the current report year.
•
For agencies that have FTA approval, information is customized and pre-filled for each transit agency in Internet
Reporting. The customized information includes the type of accounting system, the report year, and the date and
auditing firm that reviewed the financial data. In rare cases, FTA may grant a waiver from completing an IAS-FD for
the current year and this is also stated in the CEO Certification.
•
Attests that the transit agency does / does not have an IAS–FFA, if applicable. The CEO must state the auditor’s
name and the date that the IAS–FFA was completed for the current report year, whether there are any negative
findings, and if so, how the transit agency addressed the negative findings The IAS–FFA is to be kept on file by the
agency for three years after report submission, so that it is available for FTA’s Triennial Review.
•
If there are compelling circumstances which prevent the IAS–FFA to be submitted on-time, the NTD Annual Report
must be filed by the due date and the chief executive officer must indicate in Part 4d of the D-10 form the reason
why the IAS–FFA is late and when it will be completed.
•
Describes the PMT data (estimate or actual) by mode and TOS.
•
Describes the UPT data (estimate or actual) by mode and TOS.
(FG
HIB
and
Bus
During the validation process, the CEO or independent auditor, as applicable, should document that they concur with
revisions to the transit agency's data, and retain a copy of the revisions in the transit agency's files. The CEO should update
the D-10 form with each report revision. The independent auditor does not have to redo the IAS-FFA. When submitting a
revised report, Internet Reporting will prompt you to confirm that the CEO certifies the revisions to the report and, if
required, that the independent auditor reviewed and concurred with the revisions.
Line by Line Instructions for CEO Certification form (D-10)
Complete one form.
Form Level Help: Click on the Help tab at the top of the screen for form level help.
Form Note: A form note can be attached to any form. Use the Add Form Note link for relevant information to a specific field,
to the entire form or to multiple forms. You should click on the Add Form Note link at the top of the screen and enter your
note on the Notes screen. You can review and / or edit a form note from the Notes tab. You should not use the Form Notes
feature to answer issues generated from this form. Instead, from the Issues tab, you should use the Add Comments link
next to the specific issue.
Saving or Closing the Form: You should click on the Save button prior to exiting the form and continuing with the report.
You should click on the Close button at the bottom of the screen to close the form without saving.
NTD Report Year. This is an auto-generated field and cannot be edited, review for accuracy. The field displays the current
report year for which the CEO is certifying the NTD data.
Independent Auditor Statement for Financial Data (IAS-FD) — 289
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Agency Name. This is an auto-generated field and cannot be edited, review for accuracy. The field displays the current
agency name as stated on the Identification form (B-10).
NTD ID. This is an auto-generated field and cannot be edited, review for accuracy. The field displays the NTD identification
number assigned by FTA.
CEO Name. Enter the name of the CEO for your transit agency.
CEO Title. Enter the title of the CEO for your agency.
Certification Completion Date. This is an auto-generated field and cannot be edited, review for accuracy. This is the most
recent save date of the D-10 form.
Line 01: Overall Data Accuracy. If the CEO certifies to the overall accuracy of the data in the NTD report, select “yes”. If “no”
is selected for each statement:
•
The financial and non-financial operating data in this submission are accurate and truthful records of the financial
transactions and operations
•
The financial and non-financial operating data in this submission conform in all material respects with the
accounting and definitional requirements of FTA Reporting Manuals and the USOA.
Internet Reporting will display a box for you to explain why the CEO will not certify the data. An explanation is required.
Line 02: Part 2 Federal Funding Allocation form (FFA-10) Data for Agencies Serving UZAs over 200,000 Population. If the
CEO agrees with each of the following verifications, select “yes” for each mode and TOS. If “no” is selected, Internet
Reporting will display a box for you to explain, by mode / type of service and data item (vehicle revenue miles, PMT,
operating costs and FG DRM), which of the verifications cannot be met and why. An explanation is required. The CEO is
asked to verify the following statements:
•
A system is in place for recording these data in accordance with FTA definitions. The system records complete data
without systematic errors in data definitions or comprehensive coverage.
•
Data gathering is an ongoing effort and is collected on a continuing basis throughout the year.
•
Source documents are available to support the reported data and will be maintained for at least three years. The
source documents are reviewed and signed by a supervisor, as required.
•
A system of internal controls is in place to ensure the accuracy of the data collected and reported to the NTD.
Documents are reviewed and signed by a supervisor, as required.
•
Data collection methods for these data are those suggested by FTA or equivalent.
•
FTA standards for precision and accuracy in these data have been satisfied. The sampling technique for PMT has
either been approved by FTA, or has been determined to conform to FTA requirements by a qualified statistician.
The approved sampling technique for PMT was followed as documented.
•
These data are consistent with prior reporting periods, and other facts known about transit agency operations.
Line 03: Part 3 Financial Data.
Select Yes, No or Waiver as follows:
•
3a and 3b: If FTA approved your IAS-FD for a prior report year and you are not submitting a new IAS-FD, select
“yes”. If yes, Paragraph 3a or 3b will appear.
•
3a or 3b are pre-filled and cannot be edited, review for accuracy. The data provide the
•
o
Accounting system.
o
Name of the Independent Auditor who performed the financial review,
o
Date of the financial review.
o
Report year for which the financial review was performed.
3c: If your transit agency does not have a prior year approval by FTA of your IAS-FD review or the accounting
system has changed, and you are submitting an IAS-FD for the current report year, select “no” and complete 3c.
o
Name of the Independent Auditor who performed the financial review.
o
Date of the financial review.
o
Submit the IAS-FD using the e-File tab.
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2013 Urban Reporting Manual
o
Retain a copy of the review in agency files.
Waiver: If your agency does not have a prior year approval of your IAS-FD review and FTA granted a waiver for an IAS-FD
review for the current report year, you should select “waiver”. If this is done, 3a, 3b, or 3c will not appear.
Line 04: FFA-10 Data for Agencies Serving UZAs over 200,000 Population and Operating 100 or more VOMS.
•
4a:
You should indicate whether the auditor review of the FFA-10 data has been completed, by selecting “yes”
or “no”. If no, go to part 4d. If yes:
o
Name of the Independent Auditor who performed the review.
o
Date of the data review.
o
Retain the review in agency files.
o
Note: Suggested review procedures are provided in this section of this manual.
•
4b:
You should indicate whether the auditor had any negative findings as a result of the data review by
selecting “yes” or “no”.
•
4c:
If there were negative findings indicated in 4b, then Internet Reporting will display a box for you to explain
each negative finding and how your agency addressed each finding.
•
4d:
If the independent auditor has not completed the data review by the report due date, you should provide:
o
Reason why the review was not completed.
o
Anticipated completion date.
Line 05: PMT Data Collection: For each mode / type of service you should describe how PMT data were collected or
estimated for the current report year (year is pre-filled and cannot be edited) using 5a, 5b, 5c, 5d or 5e. For purchased
transportation (PT) or PT reported as directly operated (DO), the contractor name is auto-filled. If there are multiple
providers, select all that are used. Note that contractors for purchased transportation reported as directly operated applies to
only a few reporters. Usually contracted service in an agency’s NTD report is reported as purchased transportation type of
service.
•
5a: FTA Circular (select circular 2710.1a or 2710.2a) (estimated data)
•
5b: 100% count of PMT data (actual data). If available and reliable, you must report 100 percent counts.
•
5c: Alternative sampling procedure: Note that the procedure must meet 95% confidence and ±10% precision levels
as determined by a qualified statistician (estimated data).
•
5d: Collected and estimated using the trip length from the last mandatory year multiplied by the unlinked passenger
trip (UPT) number from this year (estimated data). The last mandatory year PMT data were collected and estimated
(select from the following) (Internet Reporting will display a box for you to describe):
o
Using FTA Circular (select circular 2710.1a or 2710.2a) (estimate)
o
Using a 100% count of PMT data (actual)
o
Using an alternative sampling procedure determined to meet 95% confidence and ±10% precision levels
by a qualified statistician (estimate).
•
5e: None of the above. Internet Reporting will display a box for you to describe.
•
5f: NTD Sampling Method
Line 06: Unlinked Passenger Trip Data Collection: For each mode / type of service you should describe how unlinked
passenger trips were collected or estimated for the current report year (year is pre-filled and cannot be edited) using 6a, 6b,
6c or 6d. For purchased transportation or purchased transportation reported as directly operated the contractor name is
auto-filled. If there are multiple providers, you should select all that are used. Note that contractors for purchased
transportation reported as directly operated applies to only a few reporters. Usually contracted service in an agency’s NTD
report is reported as purchased transportation type of service.
•
6a: FTA Circular 2710.1A (estimated data).
•
6b: 100% count of UPT data (actual data). If available and reliable, you must report 100 percent counts.
•
6c: Alternative sampling procedure determined to meet 95% confidence and ±10% precision levels by a qualified
statistician (estimated data).
•
6d: None of the above. Internet Reporting will display a box for you to describe
Independent Auditor Statement for Financial Data (IAS-FD) — 291
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•
6e: NTD Sampling Method
Independent Auditor Statements
An Independent Auditor Statement (IAS) is a letter signed by an independent public accountant or other independent entity
(such as a state audit agency). There are two Independent Auditor Statements (IAS):
•
Independent Auditor Statement for Financial Data (IAS–FD); and
•
Independent Auditor Statement for Federal Funding Allocation Data (IAS–FFA).
The statement should indicate whether any of the data reported does not conform to the NTD requirements and describe the
discrepancies. The Independent Auditor Statement (IAS) should identify the auditing firm’s name and the location (city) of the
office making the statement, and should be signed and dated.
Independent Auditor Statement for Financial Data (IAS-FD)
Overview
Each transit agency is required to file an IAS – FD with their NTD Annual Report. This is usually a one-time submission that
must be reviewed and approved by FTA. An audit conducted for the OMB Circular A-133 Single Audit Act is not a substitute.
The independent auditor must review all financial forms to ensure that: 1) the transit agency's accounting system follows the
Uniform System of Accounts (USOA), 2) accrual accounting or a directly translatable method is used, and 3) all financial
data are in accordance with NTD requirements. The review must state whether any of the reported data do not conform to
NTD requirements and describe the discrepancies.
If FTA approves the IAS–FD, the Chief Executive Officer (CEO) Certification may be used in subsequent years in lieu of the
IAS–FD. The chief executive officer (CEO) must certify the overall accuracy of the data in the NTD Annual Report.
If there is a change in the transit agency's accounting system, another review must be performed (a new IAS–FD) and
submitted to FTA. FTA may require a new review if there are substantial changes in financial data reporting.
The criteria for retaining FTA approval are:
•
The transit agency has adopted the USOA, and has previously submitted an NTD Annual Report that was compiled
using the USOA and was reviewed by an independent auditor, or
•
The transit agency:
o
Uses an internal accounting system other than the accounting system prescribed by the USOA
o
Uses the accrual method of accounting or a directly translatable method
o
Directly translates the system and accounting categories, using a clear audit trail, to the accounting
treatment and categories specified by the USOA, and
o
Has previously submitted an NTD Annual Report that was compiled using the same internal accounting
system and translation to the USOA, and was reviewed by an independent auditor.
If the above criteria are met, the CEO Certification must verify that the financial data continues to meet one of the above
conditions.
Suggested Format
The transit agency must submit the IAS–FD as applicable. FTA provides suggested formats in Internet Reporting on the
Reports tab (Example 31). It is not a requirement that a transit agency use these formats; however, the IAS–FD must still
address each of the items outlined in the suggested format.
The suggested format ensures the financial reporting forms conform in all material respects with the accounting
requirements in the USOA and NTD reporting requirements. Usually, a transit agency has the financial data review done
only once and sends the IAS–FD to FTA. If the transit agency is in conformance, FTA grants approval. This approval
remains in effect until the accounting system or method changes, or if significant issues arise.
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Exhibit 82 — Independent Auditor Statement for Financial Data — Suggested Format
Instruction: The IAS-FD file copy should be on the independent auditor’s letterhead and should be kept on file by the transit
agency
The Board of Trustees
Transit Agency Name
In connection with our regular examination of the financial statements of [agency name], for the fiscal year ended [date], on
which we have reported separately under [date of auditor’s statement], we have also reviewed the reporting forms listed below
and included in the report for the fiscal year ended [date], required under Title 49 U.S.C. 5335 (a), for conformity in all material
respects with the requirements of the Federal Transit Administration (FTA) as set forth in its applicable National Transit
Database (NTD) Uniform System of Accounts (USOA). Our review for this purpose included such tests of the accounting records
and such other auditing procedures, as we considered necessary in the circumstances. We did not make a detailed examination
such as would be required to determine that each transaction has been recorded in accordance with the USOA.
Instruction: Select one of the following two paragraphs for inclusion in your Statement:
The accounting system from which this NTD report is derived follows the accounting system prescribed by the USOA. The same
accounting system has been adopted and was used to compile this NTD report.
or
The accounting system from which this NTD report is derived is other than the accounting system prescribed by the USOA, but
uses the accrual basis of accounting and is directly translated, using a clear audit trail, to the accounting treatment and
categories specified by the USOA. The same internal accounting system has been adopted and was used to compile this NTD
report.
Instruction: Submit a list of the specific financial forms being reported upon:
•
Sources of Funds — Funds Earned and Funds Expended form (F-10)
•
Uses of Capital form (F-20)
•
Operating Expenses forms (F-30 and F-40)
Based on our review, in our opinion the accompanying reporting forms identified above conform in all material respects with the
accounting requirements of the FTA as set forth in its applicable USOA.
Signed:
Date:
Title:
City
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Independent Auditor Statement for Federal Funding Allocation Data (IAS-FFA)
Overview
Transit agencies that are in or serve urbanized areas (UZA) with populations of 200,000 or more, and whose report covers
100 or more vehicles operated in annual maximum service (VOMS) across all modes and types of service (TOS), are
required to have an independent auditor review all NTD data used in the Urbanized Area Formula Program (UAF) and the
State of Good Repair (5337) and Bus and Bus Facilities (5339) allocations. This is an annual requirement. Transit agencies
other than those stated above would only submit this statement if requested by FTA.
When a transit agency reaches the 100-vehicle threshold, it must submit an IAS – FFA. This is required for the report year in
which the transit agency reaches the threshold.
The IAS–FFA is required by the transit agency’s due date (refer to the Introduction section of this manual for the NTD
Reporting Timeline) or your agency may receive a Close Out Failure to Report. As this audit statement is a requirement for
reporting, failure to complete the IAS – FFA in a timely manner may result in the agency not qualifying for apportionment.
The transit agency should keep the Statement on file for FTA’s Triennial Review.
The IAS–FFA should discuss, by mode and TOS: fixed guideway directional route miles (FG DRM), High Intensity Bus
directional route miles (HIB DRM), actual vehicle revenue miles (VRM), actual vehicle revenue hours (VRH), passenger
miles traveled (PMT), operating expenses (OE) and commencement date of revenue service. The independent auditor
should describe the procedures for determining the following:
•
Assurance that a system exists to record and gather data on a continuing basis.
•
Assurance that a system exists, and is maintained, for recording data in accordance with NTD definitions. This
means that the correct data are being measured and that there are no systematic errors.
•
Assurance that source documents are available to support the reported data and are maintained for FTA review
and audit for a minimum of three years following FTA's receipt of the NTD Annual Report. The data must be fully
documented and securely stored.
•
Assurance that there is a system of internal controls to ensure the accuracy of the data collection process and
recording system and that reported documents are not altered.
•
Assurance that a supervisor reviews and signs documents as required.
•
Assurance that the data collection methods are those suggested by FTA; or have been approved by FTA or a
qualified statistician as being equivalent in quality and precision. The collection methods must be documented and
followed.
•
Assurance that the deadhead miles, computed by taking the difference between the reported total actual vehicle
miles data and the reported total actual VRM data, appear to be accurate.
•
Documentation that reported data have undergone analytic review to ensure that they are consistent with prior
reporting periods and other facts known about transit agency operations.
•
Documentation of the specific documents reviewed and tests performed.
•
Documentation of how purchased transportation (PT) fare revenues and contract expenditures are reported; i.e., PT
fare revenues should include all fare revenues pertaining to the PT service, and buyer's contract expenditures are
reported net of (not including) the PT fare revenues.
Suggested Procedures
FTA provides a suggested list of procedures to satisfy the requirements of the IAS – FFA review (see the following exhibit).
The procedures are an aid for an auditor to conduct in its review of data items used in the UAF and the State of Good Repair
(5337) and Bus and Bus Facilities (5339) allocations. These procedures allow the auditor to make the assurances about data
collection, supervision and records retention specified in the suggested IAS–FFA.
These are suggested procedures for the review of federal funding allocation data (see the following exhibit). If any suggested
procedure is not used, the auditor has to replace it with an alternative procedure which fully addresses the intent of the
suggested procedure.
There is also an Auditor Help Sheet that provides guidance about the type of source documents and personnel to assist in
undertaking the suggested procedures. The Auditor Help Sheet is available from www.ntdprogram.gov.
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2013 Urban Reporting Manual
Exhibit 83 — Federal Funding Allocation Data Review — Suggested Procedures
FTA has specified and agreed to a set of procedures for the independent auditor to perform to satisfy the requirements of the
Federal Funding Allocation data review. Several of the procedures below require the auditor to select a random sample of
documents or data. The procedures do not specify the number to be selected (i.e., the percentage of the total documents / data).
The auditor should use professional judgment to determine the percentage that will enable the auditor to make the required
assurances.
The source documents and other records (such as data summaries) may be in the form of computerized data files. The auditor
should ensure that these files are securely stored and that backup procedures are in place to ensure that source documents are
retained by the transit agency for a minimum of three years.
The procedures, to be applied to each applicable mode and type of service (TOS) (directly operated (DO) and purchased
transportation (PT)), are:
a.
Obtain and read a copy of written procedures related to the system for reporting and maintaining data in accordance with
the NTD requirements and definitions set forth in 49 CFR Part 630, Federal Register, January 15, 1993 and as presented in
the 2013 Reporting Manual. If procedures are not written, discuss the procedures with the personnel assigned responsibility
of supervising the NTD data preparation and maintenance.
b.
Discuss the procedures (written or informal) with the personnel assigned responsibility of supervising the preparation and
maintenance of NTD data to determine:
•
The extent to which the transit agency followed the procedures on a continuous basis, and
•
Whether they believe such procedures result in accumulation and reporting of data consistent with the NTD
definitions and requirements set forth in 49 CFR Part 630, Federal Register, January 15, 1993 and as presented in
the 2013 Reporting Manual.
c.
Inquire of same personnel concerning the retention policy that is followed by the transit agency with respect to source
documents supporting the NTD data reported on the Federal Funding Allocation Statistics form (FFA-10).
d.
Based on a description of the transit agency's procedures obtained in items a and b above, identify all the source
documents which are to be retained by the transit agency for a minimum of three years. For each type of source document,
select three months out of the year and determine whether the document exists for each of these periods.
e.
Discuss the system of internal controls with the person responsible for supervising and maintaining the NTD data. Inquire
whether individuals, independent of the individuals preparing source documents and posting data summaries, review the
source documents and data summaries for completeness, accuracy and reasonableness and how often such reviews are
performed.
f.
Select a random sample of the source documents and determine whether supervisors' signatures are present as required
by the system of internal controls. If supervisors' signatures are not required, inquire how the supervisors' reviews are
documented.
g.
Obtain the worksheets utilized by the transit agency to prepare the final data that are transcribed onto the Federal Funding
Allocation Statistics form. Compare the periodic data included on the worksheets to the periodic summaries prepared by the
transit agency. Test the arithmetical accuracy of the summarizations.
h.
Discuss the transit agency's procedure for accumulating and recording passenger miles traveled (PMT) data in accordance
with NTD requirements with transit agency staff. Inquire whether the procedure used is (1) one of the two procedures
suggested by FTA and described in FTA Circulars 2710.1A or 2710.2A; (2) a 100% count of actual PMT; (3) an alternative
sampling procedure (if the transit agency uses an alternative sampling procedure, inquire whether the procedure has been
approved by FTA or whether a qualified statistician has determined that the procedure meets FTA's statistical requirements.
Note as a negative finding in the report use of an alternative sampling procedure that has not been approved in writing by a
qualified statistician.) (4) the NTD Sampling Method.
Independent Auditor Statement for Federal Funding Allocation Data (IAS-FFA)— 295
2013 Urban Reporting Manual
Exhibit 83 — Federal Funding Allocation Data Review — Suggested Procedures
i.
Discuss with transit agency staff (the accountant may wish to list the titles of the persons interviewed) the transit agency's
eligibility to conduct statistical sampling for PMT data every third year. Determine whether the transit agency meets one of
the three criteria that allow transit agencies to conduct statistical samples for accumulating PMT data every third year rather
than annually. Specifically:
a.
b.
c.
According to the 2010 Census, the public transit agency serves an UZA of less than 500,000 population.
The public transit agency directly operates fewer than 100 revenue vehicles in all modes in annual maximum
revenue service (VOMS) (in any size urbanized area).
The service is purchased from a seller operating fewer than 100 revenue vehicles in VOMS, and is included in the
transit agency's NTD report.
For transit agencies that meet one of the above criteria, review the NTD documentation for the most recent mandatory
sampling year (2011) and determine that statistical sampling was conducted and meets the 95% confidence and +10%
precision requirements.
Determine how the transit agency estimated annual PMT for the current report year.
j.
Obtain a description of the sampling procedure for estimation of PMT data used by the transit agency. Obtain a copy of the
transit agency's working papers or methodology used to select the actual sample of runs for recording PMT data. If the
average trip length was used, determine that the universe of runs was used as the sampling frame. Determine that the
methodology to select specific runs from the universe resulted in a random selection of runs. If a selected sample run was
missed, determine that a replacement sample run was randomly selected. Determine that the transit agency followed the
stated sampling procedure.
k.
Select a random sample of the source documents for accumulating PMT data and determine that they are complete (all
required data are recorded) and that the computations are accurate. Select a random sample of the accumulation periods
and re-compute the accumulations for each of the selected periods. List the accumulations periods that were tested. Test
the arithmetical accuracy of the summarization.
l.
Discuss the procedures for systematic exclusion of charter, school bus, and other ineligible vehicle miles from the
calculation of actual vehicle revenue miles with transit agency staff and determine that stated procedures are followed.
Select a random sample of the source documents used to record charter and school bus mileage and test the arithmetical
accuracy of the computations.
m.
For actual vehicle revenue mile (VRM) data, document the collection and recording methodology and determine that
deadhead miles are systematically excluded from the computation. This is accomplished as follows:
n.
•
If actual VRMs are calculated from schedules, document the procedures used to subtract missed trips. Select a
random sample of the days that service is operated and re-compute the daily total of missed trips and missed
VRMs. Test the arithmetical accuracy of the summarization.
•
If actual VRMs are calculated from hubodometers, document the procedures used to calculate and subtract
deadhead mileage. Select a random sample of the hubodometer readings and determine that the stated
procedures for hubodometer deadhead mileage adjustments are applied as prescribed. Test the arithmetical
accuracy of the summarization of intermediate accumulations.
•
If actual VRMs are calculated from vehicle logs, select random samples of the vehicle logs and determine that the
deadhead mileage has been correctly computed in accordance with FTA's definitions.
For rail modes, review the recording and accumulation sheets for actual VRMs and determine that locomotive miles are not
included in the computation.
296 — Independent Auditor Statement for Federal Funding Allocation Data (IAS-FFA)
2013 Urban Reporting Manual
Exhibit 83 — Federal Funding Allocation Data Review — Suggested Procedures
o.
If fixed guideway or High Intensity Bus directional route miles (FG or HIB DRM) are reported, interview the person
responsible for maintaining and reporting the NTD data whether the operations meet FTA's definition of fixed guideway
(FG) or High Intensity Bus (HIB) in that the service is:
•
Rail, trolleybus (TB), ferryboat (FB), or aerial tramway (TR) or
•
Bus (MB, CB, or RB) service operating over exclusive or controlled access rights-of-way (ROW), and
o
Access is restricted
o
Legitimate need for restricted access is demonstrated by peak period level of service D or worse on parallel
adjacent highway, and
o
Restricted access is enforced for freeways; priority lanes used by other high occupancy vehicles (HOV) (i.e.,
vanpools (VP), carpools) must demonstrate safe operation (see Fixed Guideway Segments form (S-20))
o
High Occupancy / Toll (HO/T) lanes meet FHWA requirements for traffic flow and use of toll revenues, and
that the transit agency has provided to NTD a copy of the State’s certification to the US Secretary of
Transportation that it has established a program for monitoring, assessing and reporting on the operation of
the HOV facility with HO/T lanes.
p.
Discuss the measurement of fixed guideway FG and HIB DRM with the person reporting the NTD data and determine that
the mileage is computed in accordance with FTA's definitions of FG/HIB and DRM. Inquire whether there were service
changes during the year that resulted in an increase or decrease in DRMs. If a service change resulted in a change in
overall DRMs, re-compute the average monthly DRMs, and reconcile the total to the FG/HIB DRM reported on the FFA-10
form.
q.
The auditor should inquire if any temporary interruptions in transit service occurred during the report year. If these
interruptions were due to maintenance or rehabilitation improvements to a FG segment(s), the following apply:
•
DRMs for the segment(s) should be reported for the entire report year if the interruption is less than 12 months in
duration. The months of operation on the S-20 form should be reported as 12. The transit agency should have
completed a Form Note describing the interruption.
•
If the improvements cause a service interruption on the FG/HIB DRMs lasting more than 12 months, the transit
agency should contact their validation analyst to discuss. FTA will make a determination on how the DRMs should
be reported.
r.
Measure FG/HIB DRM from maps or by retracing route.
s.
Discuss with the person reporting the NTD data whether other public transit agencies operate service over the same
FG/HIB as the transit agency. If yes, determine that the transit agency coordinated with the other transit agency (or
agencies) such that the DRMs for the segment of FG/HIB are reported only once to the NTD on the FFA-10 form. Each
transit agency should report the actual VRM, PMT and OE for the service operated over the same FG/HIB.
t.
Review the S-20 form. Discuss the persons reporting NTD data the Agency Revenue Service Start Date for any segments
added in the 2013 report year. This is the commencement date of revenue service for each FG/HIB segment. Determine
that the date is reported as when the agency began revenue service. This may be later than the Original Date of Revenue
Service if the transit agency is not the original operator. If a segment was added for the 2013 report year, the Agency
Revenue Service Date must occur within the transit agency’s 2013 fiscal year. Segments are summarized by like
characteristics. Note that for apportionment purposes under the State of Good Repair (5337) and Bus and Bus Facilities
(5339) programs., the 7-year age requirement for fixed guideway/High Intensity Bus segments is based on the report year
when the segment is first reported by any NTD transit agency. This pertains to segments reported for the first time in the
current report year. Even if a transit agency can document an Agency Revenue Service Start Date prior to the current NTD
report year, FTA will only consider segments continuously reported to NTD.
u.
Compare operating expenses with audited financial data, after reconciling items are removed.
v.
If the transit agency purchases transportation services, interview the personnel reporting the NTD data regarding the
amount of PT generated fare revenues. The PT fare revenues should equal the amount reported on the Contractual
Relationship form (B-30).
Independent Auditor Statement for Federal Funding Allocation Data (IAS-FFA)— 297
2013 Urban Reporting Manual
Exhibit 83 — Federal Funding Allocation Data Review — Suggested Procedures
w.
If the transit agency's report contains data for PT services and assurances of the data for those services is not included,
obtain a copy of the IAS-FFA data of the PT service. Attach a copy of the statement to the report. Note as an exception if
the transit agency does not have an Independent Auditor Statement (IAS) for the PT data.
x.
If the transit agency purchases transportation services, obtain a copy of the PT contract and determine that the contract (1)
specifies the specific public transportation services to be provided; (2) specifies the monetary consideration obligated by the
transit agency or governmental unit contracting for the service; (3) specifies the period covered by the contract and that this
period overlap s the entire or a portion of, period covered by the transit agency's NTD report; and (4) is signed by
representatives of both parties to the contract. Interview the person responsible for maintaining the NTD data regarding the
retention of the executed contract, and determine that copies of the contracts are retained for three years.
y.
If the transit agency provides service in more than one UZA, or between a UZA and a non-UZA, inquire of the person
responsible for maintaining the NTD data regarding the procedures for allocation of statistics between UZAs and non-UZA.
Agencies that operate service in both within a UZA and outside of a UZA (non-UZA) will report to the 2013 Annual NTD
database. Agencies who operate service only in a non-UZA should report the 2013 NTD Rural Report. Obtain and review
the FG segment worksheets, route maps and urbanized area boundaries used for allocating the statistics, and determine
that the stated procedure is followed and that the computations are correct.
z.
Compare the data reported on the FFA-10 form to comparable data for the prior report year and calculate the percentage
change from the prior year to the current year. For actual VRM, PMT or OE data that have increased or decreased by more
than 10%, or FG DRM data that have increased or decreased, interview transit agency management regarding the specifics
of operations that led to the increases or decreases in the data relative to the prior reporting period. The auditor should
document the specific procedures followed, documents reviewed, and tests performed in the work papers. The work papers
should be available for FTA review for a minimum of three years following the NTD report year. The auditor may perform
additional procedures, which are agreed to by the auditor and the transit agency, if desired. The auditor should clearly
identify the additional procedures performed in a separate attachment to the statement as procedures that were agreed to
by the transit agency and the auditor, but not by FTA.
Fixed Guideway
The following provides additional discussion on reporting fixed guideway (FG) segments and covers the following topics:
•
High occupancy / toll (HO/T ) lanes;
•
High Intensity Bus (HIB) lanes; and
•
New and modified fixed guideway segments.
High Occupancy / Toll Lanes
MAP-21 clarifies provisions governing the use and operation of high occupancy vehicles (HOV), in particular the use of HOV
facilities by high occupancy / toll (HO/T) vehicles. These are vehicles that are not otherwise exempt to use the HOV facility
(e.g., energy efficient vehicles) if the vehicle pays a toll. HO/T toll lanes allow single occupancy vehicles (SOVs) to gain
access to (HOV) facilities by paying a toll. If a transit agency has stricter requirements for high occupancy vehicles facilities
than the prohibition of single occupancy vehicles, then those requirements apply to the HO/T lane.
A State agency with jurisdiction over the operation of a HOV facility must establish occupancy requirements for HOV lanes
and for any exemptions. The State agency must certify to the US Secretary of Transportation that they have established a
program to monitor, assess, and report on the operation of the facility and the impact of high occupancy / toll vehicles and
other low emission and energy efficient vehicles. An adequate enforcement program is also required, and provision made for
limiting or discontinuing the exemptions if the facility becomes seriously degraded.
These provisions and clarifications also require that for excess toll revenues, priority consideration is to be given to projects
for developing alternatives to single occupancy vehicle travel and for improving highway safety.
High Intensity Bus
MAP-21 established a new category of lane called High Intensity Bus. Lanes that are exclusive to transit at all times are still
classified as fixed guideway; however, lanes that are shared with some traffic (i.e. HOV and HO/T lanes) and lanes that are
sometimes open to mixed traffic are now classified as HIB. HIB lanes do not receive UAF funding, but do receive State of
Good Repair funding.
High Intensity Bus lanes are reported in the same way as fixed guideway lanes. Internet Reporting will automatically classify
lanes as HIB or FG.
298 — Independent Auditor Statement for Federal Funding Allocation Data (IAS-FFA)
2013 Urban Reporting Manual
New and Modified Fixed Guideway Segments
You may add new FG segments or modify existing FG segments. These new segments can be:
•
A segment being reported to NTD for the first time by any transit agency. If a segment has been added as new it is
important to verify that the segment has never been reported to NTD in prior years. , All data entry fields will be
available
•
A segment being reported to NTD for the first time by this transit agency. The segment is available to select from
the drop-down menu. Only selected fields can be modified. Refer to the Fixed Guideway Segments form (S-20).
For new and modified segments, NTD also requires that the transit agency provide supporting documentation. This includes
detailed maps that clearly show each segment and when the transit agency first began revenue service on the segment.
For apportionment purposes under the State of Good Repair (5337) and Bus and Bus Facilities (5339) programs., the 7-year
age requirement for fixed guideway/High Intensity Bus segments is based on the report year when the segment is first
reported by any NTD transit agency. This pertains to segments reported for the first time in the current report year. Even if a
transit agency can document a revenue service start date prior to the current NTD report year, FTA will only consider
segments continuously reported to NTD.
Until a segment is reviewed and accepted by NTD, it appears under a proposed new segments section on the S20 form, and the directional route miles (DRM) for the segment are not included in the summary at the bottom of
the form. Once a new segment is approved, NTD will enter the segment and its directional route miles into the
database and the directional route miles for the new segment will be included in the summary.
For new and modified segments, the following should be done:
•
The auditor should review the supporting documentation and S-20 form, and determine with the transit agency the
DRM to be reported for the Federal Funding Allocation Statistics form (FFA-10).
•
In completing the FFA-10 form, you should include the segment in reporting the DRM and associated statistics for
VRM, PMT and OE in the appropriate UZA / non-UZA column.
NTD requires the IAS – FFA to be completed prior to submission of the NTD Annual Report. The auditor does not have to rereview the FFA-10 form once NTD approves the new and modified segments if none of the information on the S-20 form
changes.
If the information does change, the auditor must review the revised FFA-10, but does not have to submit a revised IAS –
FFA. When submitting a revised report, Internet Reporting will prompt you: 1) to confirm that the CEO certifies the revisions
to the report and 2) if required, that the independent auditor has reviewed and concurred with the revisions.
Deleted Segments
If the transit agency no longer operates over a segment reported in the prior year, you must enter the date that transit service
was last operated under Out of Revenue Service Date. The segment will be deleted and DRM eliminated in the summary at
the bottom of the S-20 form.
You should not use the Delete box.
The auditor should confirm the Out of Revenue Service Date, i.e., the date on which the transit agency stopped operating
service.
For further information, you should refer to the S-20 form for a discussion of the requirements.
Suggested Format
The transit agency keeps the Independent Auditor Statement for Federal Funding Allocation Data (IAS–FFA) on file for three
years after the NTD Annual Report is submitted, for FTA’s triennial review. It does not need to be submitted with the NTD
Annual Report.
FTA provides suggested formats in Internet Reporting on the Reports tab (Example 32). It is not a requirement that a transit
agency use these formats; however, the IAS–FFA data must still address each of the items outlined in the suggested format.
The suggested format ensures that requirements for the data items used in the Urbanized Area Formula Program (UAF) and
the State of Good Repair (5337) and Bus and Bus Facilities (5339) allocations meet FTA standards. The format is
consistent with the FTA suggested list of procedures for the independent auditor (see previous exhibit).
During the validation process if revisions are made to the FFA-10 form, the transit agency should document that both the
chief executive officer (CEO) and the independent auditor concur with revisions to the transit agency's data, and retain a
copy of the revisions in the transit agency's files. The independent auditor does not have to redo the IAS–FFA. When
Independent Auditor Statement for Federal Funding Allocation Data (IAS-FFA)— 299
2013 Urban Reporting Manual
submitting a revised report, Internet Reporting will prompt you to confirm that the CEO certifies the revisions to the report
and that the independent auditor has reviewed and concurred with the revisions.
Exhibit 84 — Independent Auditor Statement for Federal Funding Allocation Data — Suggested Format
Instruction: The IAS-FFA file copy should be on the independent auditor’s letterhead and should be kept on file by the transit
agency
The Board of Trustees
Transit Agency Name
FTA has established the following standards with regard to the data reported to it in the Federal Funding Allocation Statistics
form (FFA-10) of the transit agency's annual National Transit Database (NTD) report:
•
A system is in place and maintained for recording data in accordance with NTD definitions. The correct data are being
measured and no systematic errors exist.
•
A system is in place to record data on a continuing basis, and the data gathering is an ongoing effort.
•
Source documents are available to support the reported data and are maintained for FTA review and audit for a
minimum of three years following FTA's receipt of the NTD report. The data are fully documented and securely stored.
•
A system of internal controls is in place to ensure the data collection process is accurate and that the recording system
and reported comments are not altered. Documents are reviewed and signed by a supervisor, as required.
•
The data collection methods are those suggested by FTA or otherwise meet FTA requirements.
•
The deadhead miles, computed as the difference between the reported total actual vehicle miles data and the reported
total actual VRM data, appear to be accurate.
•
Data are consistent with prior reporting periods and other facts known about transit agency operations.
We have applied the procedures to the data contained in the accompanying FFA-10 form for the fiscal year ending [date]. Such
procedures, which were agreed to and specified by FTA in the Declarations section of the 2013 Reporting Manual and were
agreed to by the transit agency, were applied to assist you in evaluating whether the transit agency complied with the standards
described in the first paragraph of this part and that the information included in the NTD report FFA-10 form for the fiscal year
ending [date] is presented in conformity with the requirements of the Uniform System of Accounts (USOA) and Records and
Reporting System; Final Rule, as specified in 49 CFR Part 630, Federal Register, January 15, 1993 and as presented in the
2013 Reporting Manual. Additional procedures performed (if any), which are agreed to by the transit agency but not by FTA, are
described in a separate attachment to this report. This report is intended solely for your information and for FTA and should not
be used by those who did not participate in determining the procedures. The procedures were applied separately to each of the
information systems used to develop the reported actual VRM, FG DRM, PMT and OE of [transit agency name] for the fiscal
year ending [date] for each of the following modes:
[List each mode by type of service (TOS) (directly operated (DO) or purchased transportation (PT)).]
The following information and findings came to our attention as a result of performing the procedures described in the
attachments to this report:
[Itemize all information and findings. If none, so state.]
In performing the procedures, except for the information and findings described above, the information included in the NTD
report on the FFA-10 form for the fiscal year ending [date] is presented fairly, in all material respects, with the requirements of
the USOA and Records and Reporting System; Final Rule, as specified in 49 CFR Part 630, Federal Register, January 15, 1993
and as presented in the 2013 Reporting Manual.
Signed:
Date:
Title:
City
300 — Independent Auditor Statement for Federal Funding Allocation Data (IAS-FFA)
| File Type | application/pdf |
| File Modified | 2013-10-11 |
| File Created | 2013-10-11 |