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pdfFY 2006
Allocatee Transaction Level Report: Data Point
Guidance
CIIS 4.1
February 7, 2007
TABLE OF CONTENTS
FY 2006 ALLOCATEE TRANSACTION LEVEL REPORT: DATA POINT GUIDANCE............................. 1
WHICH LOANS AND INVESTMENTS TO INCLUDE IN THE TLR.......................................................... 1
QUICKSTART INSTRUCTIONS............................................................................................................... 1
TLR “PROJECT” GUIDANCE ................................................................................................................... 2
ADDITIONAL CIIS 4.0 CHANGES ........................................................................................................... 2
UNDERSTANDING THE DATA POINT BOXES ...................................................................................... 4
PROJECT & FINANCIAL NOTE IDENTIFIERS........................................................................................... 6
FINANCIAL NOTES DATA .......................................................................................................................... 7
FINANCIAL NOTE DATA POINTS: TERMS ........................................................................................................ 7
FINANCIAL NOTE DATA POINTS: BETTER RATES & TERMS ........................................................................... 16
FINANCIAL NOTE DATA POINTS: REPORTING PERIOD ACTIVITY .................................................................... 19
PROJECT DATA ........................................................................................................................................ 23
PROJECT DATA POINTS: TOTAL PROJECT COST .......................................................................................... 23
PROJECT DATA POINTS: UNDERWRITING CRITERIA...................................................................................... 23
PROJECT DATA POINTS: INVESTEE PROFILE................................................................................................ 24
ADDRESSES .............................................................................................................................................. 28
PROJECT DATA POINTS: INVESTEE ADDRESS .............................................................................................. 30
PROJECT DATA POINTS: PROJECT ADDRESS............................................................................................... 31
PROJECT DATA POINTS: OUTCOMES........................................................................................................... 32
PROJECT DATA POINTS: NMTC PROGRAM CRITERIA .................................................................................. 38
PROJECT DATA POINTS: BETTER RATES & TERMS ...................................................................................... 40
PROJECT DATA POINTS: AREAS OF HIGHER DISTRESS ................................................................................ 42
FY 2006 Allocatee Transaction Level Report: Data Point Guidance
FY 2006 Allocatee Transaction Level Report: Data Point Guidance
This document provides guidance for the Allocatee’s Fiscal Year (FY) 2006 Transaction Level
Report (TLR) data points.
The FY 2006 version of CIIS is CIIS 4.1
Which Loans and Investments to Include in the TLR
The reporting period for the FY 2006 TLR is the Allocatee's fiscal year ending in 2006. The TLR
should include any loans, investments, and advance purchase commitments made by the
Allocatee and any Sub-Allocatee(s) that were:
Funded by Qualified Equity Investments (QEIs) and
Outstanding at any time during the reporting period.
Include:
Transactions that were submitted in the previous reporting period with a Transaction Status
= “Active”;
Loans to and Investments in other CDEs;
Loans to and investments in Qualified Active Low-Income Community Businesses
(QALICBs); and
Advance Purchase Commitments (categorized and reported as “QALICBs” in the TLR).
If the Allocatee is providing a loan to or an investment in another CDE, report the details of both
the loan to or investment in the CDE as well as the details of the resulting funding to a
QALICB(s). In other words, for each investment in a CDE, the Allocatee must report a minimum
of two transactions: (1) The investment in the CDE and (2) the resulting loan or investment in
the QALICB(s). The two transactions may occur during different reporting periods.
Exclude (the following are reported in the Institution Level Report (ILR)):
Loan purchases (except advance purchase commitments);
Financial Counseling and Other Services (FCOS); and
Transfers of Allocation to Sub-Allocatee(s).
All data must be reported as of the reporting period end date unless otherwise noted.
Some of the TLR data points are not static from reporting period-to-reporting period
(Disbursements, Principal Balance Outstanding, etc.). The appropriate response may change
from day-to-day in the CDE’s system. Please respond “as of” the reporting period end date.
For example, for each loan, report the principal balance outstanding and number of days
delinquent on the last day of the reporting period.
QuickStart Instructions
The new “QuickStart” Instructions include basic information about CIIS 4.0 in an Excel
spreadsheet. The QuickStart contains summary information that users can sort by topic.
Definitions for the columns can be found on the second worksheet. The QuickStart identifies
the following for all CIIS 4.0 data points:
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New CIIS 4.0 data points;
Project v. Financial Note data points (see below);
Mandatory data points;
Conditionally required data points (including conditional requirements);
Compliance data points;
Data points that are specific to Transaction Type, Purpose, Borrower/Investee Type, QLICI
Type, and Special Purpose Entities; and
Special Instructions.
The QuickStart is a supplement to this guidance and are available at
www.cdfifund.gov/what_we_do/ciis.asp.
TLR “Project” Guidance
Many Allocatees are financing single Projects with more than one Financial Note (e.g., loan, line
of credit, or equity investment). Allocatees will now be able to report which Financial Notes
belong to a single Project. The Fund requires that each Financial Note that finances a single
project have the same:
Borrower (indicated by Client ID);
Investee Address;
Project Address or set of Project Addresses; and
Total Project Cost.
Financial Note vs. Project-Level Data Points
In CIIS 4.0, each data point is designated as either Financial Note-level data or Project-level
data. This designation is noted in the following guidance.
Entering FINANCIAL NOTE Data
As in past years, users will be required to enter/upload every Financial Note and the pertinent
Financial Note-level data in CIIS. Financial Notes are identified by the unique “Originator
Transaction ID.”
Entering PROJECT Data
Users will enter/upload a “Project Number” for each Project. CIIS will require the user to
associate one or more “Originator Transaction IDs” with each “Project Number.” The Projectlevel data will only need to be entered one time in CIIS for each Project, regardless of the
number of associated Financial Notes. (Some organizations may have only one Financial Note
for each Project.) The "TLR System Instructions" (www.cdfifund.gov/what_we_do/ciis.asp)
provide more technical information regarding entering/uploading data.
Additional CIIS 4.0 Changes
New MANDATORY data points
The following data points are Mandatory for the entire FY 2006 TLR, including transactions that
were previously reported.
Project Number
New Areas of Higher Distress
Appalachian Regional Commission or Delta Regional Authority
Colonias
Medically Underserved Area
TIF District or Enterprise Zone Program
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New CONDITIONALLY REQUIRED data points
The following data points are Conditionally Required for the entire FY 2006 TLR, including
transactions that were previously reported.
Better Rates and Terms – Supplemental Information
Period of Interest Only Payments – Required for term loans.
Loan-to-Value Ratio
Debt Service Coverage Ratio
Loan Loss Reserve Requirement
Better Rates and Terms – Comparables - If the Allocatee is offering the borrower/investee
better rates and terms, CIIS now requires information about the standard rates and terms
that were used as comparables.
Comparable Interest Rate – Required if Financial Note has a below market interest
rate.
Standard Origination Fees
Standard Periods of Interest Only Payments
Standard Amortization Period
Traditional Form of Collateral
Standard Origination Fees
Standard Loan-to-Value Ratio
Standard Debt Service Coverage Ratio
Standard Loan Loss Reserve Requirement
Project-level Data - The following data points will be used to allow users to “roll up”
Financial Note-level data to the Project level, where appropriate.
Blended Interest Rate
Comparable Blended Interest Rate
Outcomes – Additional Clarification:
Projected Jobs to be Created at Businesses Financed
Projected Jobs to be Created - Construction
Projected Jobs to be Created at Tenant Businesses
Square Feet of Real Estate - Total
Changes to Existing Data Points
The PURPOSE options have changed:
"Business - Fixed Assets" and "Business - Working Capital" have been removed.
"Business" and "Microenterprise" have been added.
The AMORTIZATION TYPE options have changed:
"Balloon" has been removed.
"Non-amortizing" has been added.
The GUARANTEE options have changed:
"Personal Guarantee" has been added.
The COLLATERAL TYPE options have changed:
"Personal Guarantee" has been removed.
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Understanding the Data Point Boxes
Example 1:
PRJ:
BD
Related Entity
In accordance with section 3.2 of the Allocation Agreement, report “Yes” if the investee (entity
receiving the financing) is a related entity. For more information on related entities, see question
#37 found in "2006 NMTC Allocation Application Q & A Document" on the Fund's website. CDE
Allocatees should refer to IRC § 267(b) and 707(b)(1) and consult their own tax advisors for more
information about the definition of a related entity.
MANDATORY DATA FIELD
COMPLIANCE
Crosswalk Values / Definitions
YES
Yes
NO
No
Example 2:
N-I:
N
Interest Rate
For each loan and line of credit, report the interest rate in effect at the reporting period end. If
the Financial Note was paid off during the reporting period, report the interest rate at the time of
the pay off.
Transaction Type =
CONDITIONALLY REQUIRED
• Term Loan
IF:
• Line of Credit
• Debt with Equity
Reject If:
Transaction Type = Equity Investment
Annual Update Required
Excel Data Format
Numeric (3 decimal places)
Example 3:
PRJ:
B
Total Project Cost
Report the total cost of the Project being financed.
Include all sources of financing
Include the CDE's portion of the financing.
• Total Project Cost >= Total Project Cost – Public Sources
Validations:
• Total Project Cost >= Total Project Cost Affiliates + Original
Investment Amount
• Total Project Cost < (Total Project Cost – Public Sources) +
(Total Project Cost - Affiliates & Related Programs) +
Original Loan/Investment Amount
Excel Data Format
Numeric
Financial Note-Level or Project-Level Data Points
Data points that are collected on the Financial Note-level are located on the “NotesInvestments” sheet (indicated by “N-I” in the Excel Column) or the “Disbursements” sheet
(indicated by “Disb” in the Excel Column) of the Excel Template.
Data points that are collected on the Project-level are located on the “Project” sheet
(indicated by “PRJ” in the Excel Column) or the “Address” sheet (indicated by “Add” in the
Excel Column) of the Excel Template.
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Excel Column
The Excel Column is found in the second row to the left of the Data Point Box. The Excel
Column refers to the sheet and column where a data point is located in the Excel Template.
The Excel Column is provided for referring, searching, and ordering data points.
Example 1: “Related Entity” data point is located at PRJ:BD, or Column BD of the “Project”
sheet.
Example 2: “Interest Rate” data point is located at N-I:N, or Column N of the “NotesInvestments” sheet.
NEW
“NEW” appears below the Excel column for any data points that are new in CIIS 4.0.
Data Point Name
The Data Point Name is indicated in Bold in the first row of the data point box.
Example 1: Data Point Name is “Related Entity.”
Guidance
Guidance for each data point is provided directly below the Data Point Name.
Mandatory, Conditionally Required, and Optional Data Fields
Mandatory data points must be reported for every Financial Note or Project. CIIS will not
validate transactions that do not include the Mandatory data points.
Mandatory data points are indicated by “MANDATORY DATA FIELD” and double bold
borders around the Data Point Box (as in the Example 1).
The Online entry system displays
next to Mandatory fields.
Conditionally Required If data points must be reported for a Financial Note or Project if the
noted conditions apply.
Conditionally Required If data points are indicated by “CONDITIONALLY REQUIRED IF”
and a single bold border around the Data Point Box (as in Example 2).
Example 2: If the Transaction Type for the Financial Note is Term Loan, Line of Credit, or
Debt with Equity, the user must provide a valid response to Interest Rate.
Users are not required to provide responses for Optional data points. Optional data points are
indicated by a single border around the data box (as in Example 3).
Compliance Data Points
Compliance data points may be used to measure the Allocatee’s compliance with their
Allocation Agreement. Any field that may be used for compliance purposes for any Allocatee is
identified as a Compliance data point. Allocatees must refer to their specific Allocation
Agreement(s) to determine if the data point is relevant to their CDE’s compliance.
Compliance data points are indicated by “COMPLIANCE” and blue shading (as in Example
1).
The Online entry system displays a
next to Compliance fields.
Reject If
CIIS will generate and error message if a response is provided when a “Reject If” condition
applies. “Reject If” is intended to eliminate responses that do not make sense: for example,
providing an interest rate for an equity investment. When a “Reject If” condition applies, the
user should leave the response blank.
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Example 2: If the Financial Note is an Equity Investment, CIIS will not accept an Interest
Rate entry.
Validations
In order to certify and submit the TLR, the data must pass a number of validation rules.
Validation rules are provided in the data boxes.
Example 3: The Total Project Cost must be greater than or equal to the portion of the Total
Project Cost provided by public sources.
Annual Update Required
CIIS requires users to update certain data points each year if they have changed since the
previous reporting period. These data points are noted with “Annual Update Required” in a
yellow box.
Example 2: Users are expected to update the Interest Rate annually if the rate has
changed from the end of the previous reporting period.
Excel Data Format
The Excel Data Format describes the required format to upload the Excel Template. In general,
users should refer to the Excel Data Format to determine the type of data CIIS requires.
Example 2: CIIS will accept numeric entries with up to six decimal places.
Crosswalk Values/ Definitions
The Crosswalk Values / Definitions provides the valid CIIS responses for data points that are
not numeric or open-ended text.
Example 1: “Yes” and “No” are valid responses. CIIS will accept the values of “YES” and
“NO”.
XML and Excel uploads: Values will be indicated in the Crosswalk.
Manual Entry: Values appear in the dropdown menus.
Project & Financial Note Identifiers
N-I:
A
Submitter Transmission ID
XML and Excel Template users may use the Submitter Transmission ID to distinguish multiple
data files uploaded to CIIS.
XML Interface - Include a value for the SubmitterTransmissionId attribute in the
Transmission element.
Excel Template - Report Submitter Transmission ID in the “Notes-Investments:A2” cell of
the Excel template.
Manual data entry – Submitter Transmission ID is not relevant.
Excel Data Format
MM/DD/YYYY#
PRJ:
A
Project Number
Assign a unique identifier to each Project. Project Number is used to link a Financial Note(s) to a
distinct Project and to track Projects across reporting periods.
In the Excel Template, Project Number is Mandatory on multiple worksheets: NotesInvestments: B and Addresses: A.
MANDATORY DATA FIELD
Each Project Number may only be used for one Project
Validations:
per reporting period.
NEW
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Excel Data Format
N-I:
C
Allocatees MUST use the same Project Number for
each reporting period that a particular Project is
submitted.
Numeric (8 digits)
Originator Transaction ID
Assign a unique identifier to each Financial Note. The Originator Transaction ID is typically a
loan number or tracking number. The Originator Transaction ID is used to track Financial Notes
across reporting periods.
In the Excel Template, Originator Transaction ID is Mandatory on multiple worksheets:
Notes-Investments: C and Disbursements: A.
MANDATORY DATA FIELD
Each Originator Transaction ID may only be used for
Validations:
one Financial Note per reporting period.
Allocatees MUST use the same Originator Transaction
ID for each reporting period that a particular Financial
Note is submitted.
Excel Data Format
Text (20 characters)
Financial Notes Data
Financial Note Data Points: Terms
N-I:
D
Date Originated
Report the date that a legally binding note has been signed by the borrower/investee in favor of
the lender/investor.
MANDATORY DATA FIELD
Date Originated > Date First Payment Due
Reject If:
Date Originated > Current Date
Excel Data Format
MM/DD/YYYY
N-I:
E
Original Loan/Investment Amount
Report the amount of the loan/investment.
For equity investments, if an upward adjuster is used during the reporting period, update the
Original Loan/Investment Amount.
MANDATORY DATA FIELD
Purpose = Microenterprise, and Original Loan/Investment
Reject If:
Amount > $35,000
Annual Update Required
Excel Data Format
N-I:
F
Numeric
Refinancing
Report whether the loan/investment is a new origination or a refinance of an existing
loan/investment with QEI funds.
MANDATORY DATA FIELD
NEWORIGINATION
New Origination
Crosswalk Values / Definitions
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REFINANCEALLOC
REFINANCEUNAFF
N-I:
G
Refinance of Allocatee (or Affiliate)
Loan/Investment
Refinance of Un-Affiliated Third
Party Loan/Investment
Purpose
Identify the primary purpose of the Financial Note. If there are multiple purposes (for example, a
loan funding both the purchase of a fixed asset and a facility improvement), select the purpose
with the largest percent of the transaction. Classify loans/investments in CDEs as “Other”.
MANDATORY DATA FIELD
BUSINESS
Crosswalk Values / Definitions
Business
MICRO
RECOCOM
RECOMULTI
RECOSINGLE
02/07/2007
CIIS 4.1
Financing to for-profit and nonprofit
businesses with more than five
employees or in an amount greater
than $35,000 for the purpose of
expansion, working capital,
equipment purchase or rental, or
commercial real estate development
or improvement.
Microenterprise
Financing to for-profit or non-profit
enterprise that has five or fewer
employees (including the proprietor)
and in an amount no more than
$35,000 for the purpose of
expansion, working capital,
equipment purchase or rental, or
commercial real estate development
or improvement.
Real Estate –
Construction/Permanent/Acquisition
w/o Rehab – Commercial
Financial Note is for: 1)
predevelopment financing; 2)
construction or permanent financing;
or 3) acquisition without rehabilitation
of office, retail, manufacturing, or
community facility space.
Include mixed-use real estate that
combines both commercial and
residential use.
Real Estate – Construction–HousingMulti Family
Financial Notes is for
predevelopment financing, or
construction of multifamily housing.
Real Estate – Construction–HousingSingle Family
Financial Note is for predevelopment
financing, or construction of single
family housing.
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RERHCOM
Real Estate–Rehabilitation–
Commercial
Financing is to rehabilitate office,
retail, manufacturing, or community
facility space. Financial Note may
include acquisition costs.
Include mixed-use real estate that
combines both commercial and
residential uses.
Exclude acquisitions without
rehabilitation.
Real Estate – Rehabilitation–Housing Multi Family
Financing is to rehabilitate or acquire
multifamily housing.
RERHMULTI
RERHSINGLE
OTHER
Real Estate – Rehabilitation – Housing
-Single Family
Financing is to rehabilitate or acquire
single family housing.
Other
Financial Note purpose does not
match any of the purposes defined
above.
Following is a diagram that shows the data points that must be completed if the purpose of the
transaction is “Real Estate – Construction/Permanent/Acquisition w/o Rehab – Commercial” or
“Real Estate – Rehab – Commercial”.
Purpose
Real Estate –
Constr/Perm/Acq w/o Rehab
- Commercial
Real Estate –
Rehab
– Commercial
Construction or
Permanent Financing
Acquisition or
Rehabilitation
Constr
Perm
Acquis &
Rehab
Both
Take-out or
Acquisition Financing
Takeout
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Acq w/o Rehab
CIIS 4.1
Rehab Only
Rehabilitation
Amount
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N-I:
H
Construction or Permanent Financing
If the Financial Note is financing the construction or acquisition of a commercial real estate project,
report whether the loan/investment is for construction or permanent financing.
Purpose = Real Estate –
CONDITIONALLY REQUIRED IF:
Construction/Permanent/Acquisition w/o Rehab –
Commercial
Purpose NOT = Real Estate –
Reject If:
Construction/Permanent/Acquisition w/o Rehab –
Commercial
Crosswalk Values / Definitions
CONSTRUCTION
Construction
PERMANENT
BOTH
N-I:
I
TAKEOUT
ACQUISITION
Take-out financing
Acquisition without rehabilitation
Acquisition or Rehabilitation
If the Financial Note is financing the rehabilitation of a commercial real estate project, report
whether the loan/investment includes financing for the acquisition of the property.
Purpose = Real Estate – Rehab – Commercial
CONDITIONALLY REQUIRED IF:
Crosswalk Values / Definitions
N-I:
K
Both construction and permanent
Take-out or Acquisition Financing
If the Financial Note provides permanent financing of commercial real estate project, report
whether the loan/investment is for take-out or acquisition financing.
Construction or Permanent Financing =
CONDITIONALLY REQUIRED
Permanent financing
IF:
Both construction and permanent
Reject If:
Construction or Permanent Financing = Construction
Crosswalk Values / Definitions
N-I:
J
Permanent
ACQUISITIONREHAB
REHABILITATION
Acquisition and rehabilitation
Rehabilitation only
Rehabilitation Amount
If the Financial Note is financing an acquisition and rehabilitation of a commercial property, report
the portion (in dollars) of the Original Loan/Investment Amount that was used for the rehabilitation.
• Exclude leveraged dollars.
Acquisition or Rehabilitation = Acquisition and rehabilitation
CONDITIONALLY REQUIRED IF:
Reject If:
Excel Data Format
02/07/2007
Acquisition or Rehabilitation = Rehabilitation only
Acquisition or Rehabilitation = Acquisition and
Rehabilitation AND Rehabilitation Amount = 0
Numeric
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N-I:
L
Origination Fees
Report the total origination fees, including processing, credit report, and other fees. These are
fees paid by the CDE or QALICB, not fees paid by the QEI investor. Include fees for the
particular Financial Note reported.
• Exclude Points
Transaction Type =
CONDITIONALLY REQUIRED IF:
Term Loan
Line of Credit
Debt with Equity
Reject If:
Origination Fees > Original Loan/Investment Amount
Excel Data Format
N-I:
M
Transaction Type
Report the type of transaction or Financial Note.
MANDATORY DATA FIELD
Crosswalk Values / Definitions
N-I:
N
Numeric (2 decimal places)
TERM
EQTYINV
LOC
DEBTEQTY
OTHER
Term Loan
Equity Investment
Line of Credit
Debt with Equity
Other
Interest Rate
For each loan and line of credit, report the interest rate in effect at the reporting period end. If the
Financial Note was paid off during the reporting period, report the interest rate at the time of the
pay off.
Transaction Type =
CONDITIONALLY REQUIRED IF:
Term Loan
Line of Credit
Debt with Equity
Reject If:
Transaction Type = Equity Investment
Annual Update Required
Excel Data Format
N-I:
O
Numeric (3 decimal places)
Interest Type
For each loan and line of credit, report the type of interest.
Transaction Type =
CONDITIONALLY REQUIRED IF:
Term Loan
Line of Credit
Debt with Equity
Reject If:
Transaction Type = Equity Investment
Crosswalk Values / Definitions
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FIXED
Fixed
ADJ
Adjustable
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N-I:
P
Points
If applicable, report the points charged to the borrower at origination. (Points are upfront fees,
separate from interest, but designed to increase the overall yield to the lender.) One point is one
percent of the total principal amount of the loan. Report the points as a percentage of the original
loan amount. Include points for the particular Financial Note reported.
Transaction Type =
CONDITIONALLY REQUIRED IF:
Term Loan
Debt with Equity
Reject If:
Transaction Type = Equity Investment
Excel Data Format
Numeric (3 decimal places)
N-I:
Q
Amortization Type
For each loan and line of credit, report how the Financial Note is amortized.
Transaction Type =
CONDITIONALLY REQUIRED IF:
Term Loan
Line of Credit
Debt with Equity
Reject If:
Transaction Type = Equity Investment
FULLAMORT
Fully Amortized
Crosswalk Values / Definitions
Amortization schedule
includes both interest and
principal payments throughout
the life of the loan.
PARTAMORT
Partially Amortized
Amortization schedule
includes some principal
payments throughout the life
of the loan, with a larger
principal payment at maturity.
NONAMORT
Non-Amortizing
Amortization schedule
includes interest only
payments with a single
principal payment at maturity.
OTHER
Other
N-I:
R
Period of Interest Only Payments (in months)
For each loan, report the number of interest only payments at the time of origination in months.
NEW
CONDITIONALLY REQUIRED IF:
Transaction Type = Term Loan
Reject If:
Period of Interest Only Payments (in months) > Term
Numeric
Excel Data Format
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N-I:
S
Term (in months)
For each loan and line of credit, report the full term in months. Report the full term, not the
remaining term. If the loan was restructured during the reporting period and the loan term
changed, update the new loan term.
Transaction Type =
CONDITIONALLY REQUIRED IF:
Term Loan
Line of Credit
Debt with Equity
Annual Update Required
Numeric
Excel Data Format
N-I:
T
Date First Payment Due
If applicable, report the date the first loan payment is due.
• Include interest only payments.
Excel Data Format
MM/DD/YYYY
N-I:
U
Guarantee
For each loan and line of credit, if any portion of the loan is guaranteed, report the source.
• “Personal Guarantee” option was added in CIIS 4.0.
• Exclude performance guarantees.
Transaction Type =
CONDITIONALLY REQUIRED IF:
Term Loan
Line of Credit
Debt with Equity
Reject If:
Transaction Type = Equity Investment
SBA
Small Business Administration (SBA)
Crosswalk Values / Definitions
USDA
OTHERGOV
PERSONAL
OTHER
NONE
N-I:
V
US Dept of Agriculture (USDA)
Other Federal Government Source
Personal Guarantee
Other
None
Lien Position
For each loan and line of credit, report the CDE’s lien position.
• If no other lender has priority over the CDE in the case of default, the lien position is first.
Report a loan with a shared first position as first.
• If another lender receives priority in the case of a default, the lien position is second.
• If more than one other lender receives priority, the lien position is "Other.”
Transaction Type =
CONDITIONALLY REQUIRED IF:
Term Loan
Line of Credit
Debt with Equity
Reject If:
Transaction Type = Equity Investment
Crosswalk Values / Definitions
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FIRST
SECOND
UNSECURED
OTHER
CIIS 4.1
First
Second
Unsecured Debt
Other
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N-I:
W
Collateral Type
For each loan and line of credit, report the type of collateral pledged for the loan/investment.
Collateral is an asset pledged to a lender until a loan is repaid. If more than one type of collateral
was pledged, choose the option with the highest estimated value. Rents or leases pledged as
collateral should be included as "Receivables.”
• The “Personal Guarantee” option was removed from Collateral Type in CIIS 4.0. Personal
Guarantees are now reported under the Guarantee (Notes-Investments: U) data point.
Transaction Type =
CONDITIONALLY REQUIRED IF:
Term Loan
Line of Credit
Debt with Equity
Crosswalk Values / Definitions
RE
Real Estate
REOTHER
Other Real Estate
VEH
Vehicle
EQUIP
Equipment
INVENTORY
Inventory
REC
Receivables
HOMEEQTY
Home Equity
OTHER
Other
NONE
None
N-I:
X
Collateral Value at Origination
For each loan and line of credit, estimate the fair value of the collateral at the time of origination.
Transaction Type =
CONDITIONALLY REQUIRED IF:
Term Loan
Line of Credit
Debt with Equity
Excel Data Format
Numeric
N-I:
Y
Equity-Like Features
For debt with equity, report the type of equity-like feature. Equity-like features offer some upside
potential above the return of principal and interest. The equity-like feature, or “kicker,” can be tied
either to future revenues (royalties or participation agreements) or to equity (convertible debt or
debt with warrants), or may include an interest rate that adjusts based on the borrower's
performance. If the loan has more than one equity-like feature, choose the one appearing first in
the loan agreement.
CONDITIONALLY REQUIRED IF:
Transaction Type = Debt with Equity
Crosswalk Values / Definitions
NONE
CONVDEBT
PERFINT
ROYALTIES
02/07/2007
CIIS 4.1
None
Convertible Debt
Loan agreement specifies an
option to convert all or part of
the loan amount to equity.
Performance–Based Interest
Rate
Loan's interest rate adjusts
based on the borrower's
performance.
Royalties
Loan has a royalty
14 of 43
FY 2006 Allocatee Transaction Level Report: Data Point Guidance
participation that gives the
investor the right to a
percentage of the borrower’s
sales or profits.
WARRANTS
OTHER
Warrants
Loan agreement gives the
investor the right to purchase
the portfolio company's stock
at a later date at a prenegotiated price.
Other
Loan agreement specifies an
equity-like feature not
described above.
N-I:
Z
Equity Injection Amount
If applicable, report the equity injection amount provided by the investee/borrower. Equity
injection is an underwriting mechanism used to help borrowers who lack collateral to qualify for a
loan. The equity injection measures the amount of the borrower's own assets invested in the
business.
• Include both cash and non-cash injections.
Example 1: Down payment for a purchase mortgage.
Example 2: Value of machinery the borrower purchased for the financed project.
Excel Data Format
Numeric
N-I:
AA
Advance Purchase Commitment
For financing to QALICBs, report whether the loan/investment is an advance purchase
commitment. CIIS treats advance purchases the same as loans/investments in QALICBS if the
CDE purchases the loan from the originator (whether or not the originator is a CDE) within 30
days after the date the originator makes the loan, and if at the time the loan was made, there is a
legally enforceable written agreement between the originator and the CDE which -- (A) Requires
the CDE to approve the making of the loan either directly or by imposing specific written loan
underwriting criteria; and (B) Requires the CDE to purchase the loan within 30 days after the date
the loan is made.)
QLICI Type = QALICB
CONDITIONALLY REQUIRED IF:
COMPLIANCE
N-I:
AB
Reject If:
QLICI Type = CDE
Crosswalk Values / Definitions
YES
Yes
NO
No
Seller Organization
If the Financial Note is an advance purchase, report the seller organization.
Advance Purchase Commitment = YES
CONDITIONALLY REQUIRED IF:
COMPLIANCE
Reject If:
Advance Purchase Commitment = NO
Excel Data Format
Text
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FY 2006 Allocatee Transaction Level Report: Data Point Guidance
Financial Note Data Points: Better Rates & Terms
N-I:
AC
Equity Product
In accordance with Section 3.2 of the Allocation Agreement, report whether the Financial Note is
an equity product.
MANDATORY DATA FIELD
COMPLIANCE
N-I:
AD
Reject If:
Equity Product = YES AND Transaction Type = Term
Loan or Line of Credit
Crosswalk Values / Definitions
YES
NO
Yes
No
Equity-Equivalent Terms & Conditions
In accordance with Section 3.2 of the Allocation Agreement, report whether the Financial Note is
has equity-equivalent terms and conditions.
MANDATORY DATA FIELD
COMPLIANCE
Crosswalk Values / Definitions
N-I:
AE
YES
NO
Yes
No
Debt with Equity Features
In accordance with Section 3.2 of the Allocation Agreement, report whether the Financial Note
has debt with equity features.
MANDATORY DATA FIELD
COMPLIANCE
Crosswalk Values / Definitions
N-I:
AF
YES
NO
Yes
No
Subordinated Debt
In accordance with Section 3.2 of the Allocation Agreement, report whether the Financial Note is
subordinated debt.
MANDATORY DATA FIELD
COMPLIANCE
N-I:
AG
Reject If:
Subordinated Debt = YES AND Lien Position = FIRST
Crosswalk Values / Definitions
YES
NO
Yes
No
Below Market Interest Rate (Financial Note)
In accordance with Section 3.2 of the Allocation Agreement, report whether the Financial Note
has a below market interest rate.
Please note that this data point was called “Below Market Interest Rate” in previous versions
of CIIS.
MANDATORY DATA FIELD
COMPLIANCE
Crosswalk Values / Definitions
02/07/2007
YES
CIIS 4.1
Yes
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FY 2006 Allocatee Transaction Level Report: Data Point Guidance
NO
N-I:
AH
NEW
No
Comparable Interest Rate
If the Financial Note has a below market interest rate, report the comparable market rate at the
end of the reporting period that the Allocatee used to determine that the Financial Note has a
below market interest rate.
CONDITIONALLY REQUIRED IF:
Below Market Interest Rate (Financial Note) = YES
Annual Update Required
Excel Data Format
N-I:
AI
Numeric (3 decimal places)
Lower than Standard Origination Fees (Financial Note)
In accordance with Section 3.2 of the Allocation Agreement, report whether the Financial Note
has lower than standard origination fees.
Please note that this data point was called “Lower than Standard Origination Fees” in
previous versions of CIIS.
MANDATORY DATA FIELD
COMPLIANCE
Crosswalk Values / Definitions
N-I:
AJ
NEW
N-I:
AK
YES
NO
Yes
No
Standard Origination Fees (Financial Note)
If the Financial Note has lower than standard origination fees, report the comparable market
origination fees that the Allocatee used as a benchmark to determine that the Financial Note has
lower than standard origination fees.
Lower than Standard Origination Fees (Financial Note) =
CONDITIONALLY REQUIRED IF:
YES
Excel Data Format
Numeric
Longer than Standard Period of Interest Only Payments
In accordance with Section 3.2 of the Allocation Agreement, report whether the Financial Note
has a longer than standard period of interest only payments.
MANDATORY DATA FIELD
COMPLIANCE
Crosswalk Values / Definitions
N-I:
AL
NEW
YES
NO
Yes
No
Standard Period of Interest Only Payments (in months)
If the Financial Note has a longer than standard period of interest only payments, report the
comparable market period of interest only payments. Provide the benchmark period, in months,
that the Allocatee used to determine that the Financial Note has a longer than standard period of
interest only payments.
Longer than Standard Period of Interest Only Payments
CONDITIONALLY REQUIRED IF:
= YES
Excel Data Format
02/07/2007
Numeric
CIIS 4.1
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FY 2006 Allocatee Transaction Level Report: Data Point Guidance
N-I:
AM
Longer than Standard Amortization Period
In accordance with Section 3.2 of the Allocation Agreement, report whether the Financial Note
has a longer than standard amortization period.
MANDATORY DATA FIELD
COMPLIANCE
Crosswalk Values / Definitions
N-I:
AN
NEW
Yes
No
Standard Amortization Period (in months)
If the Financial Note has a longer than standard amortization period, report the comparable
market amortization period. Provide the benchmark period, in months, that the Allocatee used to
determine that the Financial Note has a longer than standard amortization period.
CONDITIONALLY REQUIRED IF:
Longer than Standard Amortization Period = YES
Excel Data Format
N-I:
AO
YES
NO
Numeric
Nontraditional Forms of Collateral
In accordance with Section 3.2 of the Allocation Agreement, report whether the Financial Note
has a nontraditional forms of collateral.
MANDATORY DATA FIELD
COMPLIANCE
Crosswalk Values / Definitions
N-I:
AP
NEW
YES
NO
Yes
No
Traditional Form of Collateral
If the Financial Note has nontraditional forms of collateral, report the comparable market form of
collateral that the Allocatee used as a benchmark to determine that the Financial Note has a
nontraditional form of collateral.
CONDITIONALLY REQUIRED IF:
Nontraditional Forms of Collateral = YES
Crosswalk Values / Definitions
02/07/2007
RE
REOTHER
VEH
EQUIP
INVENTORY
REC
HOMEEQTY
OTHER
NONE
CIIS 4.1
Real Estate
Other Real Estate
Vehicle
Equipment
Inventory
Receivables
Home Equity
Other
None
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FY 2006 Allocatee Transaction Level Report: Data Point Guidance
Financial Note Data Points: Reporting Period Activity
N-I:
AQ
Loan Status
For each Financial Note, report the status of the loan/investment at the reporting period end.
“Active” refers to a Financial Note that is on-the-books or open.
“Closed in Good Standing” refers a loan or line of credit that is paid in full or an equity
investment that has been exited.
“Sold,” “Charged Off,” and “Refinanced” refers to a loan or line of credit that is off-the-books,
but not paid in full.
MANDATORY DATA FIELD
Annual Update Required
Crosswalk Values / Definitions
ACTIVE
CLOSED
SOLD
CHARGEDOFF
REFIN
Active
Closed in Good Standing
Sold
Charged Off
Refinanced
Following is a diagram that shows the disbursement data points.
Original Loan/Investment Amount
Disbursement ID
Disbursement ID
Disbursement Date
Disbursement Date
Disbursement Amount
Disbursement
Source (QEI#)
Disbursement
Source (QEI#)
Disbursement
Source (QEI#)
(not total QEI)
(not total QEI)
(not total QEI)
Disbursement
Source
Amount
DISB:
B
Disbursement Amount
Disbursement
Source
Amount
Disbursement
Source
Amount
Not Yet Disbursed / Projected QEI
If the CDE has not disbursed any portion of the Financial Note, report the QEI(s) that is
expected to fund Financial Note.
If the CDE has disbursed any portion Financial Note, this data point must be left blank.
Disbursement ID is NOT reported
CONDITIONALLY REQUIRED IF:
COMPLIANCE
Validations:
Reported QEIs must be valid QEIs for Allocatee in the
Fund’s Allocation Tracking System (ATS).
Annual Update Required
Excel Data Format
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Text
CIIS 4.1
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FY 2006 Allocatee Transaction Level Report: Data Point Guidance
DISB:
C
Disbursement ID
Report a unique 2-digit identifier for each disbursement. If the Financial Note has more than
one disbursement, report one Disbursement ID for each disbursement.
Any portion of the Financial Note was disbursed by the
CONDITIONALLY REQUIRED IF:
end of the Reporting Period.
COMPLIANCE
Annual Update Required
Excel Data Format
DISB:
D
Numeric (2 digits)
Disbursement Date
For each Disbursement ID, report the date disbursed. Users do not need to project a date for
disbursements that are “Not Yet Disbursed”.
Any portion of the Financial Note was disbursed by the
CONDITIONALLY REQUIRED IF:
end of the Reporting Period.
COMPLIANCE
Annual Update Required
Excel Data Format
DISB:
E
MM/DD/YYYY
Total Disbursement Amount
For each Disbursement ID, report the total disbursement amount. Users do not need to provide
a disbursement amount for disbursements that are “Not Yet Disbursed”.
Any portion of the Financial Note was disbursed by the
CONDITIONALLY REQUIRED IF:
end of the Reporting Period.
COMPLIANCE
If: Transaction Type =
Validations:
Term Loan
Equity Investment OR
Debt with Equity
Then: Total Disbursement Amount(s) <= Original
Loan/Investment Amount
Annual Update Required
Excel Data Format
DISB:
F
Numeric
Disbursement Source
For each Disbursement ID, report the QEI that sourced (funded) the disbursement.
If the disbursement was not funded by a QEI report “Non-QEI”.
If more than one QEI was used to fund the disbursement, report each QEI source.
Any portion of the Financial Note was disbursed by the
CONDITIONALLY REQUIRED IF:
end of the Reporting Period.
COMPLIANCE
Reported QEIs must be valid QEI for Allocatee in the
Validations:
Fund’s Allocation Tracking System (ATS).
Annual Update Required
Excel Data Format
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Text
CIIS 4.1
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FY 2006 Allocatee Transaction Level Report: Data Point Guidance
DISB:
G
Source Amount
For each Disbursement Source (QEI), report the portion (in dollars) of the QEI used to fund
disbursement. The Source Amount is not necessarily the entire QEI amount. Rather, the
Source Amount represents the amount of the QEI that was used to fund the particular
disbursement.
Any portion of the Financial Note was disbursed by the
CONDITIONALLY REQUIRED IF:
end of the Reporting Period.
COMPLIANCE
Reject If:
Validations:
Source Amount < 0
Total Source Amount(s) = Total Disbursement
Amount(s)
Annual Update Required
Excel Data Format
N-I:
AR
Numeric
QLICI Level
Report whether the Financial Note was funded with original QEI funds (QEI funds invested for the
first time), a reinvestment of a repaid QLICI(s), or both.
MANDATORY DATA FIELD
COMPLIANCE
Annual Update Required
Crosswalk Values / Definitions
N-I:
AS
ORIG
REINVST
ORIGREIN
Original QEI funds
Reinvestment of repaid QLICIs
Both
Principal Balance Outstanding
For each loan and line of credit, report the principal balance outstanding at the end of the
reporting period.
Transaction Type =
CONDITIONALLY REQUIRED IF:
Term Loan
Line of Credit OR
Debt with Equity
Reject If:
Transaction Type = Equity Investment
Annual Update Required
Excel Data Format
N-I:
AT
Numeric
Days Delinquent
For each loan and line of credit, report the number of days that a required loan payment is past
due at the reporting period end. If a borrower made a partial payment on the due date but still
owes any part of the payment, report that payment as past due.
Reject If:
Transaction Type = Equity Investment
Annual Update Required
Excel Data Format
02/07/2007
Numeric
CIIS 4.1
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FY 2006 Allocatee Transaction Level Report: Data Point Guidance
N-I:
AU
Number of Times 60 Days or More Delinquent
Report the number of times the loan has been 60 days or more delinquent during the life of the
loan.
Reject If:
Transaction Type = Equity Investment
Annual Update Required
Excel Data Format
N-I:
AV
Numeric
Number of Times the Loan was Restructured
For each loan and line of credit, report the number of times the loan was restructured during the
life of the loan. Restructured refers to a change to the original terms of the loan (i.e., amount,
interest rate or type, term, or payment schedule). Restructuring amends the original loan
agreement, but does not pay it off.
Reject If:
Transaction Type = Equity Investment
Annual Update Required
Excel Data Format
N-I:
AW
Numeric
Amount Charged Off
If applicable, report the amount charged off during the reporting period.
Transaction Type = Equity Investment
Reject If:
OR
Loan Status = Active
Annual Update Required
Excel Data Format
N-I:
AX
Numeric
Amount Recovered
If applicable, report the amount recovered during the reporting period.
Transaction Type = Equity Investment
Reject If:
OR
Loan Status = Active
Annual Update Required
Excel Data Format
N-I:
AY
Numeric
Fair Value at End of Reporting Period
For equity investments, report the estimated fair value of the Financial Note at the reporting
period end.
Transaction Type = Equity Investment
CONDITIONALLY REQUIRED IF:
Transaction Type =
Reject If:
Term Loan
Line of Credit
Annual Update Required
Numeric, "Don't Know", or Not Applicable
Excel Data Format
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CIIS 4.1
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FY 2006 Allocatee Transaction Level Report: Data Point Guidance
Project Data
Project Data Points: Total Project Cost
PRJ:
B
PRJ:
C
PRJ:
D
NEW
Total Project Cost
Report the total cost of the Project being financed.
Include all sources of financing
Include the CDE's portion of the financing.
Total Project Cost >= Total Project Cost – Public
Validations:
Sources
Total Project Cost >= Total Project Cost Affiliates +
Original Investment Amount
Total Project Cost < (Total Project Cost – Public
Sources) + (Total Project Cost - Affiliates & Related
Programs) + Original Loan/Investment Amount
Excel Data Format
Numeric
Total Project Cost – Public Sources
Report the portion (in dollars) of the Total Project Cost provided by public sources.
Include federal, state, and local government funds.
Exclude foundation grants.
Exclude NMTC funds.
Excel Data Format
Numeric
Total Project Cost – Affiliates & Related Program
Report the portion (in dollars) of the Total Project Cost provided by the CDE’s affiliates and
related programs.
Excel Data Format
Numeric
Project Data Points: Underwriting Criteria
PRJ:
E
NEW
PRJ:
F
NEW
Loan-to-Value Ratio
If the Financial Note(s) in this Project include one or more loans, report the loan-to-value ratio at
origination for the total Project.
Enter the percentage as a whole number (e.g. if the LTV is 125%, enter “125”).
CONDITIONALLY REQUIRED IF:
Project contains one or more Financial Notes with
Transaction Type = Term Loan
Excel Data Format
Numeric (3 decimal places)
Debt Service Coverage Ratio
If the Financial Note(s) in this Project include one or more loans, report the debt service
coverage ratio at origination for the total Project.
Enter the percentage as a whole number (e.g. if the DSC is 100%, enter “100”).
CONDITIONALLY REQUIRED IF:
Project contains one or more Financial Notes with
Transaction Type = Term Loan
Excel Data Format
Numeric (3 decimal places)
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FY 2006 Allocatee Transaction Level Report: Data Point Guidance
PRJ:
G
NEW
Loan Loss Reserve Requirement
If the Financial Note(s) in this Project include one or more loans, report the loan loss reserve
requirement for the total Project. Enter the percentage as a whole number (e.g. if the LLR
requirement is 5%, enter “5”).
CONDITIONALLY REQUIRED IF:
Project contains one or more Financial Notes with
Transaction Type = Term Loan
Excel Data Format
Numeric
Project Data Points: Investee Profile
Investee (Borrower) Guidance
If the QALICB is a real estate developer, the Investee is the developer.
If the QALICB is an operating business (non-real estate), the Investee is the business.
If the QALICB is a single-purpose entity (SPE) created by an operating business to lease back
property to that parent business, the Investee is the parent business
PRJ:
H
Client ID
Report a unique identifier to each client (investee/borrower). The Client ID is used to track the
investee/borrower across Projects and reporting periods.
Excel Data Format
Text (20 character limit)
PRJ:
I
QLICI Type
Report whether the QLICI is an investment in another CDE or a QALICB. Report Non-profit
businesses (except CDEs) as QALICBs. Report advance purchases as QALICBs.
Exclude Loan purchases (except Advance Purchases) from the TLR.
Exclude Financial Counseling and Other Services (FCOS) from the TLR.
MANDATORY DATA FIELD
COMPLIANCE
Crosswalk Values
PRJ:
J
CDE
QALICB
Investee Type
Report whether the Project is an investment in a business (QALICB) or another CDE. Report
Non-profit businesses (except CDEs) as businesses. Report advance purchases as businesses.
Exclude Loan purchases (except Advance Purchases) from the TLR.
Exclude Financial Counseling and Other Services (FCOS) from the TLR.
MANDATORY DATA FIELD
Crosswalk Values
PRJ:
K
CDE
QALICB
BUS
CDE
Business
CDE
Investee TIN
If the Project is an investment in another CDE, report the Tax Identification Number (TIN) of the
CDE investee/borrower.
QLICI Type = CDE
CONDITIONALLY REQUIRED IF:
Reject If:
QLICI Type = QALICB
Crosswalk Values
Numeric
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FY 2006 Allocatee Transaction Level Report: Data Point Guidance
PRJ:
L
Date Business Established
If applicable, report the date formal papers were filed to establish the investee’s/borrower’s
business or the date the first sales occurred.
Reject If:
Date Business Established >= Date Originated
Excel Data Format
MM/DD/YYYY
PRJ:
M
Entity Structure
If applicable, report the investee’s/borrower’s business or government structure.
Non-Profit or Not-for-Profit
NONPROFIT
Crosswalk Values / Definitions
Based on the IRS
categorization for tax
purposes.
For-Profit
FORPROFIT
Based on the IRS
categorization for tax
purposes.
Tribal or Village Government
TRIBAL
Entity is a tribal or village
government, whether or not it
has been federally recognized.
Other
OTHER
All other structures that do not
fit the descriptions above, such
as a government or quasigovernment entity (i.e., a water
authority).
PRJ:
N
Minority Owned or Controlled
Report whether the investee/borrower is more than 50% owned or controlled by one or more
minorities.
If the business is a for-profit entity, report whether more than 50% of the owners are
minorities.
If the business is a nonprofit entity, report whether more than 50% of its Board of Directors
are minorities (or, if the Chief Executive Officer, Executive Director, General Partner, or
Managing Member is a minority).
Crosswalk Values / Definitions
YES
Yes
NO
No
PRJ:
O
Women Owned or Controlled
Report whether if the investee/borrower is more than 50% owned or controlled by women.
If the business is a for-profit entity, report whether more than 50% of its owners are women.
If the business is a nonprofit entity, report whether more than 50% of its Board of Directors
are women (or, if the Chief Executive Officer, Executive Director, General Partner, or
Managing Member is a woman).
YES
Yes
Crosswalk Values / Definitions
NO
02/07/2007
CIIS 4.1
No
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FY 2006 Allocatee Transaction Level Report: Data Point Guidance
PRJ:
P
Low-Income Owned or Controlled
Report whether the investee/borrower is more than 50% owned or controlled be low-income
persons.
If the business is a for-profit entity, report whether more than 50% of its owners are lowincome persons.
If the business is a nonprofit entity, report whether more than 50% of its Board of Directors
are low income persons (or, if the Chief Executive Officer, Executive Director, General
Partner, or Managing Member is a low income person).
YES
Yes
Crosswalk Values / Definitions
NO
No
PRJ:
Q
Gender
If applicable, report the gender of the primary investee(s)/borrower(s).
If there is more than one investee/borrower, select the gender of the primary
investee/borrower.
If there is more than one primary investee/borrower, and at least one is male and one is
female, report "Both.”
If the investee/borrower is a corporation, report “Not Applicable.”
Crosswalk Values / Definitions
MALE
Male
FEMALE
Female
BOTH
Both
NA
Not Applicable
PRJ:
R
Race
Report the race of the primary investee/borrower.
If there is more than one investee/borrower, select the race of the primary
investee/borrower.
If there is more than one primary investee/borrower, select the race of one of them.
If the investee/borrower is of mixed race, report one of the races.
If the investee/borrower did not provide their race, report "Not Given.”
If the investee/borrower is a corporation, report “Not Applicable.”
Crosswalk Values / Definitions
AMIND
American Indian
ALASKAN
Alaska Native
ASIAN
Asian
BLACK
Black or African American
HAWAIIAN
Native Hawaiian
PACIFIC
Other Pacific Islander
WHITE
White
OTHER
Other
NG
Not Given
NA
Not Applicable
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FY 2006 Allocatee Transaction Level Report: Data Point Guidance
PRJ:
S
Hispanic Origin
Report whether the primary investee/borrower is Hispanic or Latino.
If there is more than one investee/investee, respond for the primary investee/borrower.
If there is more than one primary investee/borrower, report whether any of the
investee’s/borrower’s are Hispanic or Latino.
If the investee/borrower did not provide whether they are of Hispanic origin, report "Not
Given.”
If the investee/borrower is a corporation, report “Not Applicable.”
Crosswalk Values / Definitions
YES
Yes
NO
No
NG
Not Given
NA
Not Applicable
PRJ:
T
Credit Score
If applicable, report the most recently collected credit score of the primary
investee(s)/borrower(s).
If there is more than one investee/borrower, use the credit score of the primary
investee/borrower.
If there is more than one primary investee/borrower, report the highest credit score.
Credit Score is not applicable if the borrower is a corporation.
Validations:
Investee Type = Business
Excel Data Format
Numeric
PRJ:
U
DS/FCOS Hours of Assistance at Time of Investment
Report the total cumulative hours of Financial Counseling and Other Services (FCOS) that the
CDE provided to the investee/borrower from time of the initial intake until the origination of the
Project.
Excel Data Format
Numeric
PRJ:
V
Business Description
If applicable, report a brief description of the business financed. For example, "childcare center"
or "grocery store.”
CONDITIONALLY REQUIRED IF:
QLICI Type = QALICB
COMPLIANCE
Excel Data Format
Text
PRJ:
W
NAICS
If applicable, report the 6-digit North American Industry Classifications (NAICS) Code. The
NAICS code replaced the former Standard Industrial Classification (SIC) system and is used to
report business revenue on the federal tax return. For additional information, see IRS Schedule
C Form, question B or www.census.gov/epcd/www/naics.html.
Excel Data Format
Numeric
PRJ:
X
SIC Code
If applicable, report the 4-digit Standard Industrial Classification (SIC) code. The SIC system
was developed in the 1930s as a way for the Federal government to classify business industries.
Excel Data Format
Numeric
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FY 2006 Allocatee Transaction Level Report: Data Point Guidance
Addresses
Address Guidance
Users must report one Investee Address and one or more Project Addresses. Users may provide the
same address for the Investee Address and Project Address, if appropriate. Users will be prompted to
enter a FIPS code for addresses that are not geocodable in CIIS..
Investee Address/FIPS Code refers to the investee’s/borrower’s address. Investee Address is the
business address when the borrower is a business.
Project Address/FIPS Code refers to the location of the business or other real estate for which the
loan or investment is being used. For business investees/borrowers, if the Project Address is
different from the Investee Address please provide the Project address. If the loan or investment is
funding multiple projects at different locations please provide the address of each location.
FIPS Code refers to the 11-digit Federal Information Processing Standards codes that indicate state
(first 2 digits), county (next 3 digits), and census tract (last 6 digits). FIPS codes must be provided if
CIIS is unable to geocode an address. For additional information about FIPS codes, visit
www.census.gov/geo/www/fips/fips.html.
CDE Project Address Guidance
Business Loans/Investments with More than One Project Address
If the investee/borrower qualifies as a QALICB, the user should provide only one Project
Address that represents the borrower’s address.
If the borrower/investee does not qualify as a QALICB, but elects to satisfy the QALICB
requirements utilizing the “Portions of Business” rule under the IRS regulations, the user
should provide a Project Address for each business location financed by the loan(s) or
investment(s). Please refer to the IRS regulations for guidance on qualifying businesses as
QALICBs under the “Portions of Business” rule.
Real Estate Loans/Investments with More than One Project Address
If the project site or sites include multiple buildings or addresses that are contained within a
single census tract, the user should provide one Project Address for the development.
If the project site or sites are not completely contained within a single census tract, the user
should provide one Project Address for each census tract financed by the loan(s) or
investment(s).
During the TLR address verification process, CIIS will attempt to geocode each address (identify the
location on a digital map). CIIS will notify the user of each transaction address that the system was not
able to geocode, if any.
CIIS cannot geocode post office box (PO Box) or rural route (RR) street addresses.
CIIS cannot geocode rural or “new” addresses that are not available in the geocoding database.
The Fund recommends that organizations confirm that all addresses are geocodable in CIMS (the
Fund’s CDFI Information and Mapping System) prior to reporting in CIIS.
This extra step will save the organization time and effort in the reporting process. CIMS is available
through the “Mapping” link in your organization’s myCDFIFund account. For more information about
CIMS, please visit www.cdfi.treas.gov/mapping.
If you receive an address verification error in CIIS:
1. Correct errors in the Address – CIIS will allow the User to “Update” the transaction and provide a
corrected address.
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Check the address for typos. Make sure that the spellings are correct and remove any uncommon
abbreviations.
Please make sure that you have entered the correct address. If necessary, review the
loan/investment documentation or contact the borrower.
2. Enter a FIPS Code
If you are unable to provide a geocodable address, CIIS will require Users to enter a FIPS Code.
Manual Entry / Excel / XML Entry
o Users must provide an address, validate, and receive a geocoding error before CIIS will provide a
field for FIPS code. NOTE: A FIPS Code can only be provided by updating your transaction(s)
ONLINE.
- There is no FIPS field in the Excel Template or XML schema.
- Users must provide both an address and a FIPS code for un-geocodable addresses using the manual
entry.
The 11-Digit FIPS
CIIS collects an 11-digit FIPS:
State: The first two digits of the FIPS represent the state.
- A list of state codes is available at: www.census.gov/geo/www/cenpop/statecenters.txt
County: The next three digits of the FIPS represent the county.
- A list of county codes available at: www.census.gov/geo/www/cenpop/county/ctyctrpg.html
Tract: The last six digits of the FIPS represent the census tract.
- The directions below provide one option for identifying the census tract using the U.S. Census
Bureau’s website.
- If only four digits are provided for the census tract code, add two zeros before the tract number.
- If only two digits are provided for the census tract code, add two zeros before the tract number
and two zeros after.
How to Obtain a Census Tract for the FIPS Code
The Fund offers the following suggestion for obtaining a FIPS for addresses that cannot be geocoded in
CIIS:
Visit the U.S. Census Bureau’s website at www.census.gov.
Select “American Fact Finder” from the left column of the Census Bureau’s Homepage.
Select the “street address” hyperlink from the left column under “Address Search…”
Enter the specific address and click the “Go” button.
- If the census is unable to geocode the address, you will need to enter the address of a nearby
site.
- Continue to enter nearby addresses until the Census website is able to geocode the address.
Select “Census Tract” from the list of geographic options and click the “Map It” button.
Use the map provided to “eyeball” the desired location and census tract.
Please print out a copy of the map for future reference.
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Census
Tract:
005800
Census
Tract:
006202
Project Data Points: Investee Address
ADD:
B
Investee Street Address Line 1
Report the first line of the investee’s street address.
MANDATORY DATA FIELD
COMPLIANCE
ADD:
C
Validations:
No Post Office Boxes or Rural Routes.
Excel Data Format
Text
Investee Street Address Line 2
Report the second line of the investee’s street address, if necessary.
Validations:
No Post Office Boxes or Rural Routes.
Excel Data Format
ADD:
D
Text
Investee City
Report the investee’s city.
MANDATORY DATA FIELD
COMPLIANCE
Excel Data Format
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ADD:
E
Investee State
Report the investee’s state.
MANDATORY DATA FIELD
COMPLIANCE
Excel Data Format
ADD:
F
Text
Investee Zip Code 5
Report the investee’s five digit zip code.
MANDATORY DATA FIELD
COMPLIANCE
Excel Data Format
ADD:
G
Numeric
Investee Zip Code+4
Report the investee’s four digit zip code extension. To look up the four digit extension for any
United States address, see the "Zip Code Lookup" function at www.usps.gov.
Excel Data Format
Numeric
Investee FIPS Code
Report the investee’s 11-digit FIPS code.
CIIS is not able to geocode Investee Address.
CONDITIONALLY REQUIRED IF:
COMPLIANCE
Excel Data Format
Numeric
Project Data Points: Project Address
ADD:
H
Project Street Address Line 1
Report the first line of the project’s street address.
MANDATORY DATA FIELD
COMPLIANCE
ADD:
I
Validations:
No Post Office Boxes or Rural Routes.
Excel Data Format
Text
Project Street Address Line 2
Report the second line of the project’s street address, if necessary.
Validations:
No Post Office Boxes or Rural Routes.
Excel Data Format
ADD:
J
Text
Project City
Report the project’s city.
MANDATORY DATA FIELD
COMPLIANCE
Excel Data Format
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ADD:
K
Project State
Report the project’s state.
MANDATORY DATA FIELD
COMPLIANCE
Excel Data Format
ADD:
L
Text
Project Zip Code 5
Report the project’s five digit zip code.
MANDATORY DATA FIELD
COMPLIANCE
Excel Data Format
ADD:
M
Numeric
Project Zip Code+4
Report the project’s four digit zip code extension. To look up the four digit extension for any
United States address, see the "Zip Code Lookup" function at www.usps.gov.
Excel Data Format
Numeric
Project FIPS Code
Report the project’s 11-digit FIPS code.
CONDITIONALLY REQUIRED IF:
CIIS is not able to geocode Investee Address.
COMPLIANCE
Excel Data Format
Numeric
Project Data Points: Outcomes
PRJ:
Y
Annual Gross Revenue from Business Operations At Time of Loan/Investment
For business Projects, report the investee's/borrower’s annual gross revenue during the most
recent 12-month period prior to Project origination for which the information is available.
If the QALICB is a single-purpose entity (SPE) created by an operating business to lease
back property to that parent business, report the revenue of the parent business.
Numeric
Excel Data Format
PRJ:
Z
Annual Gross Revenue from Business Operations Reported During the Reporting Period
For business Projects, report the investee’s/borrower’s annual gross business revenue during the
most recent 12-month period for which the information is available.
If the QALICB is a single-purpose entity (SPE) created by an operating business to lease
back property to that parent business, report revenue for the parent business
Annual Update Required
Numeric
Excel Data Format
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PRJ:
AA
Jobs at Time of Loan/Investment
For business Projects, report the number of full-time equivalent (FTE) jobs in the business at the
time the Project was originated. One FTE is a 35-hour or more work week. In calculating FTEs,
part-time employees should be combined.
Example: 2 part-time employees that each work 17.5 hours equals one FTE (2 employees x 17.5
hours = 35 hours).
Exclude construction jobs.
If the QALICB is a single-purpose entity (SPE) created by an operating business to lease
back property to that parent business, report jobs for the parent business.
Purpose =
CONDITIONALLY REQUIRED IF:
• Business
• Microenterprise
Purpose = Real Estate
Reject If:
Excel Data Format
PRJ:
AB
Number, "Don't Know", or "Not Applicable"
Jobs at Reporting Period End
For business Projects, report the number of full-time equivalent (FTE) jobs in the business at the
reporting period end. One FTE is a 35-hour or more work week. In calculating FTEs, part-time
employees should be combined.
Example: 2 part-time employees that each work 17.5 hours equals one FTE (2 employees x 17.5
hours = 35 hours).
Exclude construction jobs.
If the QALICB is a single-purpose entity (SPE) created by an operating business to lease
back property to that parent business, report jobs for the parent business.
Purpose =
CONDITIONALLY REQUIRED IF:
• Business
• Microenterprise
Purpose = Real Estate
Reject If:
Annual Update Required
Excel Data Format
PRJ:
AC
NEW
Number, "Don't Know", or "Not Applicable"
Projected Jobs to Be Created at Businesses Financed
For business Projects, report the number of full-time equivalent (FTE) jobs projected to be
created in the business due to this financing. One FTE is a 35-hour or more work week. In
calculating FTEs, part-time employees should be combined.
Example: 2 part-time employees that each work 17.5 hours equals one FTE (2 employees x 17.5
hours = 35 hours).
Exclude construction jobs.
Purpose =
CONDITIONALLY REQUIRED IF:
Business
Microenterprise
Purpose = Real Estate
Reject If:
Excel Data Format
02/07/2007
Number, “Don’t Know”, or Not Applicable
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PRJ:
AD
NEW
Projected Jobs to Be Created - Construction
For real estate Projects, report the number of construction jobs projected to be created in the due
to this financing.
Purpose = Real Estate
CONDITIONALLY REQUIRED IF:
Reject If:
Excel Data Format
PRJ:
AE
NEW
PRJ:
AF
NEW
Projected Jobs to Be Created at Tenant Businesses
For business Projects, report the number of full-time equivalent (FTE) jobs projected to be
created in business located at the property financed. One FTE is a 35-hour or more work week.
In calculating FTEs, part-time employees should be combined.
Example: 2 part-time employees that each work 17.5 hours equals one FTE (2 employees x 17.5
hours = 35 hours).
Exclude construction jobs.
Purpose =
Reject If:
Business
Microenterprise
Excel Data Format
Number, “Don’t Know”, or Not Applicable
Square Feet of Real Estate - Total
For real estate Projects, report the total number of square feet that are expected to be
constructed, rehabilitated, or acquired with funding from the transaction.
Purpose = Real Estate
CONDITIONALLY REQUIRED IF:
Validations:
Reject If:
Excel Data Format
PRJ:
AG
Purpose =
Business
Microenterprise
Number, “Don’t Know”, or Not Applicable
Square Feet of Real Estate – Total >= (Square Feet of
Real Estate – Manufacturing) + (Square Feet of Real
Estate – Office) + (Square Feet of Real Estate – Retail)
Purpose =
Business
Microenterprise
Number, “Don’t Know”, or Not Applicable
Square Feet of Real Estate - Manufacturing
For real estate Projects, report the number of square feet of manufacturing space that are
expected to be constructed, rehabilitated, or acquired with funding from the transaction.
Purpose = Real Estate
CONDITIONALLY REQUIRED IF:
XML / Excel – “Not Applicable” option in Crosswalk
NOT selected.
Purpose =
Reject If:
Business
Microenterprise
Number or “Don’t Know”
Excel Data Format
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PRJ:
AH
PRJ:
AI
PRJ:
AJ
Square Feet of Real Estate - Office
For real estate Projects, report the number of square feet of office space that are expected to be
constructed, rehabilitated, or acquired with funding from the transaction.
Purpose = Real Estate
CONDITIONALLY REQUIRED IF:
XML / Excel – “Not Applicable” option in Crosswalk
NOT selected.
Purpose =
Reject If:
Business
Microenterprise
Number
or “Don’t Know”
Excel Data Format
Square Feet of Real Estate – Retail
For real estate Projects, report the number of square feet of retail space that are expected to be
constructed, rehabilitated, or acquired with funding from the transaction.
Purpose = Real Estate
CONDITIONALLY REQUIRED IF:
XML / Excel – “Not Applicable” option in Crosswalk
NOT selected.
Purpose =
Reject If:
Business
Microenterprise
Number or “Don’t Know”
Excel Data Format
Asking Rent per Square Foot
For real estate Projects, report the proposed average asking rent per square foot per month for
any commercial space funded by the CDE.
Validations:
Purpose = Real Estate
Excel Data Format
Number or Don’t Know
PRJ:
AK
Housing Units - Sale
For real estate Projects, report the number of for-sale housing units to be constructed,
rehabilitated, or acquired with funding from the transaction.
Purpose = Real Estate
CONDITIONALLY REQUIRED IF:
XML / Excel – “Not Applicable” option in Crosswalk
NOT selected.
Purpose = Real Estate
Validations:
Housing Units – Sale >= Affordable Housing Units –
Sale
Number or “Don’t Know”
Excel Data Format
PRJ:
AL
Housing Units - Rental
For real estate projects, report the number of rental housing units to be constructed,
rehabilitated, or acquired with funding from the transaction.
Purpose = Real Estate
CONDITIONALLY REQUIRED IF:
XML / Excel – “Not Applicable” option in Crosswalk
NOT selected.
Purpose = Real Estate
Validations:
Housing Units – Rental >= Affordable Housing Units
– Rental
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Excel Data Format
PRJ:
AM
PRJ:
AN
Affordable Housing Units – Sale
Of the total Housing Units – Sale to be rehabilitated, constructed, or acquired with funding from
this transaction, report the number that are projected to be affordable housing units.
Purpose = Real Estate
CONDITIONALLY REQUIRED IF:
XML / Excel – “Not Applicable” option in Crosswalk
NOT selected.
Purpose
= Real Estate
Validations:
Number or “Don’t Know”
Excel Data Format
Affordable Housing Units - Rental
Of the total Housing Units – Rental to be rehabilitated, constructed, or acquired with funding from
this transaction, report the number that are projected to be affordable housing units.
Purpose = Real Estate
CONDITIONALLY REQUIRED IF:
XML / Excel – “Not Applicable” option in Crosswalk
NOT selected.
Purpose = Real Estate
Validations:
Excel Data Format
PRJ:
AO
NEW
Excel Data Format
NEW
Excel Data Format
NEW
YES
Yes
NO
No
Don’t Know
Capacity of Educational Community Facility
If the project financed includes an educational facility, report the number of student seats
available in the school.
CONDITIONALLY REQUIRED IF:
PRJ:
AQ
Number or “Don’t Know”
Community Facility
Report whether the project financed is a community facility. If the project is a community facility,
CIIS requires the user to provide a numeric response greater than zero or “Don’t Know” to at
least one of the Community Facility Capacity data points that follow.
Validations:
Purpose = Real Estate
Crosswalk Values / Definitions
PRJ:
AP
Number or “Don’t Know”
Community Facility = YES AND
None of the other Capacity of Community Facility
data contain a numeric response or “Don’t Know”
Number, “Don’t Know”, or Not Applicable
Capacity of Childcare Community Facility
If the project financed includes a childcare facility, report the number of childcare slots available
in the facility.
CONDITIONALLY REQUIRED IF:
Excel Data Format
02/07/2007
Community Facility = YES AND
None of the other Capacity of Community Facility
data contain a numeric response or “Don’t Know”
Number, “Don’t Know”, or Not Applicable
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FY 2006 Allocatee Transaction Level Report: Data Point Guidance
PRJ:
AR
NEW
Capacity of Healthcare Community Facility
If the project financed includes a healthcare facility, report the projected number of patients
served per year.
CONDITIONALLY REQUIRED IF:
Excel Data Format
PRJ:
AS
NEW
Excel Data Format
NEW
Community Facility = YES AND
None of the other Capacity of Community Facility
data contain a numeric response or “Don’t Know”
Number, “Don’t Know”, or Not Applicable
Capacity of Arts Center Community Facility
If the project financed includes an arts center, report the capacity of the arts center.
Example: If the project is a theater, report the seating capacity
CONDITIONALLY REQUIRED IF:
PRJ:
AT
Community Facility = YES AND
None of the other Capacity of Community Facility
data contain a numeric response or “Don’t Know”
Number, “Don’t Know”, or Not Applicable
Capacity of Other Community Facility
If the project financed is a community facility that serves a purpose other than education,
childcare, healthcare, or arts, report the capacity related to that other purpose.
CONDITIONALLY REQUIRED IF:
Excel Data Format
Community Facility = YES AND
None of the other Capacity of Community Facility
data contain a numeric response or “Don’t Know”
Number, “Don’t Know”, or Not Applicable
PRJ:
AU
DS/FCOS Hours of Assistance Provided During the Reporting Period
Report the total number of hours of Financial Counseling and Other Services (FCOS) that the
CDE provided to the investee/borrower during the reporting period.
• If the QALICB is a single-purpose entity (SPE) created by an operating business to lease back
property to that parent business, report jobs for the parent business.
Numeric
Excel Data Format
PRJ:
AV
Other Impact (1) - Explain
If the Organization measures a community development impact(s) that is not covered above,
Users may report this as an “Other Impact.” Include only quantitative impacts that the CDE has
measured during the reporting period.
Excel Data Format
Text
PRJ:
AW
Other Impact (1) - Number of Units
If the Organization reported an Other Impact (1) - Explain, report the number of units
accomplished for this impact during the reporting period.
CONDITIONALLY REQUIRED IF:
Other Impact (1) Explain reported.
Excel Data Format
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Numeric
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PRJ:
AX
Other Impact (2) - Explain
If the Organization measures a community development impact(s) that is not covered above,
Users may report this as an “Other Impact.” Include only quantitative impacts that the CDE has
measured during the reporting period.
Excel Data Format
Text
PRJ:
AY
Other Impact (2) - Number of Units
If the Organization reported an Other Impact (2) - Explain, report the number of units
accomplished for this impact during the reporting period.
CONDITIONALLY REQUIRED IF:
Other Impact (2) - Explain reported.
Excel Data Format
Numeric
Project Data Points: NMTC Program Criteria
PRJ:
AZ
Investor TIN
Report the Tax Identification Number (TIN) of the CDE that originated the Project. “Investor” does
not refer to the QEI investor or the upper tier of a leverage structure.
MANDATORY DATA FIELD
COMPLIANCE
Excel Data Format
PRJ:
BA
Numeric
QALICB Type
QALICB Type describes the investee/borrower. QALICB Type is used to determine an
Allocatee’s compliance with the the type of lending/investing described in the Allocation
Agreement. QALICB Type does not describe the purpose of the loan(s)/investment(s). Nor does
it refer to the type of collateral securing a loan. (See “Purpose” and “Collateral Type” data points.)
Real Estate QALICB – The investee/borrower is a real estate developer (e.g., a real estate
partnership) or entity whose primary business is the development of real estate.
Non-Real Estate QALICB - The investee/borrower is an operating business (e.g., with sales,
revenues, customers, etc.) whose primary business is not real estate development.
User Discretion: If the investee/borrower QALICB is a Single Purpose Entity (SPE) created
by an operating business for the purpose of leasing back property to that operating
business, and the operating business is itself a QALICB, the user may select either NonReal Estate QALICB or Real Estate QALICB keeping in mind the Allocatee’s approved
QLICI Types as stated in Section 3.2 of its allocation agreement. Please note: Regardless
of how the user classifies the investee/borrower, unless otherwise noted, CIIS data points
refer to the operating business. The reason is that the financing is intended to support the
operating business, not the SPE.
QLICI Type = QALICB
CONDITIONALLY REQUIRED IF:
COMPLIANCE
Crosswalk Values / Definitions
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RE
CIIS 4.1
Real Estate
Borrower/investee is primarily
engaged in the development,
construction, management, and/or
financing of real estate projects.
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FY 2006 Allocatee Transaction Level Report: Data Point Guidance
NRE
PRJ:
BB
Non-Real Estate
Borrower/investee business does not
fit the Real Estate description above,
regardless of how the business
intends to use the proceeds of the
transaction (i.e., business intends to
use any real estate owned as
collateral for a business loan).
NMTC Eligibility Criteria
Report which geographic criteria qualifies this transaction as a NMTC eligible transaction. If you
select “Census 1990”, the transaction must have been closed by a specific date outlined in
section 3.2 of the Allocation Agreement.
MANDATORY DATA FIELD
COMPLIANCE
Crosswalk Values / Definitions
CENSUS1990
1990 Census
CENSUS2000
TARGETAREA
2000 Census
CDFI Fund Approved Target
Area or Other Area
Targeted populations
Tracts with low population
High migration rural county
TARGETPOP
TRACTS
HIGHMIGRATION
PRJ:
BC
1990 FIPS Code
If the Organization used the 1990 Census to qualify this transaction as a NMTC eligible
transaction, report the 11-digit FIPS code that identifies the correct 1990 census tract.
CONDITIONALLY REQUIRED IF:
NMTC Eligibility Criteria = 1990 Census
COMPLIANCE
PRJ:
BD
Reject If:
NMTC Eligibility Criteria NOT = 1990 Census
Excel Data Format
Text
Related Entity
In accordance with section 3.2 of the Allocation Agreement, report “Yes” if the investee (entity
receiving the financing) is a related entity. For more information on related entities, see the IRS
regulations or the NMTC Allocation Application Q & A Document on the Fund's website. CDE
Allocatees should refer to IRC § 267(b) and 707(b)(1) and consult their own tax advisors for more
information about the definition of a related entity.
MANDATORY DATA FIELD
COMPLIANCE
Crosswalk Values / Definitions
02/07/2007
YES
NO
CIIS 4.1
Yes
No
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FY 2006 Allocatee Transaction Level Report: Data Point Guidance
Project Data Points: Better Rates & Terms
PRJ:
BE
NEW
Below Market Interest Rate (Project)
In accordance with Section 3.2 of the Allocation Agreement, report whether the Project has a
below market interest rate.
In previous versions of CIIS, “Below Market Interest Rate” was collected on the Financial
Note-level only.
MANDATORY DATA FIELD
COMPLIANCE
Crosswalk Values / Definitions
PRJ:
BF
NEW
YES
NO
Yes
No
Blended Interest Rate
If the Financial Note(s) in the Project include one or more loans, report the blended interest rate
in effect at the reporting period end. When calculating the blended interest rate, users may treat
equity investments as 0% interest loans. If the Project was paid off during the reporting period,
report the interest rate at the time of the pay off.
If you provide a blended interest rate, please be prepared to provide the Fund with
documentation regarding how the blended interest rate was calculated.
CONDITIONALLY REQUIRED IF:
Below Market Interest Rate (Project) = YES
Annual Update Required
Excel Data Format
PRJ:
BG
NEW
Numeric (3 decimal places)
Comparable Blended Interest Rate
If the Project has a below market interest rate, report the comparable market rate at the end of
the reporting period that the Allocatee used as a benchmark to determine that the Project has a
below market interest rate.
CONDITIONALLY REQUIRED IF:
Below Market Interest Rate (Project) = YES
Annual Update Required
Excel Data Format
PRJ:
BH
Numeric (3 decimal places)
Lower than Standard Origination Fees (Project)
In accordance with Section 3.2 of the Allocation Agreement, report whether the Project has lower
than standard origination fees.
In previous versions of CIIS, “Lower than Standard Origination Fees” was collected on the
Financial Note-level only
MANDATORY DATA FIELD
COMPLIANCE
Crosswalk Values / Definitions
02/07/2007
YES
NO
CIIS 4.1
Yes
No
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FY 2006 Allocatee Transaction Level Report: Data Point Guidance
PRJ:
BI
NEW
PRJ:
BJ
Standard Origination Fees (Project)
If the Project has lower than standard origination fees, report the comparable market origination
fees that the Allocatee used as a benchmark to determine that the Project has lower than
standard origination fees.
CONDITIONALLY REQUIRED IF:
Lower than Standard Origination Fees (Project) = YES
Excel Data Format
Numeric
Higher than Standard Loan to Value Ratio
In accordance with Section 3.2 of the Allocation Agreement, report whether the Project has a
higher than standard loan to value ratio.
MANDATORY DATA FIELD
COMPLIANCE
Crosswalk Values / Definitions
PRJ:
BK
NEW
Yes
No
Standard Loan-to-Value Ratio
If the Project has a higher than standard loan to value ratio, report the comparable market loan to
value ratio that the Allocatee used as a benchmark to determine that the Project has a higher
than standard loan to value ratio.
Enter the percentage as a whole number (e.g. if the LTV is 125%, enter “125.”)
CONDITIONALLY REQUIRED IF:
Higher than Standard Loan to Value Ratio = YES
Excel Data Format
PRJ:
BL
YES
NO
Numeric (3 decimal places)
More Flexible Borrower Credit Standards
In accordance with Section 3.2 of the Allocation Agreement, report whether the Project has more
flexible borrower credit standards.
MANDATORY DATA FIELD
COMPLIANCE
Crosswalk Values / Definitions
PRJ:
BM
YES
NO
Yes
No
Lower than Standard Debt Service Coverage Ratio
In accordance with Section 3.2 of the Allocation Agreement, report whether the Project has a
lower than standard debt service coverage ratio.
MANDATORY DATA FIELD
COMPLIANCE
Crosswalk Values / Definitions
02/07/2007
YES
NO
CIIS 4.1
Yes
No
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FY 2006 Allocatee Transaction Level Report: Data Point Guidance
PRJ:
BN
NEW
Standard Debt Service Coverage Ratio
If the Project has a lower than standard debt service coverage ratio, report the comparable
market debt service coverage ratio that the Allocatee used as a benchmark to determine that the
Project has a lower than standard debt service coverage ratio.
Enter the percentage as a whole number (e.g. if the DSC is 100%, enter “100.”)
CONDITIONALLY REQUIRED IF:
Lower than Standard Debt Service Coverage Ratio = YES
Excel Data Format
PRJ:
BO
Numeric (3 decimal places)
Lower than Standard Loan Loss Reserve Requirement
In accordance with Section 3.2 of the Allocation Agreement, report whether the Project has a
lower than standard loan loss reserve requirement.
MANDATORY DATA FIELD
COMPLIANCE
Crosswalk Values / Definitions
PRJ:
BP
NEW
YES
NO
Yes
No
Standard Loan Loss Reserve Requirement
If the Project has a lower than standard loan loss reserve requirement, report the comparable
market loan loss reserve requirement that the Allocatee used as a benchmark to determine that
the Project has a lower than standard loan loss reserve requirement.
Enter the percentage as a whole number (e.g. if the LLR requirement is 5%, enter “5.”)
Lower than Standard Loan Loss Reserve Requirement =
CONDITIONALLY REQUIRED IF:
YES
Excel Data Format
Numeric (3 decimal places)
Project Data Points: Areas of Higher Distress
PRJ:
Areas of Higher Distress – Standard List
In accordance with Section 3.2 of the Allocation Agreement, report “Yes” or “No” for each of the
following:
MANDATORY DATA FIELD
COMPLIANCE
BQ
Poverty Rates Greater than 30%
BR
If located within a non-Metropolitan Area, median family income does not exceed 60
percent of statewide median family income or if located within a Metropolitan Area,
median family income does not exceed 60 percent of the greater of statewide median
family income or the Metropolitan Area median family income.
BS
Unemployment Rates at Least 1.5 Times the National Average
BT
Designated for redevelopment by a governmental agency;
BU
Federally designated Empowerment Zones, Enterprise Communities, or Renewal
Communities.
BV
U.S. Small Business Administration (SBA) designated HUB Zones, to the extent that the
QLICIs will support businesses that obtain HUB Zone certification from the SBA; (* See
note below for clarification).
Round 1 and Round 2 Allocatees - For a project to qualify as an eligible AHD under this
criteria, the project must only be located in a SBA designated HUB Zone.
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FY 2006 Allocatee Transaction Level Report: Data Point Guidance
BW
Round 3 Allocatees - For a project to qualify as an eligible AHD under this criteria, the
project must be located in a SBA designated HUB Zone and the QLICIs support businesses
that obtain HUB Zone certification from the SBA.
Federally designated as Native American or Alaskan Native areas, Hawaiian Homelands,
or redevelopment areas by the appropriate Tribal or other authority.
BX
Federally designated Brownfields redevelopment areas.
BY
Encompassed by a HOPE VI redevelopment plan.
BZ
Located in a Hot Zone (defined as geographic areas designated by the Fund as having
greater levels of economic distress).
CA
Areas designated as distressed by the Appalachian Regional Commission or Delta
Regional Authority.
CB
Colonias areas as designated by the U.S. Department of Housing and Urban Development.
CC
Federally designated medically underserved areas, to the extent that QLICI activities will
support health related services.
CD
State or local tax-increment financing districts, enterprise zone programs, or other similar
state/local programs targeted towards particularly economically distressed communities.
Crosswalk Values / Definitions
PRJ:
CE
YES
NO
Yes
No
Areas of Higher Distress – Other
In accordance with Section 3.2 of the Allocation Agreement, report any responses applicable to
the transaction in the same text as appears in the Allocation Agreement. In addition to the
Standard List outlined above, some Allocatees may have additional targeted areas approved in
their Allocation Agreement.
MANDATORY DATA FIELD
COMPLIANCE
Excel Data Format
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Text
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| File Type | application/pdf |
| File Title | CDE TRANSACTION LEVEL REPORT |
| Author | kaltobello |
| File Modified | 2007-02-07 |
| File Created | 2006-11-29 |