CDFI Program and NMTC Program Annual Report including CIIS

FY 2010
Transaction Level Report
Entry/Upload Instructions
CIIS 8.0
August 1, 2010

OMB No. 1557-0027
According to the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it
displays a valid OMB control number. The valid OMB control number for this information collection is 1559-0027. The time required
to complete this information collection is estimated to average 100 hours, including the time to review instructions, search existing
data resources, gathering and maintaining the datat needed, and completing and reviewing the collection of information. Comments
concerning the accuracy of the time estimate and suggestions for reducing this burden should be directed to the Program Manager
th
for Financial Strategies and Research, Community Development Financial Institutions Fund, 6001 13 Street NW, Suite 200 South,
Washington, DC 20005.

TABLE OF CONTENTS

WHICH LOANS AND INVESTMENTS TO INCLUDE IN THE TLR ..........................................................1
TLR “PROJECT” GUIDANCE.................................................................................................................2
TLR SUBMISSION TO CERTIFICATION FLOW CHART ........................................................................3
SUBMIT TRANSACTIONS TO CIIS ........................................................................................................4
CROSSWALK .......................................................................................................................................13
UPDATING USING PREVIOUS YEAR SUBMISSIONS.........................................................................15
MANAGING PENDING TRANSACTIONS .............................................................................................16
PRE-CERTIFY TRANSACTIONS ..........................................................................................................17
CERTIFY TRANSACTIONS ..................................................................................................................17

FY 2010 Transaction Level Report Entry/Upload Instructions

FY 2010 CDFI Transaction Level Report
Entry/Upload Instructions
This document provides instructions for entering or uploading the Fiscal Year (FY) 2010
Transaction Level Report (TLR) to the Community Investment Impact System (CIIS).
This document does not provide the information technology specifications needed to
complete an XML transfer of data to CIIS. The technical documents for XML are posted
on the Fund’s website at www.cdfifund.gov/what_we_do/ciis.asp. Please do NOT use
the Excel Data Format listed in these Instructions as a guide for an XML data transfer.
The FY 2010 version of CIIS is CIIS 8.0.
WHICH LOANS AND INVESTMENTS TO INCLUDE IN THE TLR
The reporting period for the FY 2010 TLR is the CDFI or Allocatee's fiscal year
ending in 2010.
Allocatees:
Include all loans, investments, and advance purchase commitments made by the
Allocatee and any Sub-Allocatee(s) and funded by Qualified Equity Investments
(QEIs) that were outstanding at any time during the reporting period. (This
includes transactions that were submitted in the previous reporting period.)
Include:
• 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.
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).

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If an Allocatee is providing loans to or investments in other CDEs, report the
details of both the loan to or investment in the CDE as well as the details of the
resulting 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).
CDFIs:
Include all loans and investments that were outstanding at any time during the reporting
period. Exclude any New Markets Tax Credit (NMTC) activity that was funded by
Qualified Equity Investments (QEIs). Also exclude loans made to affiliates. The
reporting period for the FY 2010 TLR is the Organization’s fiscal year ending in
2010.
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
(Principal Balance Outstanding, Jobs at Reporting Period End, etc.). The appropriate
response may change from day-to-day in the Organization’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.
TLR “PROJECT” GUIDANCE
Many CDFIs and Allocatees are financing a single Project with more than one Financial
Note (e.g., loan, line of credit, or equity investment). Organizations 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.
Users indicate Financial Notes belong to a single Project by assigning the same “Project
Number” to each of the related Financial Notes.
In previous versions of CIIS, Financial Notes were referred to as “transactions.” In this
version of CIIS “transaction” and “Financial Note” are used interchangeably.
Allocatees:
Financial Note vs. Project-Level Data Points
In CIIS 5.1, each Allocatee data point is designated as either Financial Note-level
data or Project-level data. The designation of Financial Note-level data points and
Project-level data points can be found in the “Allocatee QuickStart” or the “Allocatee

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TLR Data Points Guidance” document at
http://www.cdfifund.gov/what_we_do/ciis.asp.
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 Project-level 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.)
TLR SUBMISSION TO CERTIFICATION FLOW CHART
The following flow charts and instructions document and describe the TLR process.

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SUBMIT TRANSACTIONS TO CIIS
There are three options for submitting the TLR to CIIS:
(1) XML Interface,
(2) Excel Template Upload, and
(3) Manual Data Entry.
Each of these is explained below.
Option (1) XML Interface
What is XML?
XML is a data transfer protocol designed for information exchange on the World Wide
Web. XML allows Organizations to upload data directly from their information systems
to CIIS. The XML interface is the most reliable TLR option for ensuring accurate data
transmission because it eliminates human error that may occur during manual data
entry or copying and pasting.
Who Can Use XML?
Organizations that choose to use the XML interface are responsible for programming
their systems to provide the appropriate data to CIIS or purchasing software that can do
so. For programming, the Fund anticipates that Organizations will need the assistance
of their information technology (IT) staff or consultant.

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CIIS Compatible Software
If an Organization is interested in learning about software that is compatible with CIIS,
you may go to the “CIIS Compatible Software” link available at
http://www.cdfifund.gov/what_we_do/ciis.asp for a current list of software products that
demonstrated that they track all of the required TLR data and can transmit this data via
XML to CIIS.
The Fund invites all vendors to test their products, so you may want to inform your
vendor of this opportunity. Please note: It is important that Organization’s use software
that has been tested for the current Reporting Period. As vendors test with CIIS using
the fiscal year 2010 TLR format, the website will be updated to reflect the results.
Preparing the XML TLR:
• The Fund suggests that Organizations prepare the TLR by reviewing the TLR Data
Points Guidance document (available at
http://www.cdfifund.gov/what_we_do/ciis.asp) and identifying:
- “Mandatory” and “Conditionally Required” data points;
- “Compliance” data points;
- Data point guidance;
- Where the Organization electronically stores the data; and
- The type of entries allowed by each data point.
- However, do NOT use the Excel Data Format listed in these Instructions as a
guide for an XML data transfer.
• The technical specifications, or XML schema, for the XML Interface are posted at:
- http://www.cdfifund.gov/what_we_do/ciis.asp and
- Under “Template Download” from the TLR menu on the CIIS homepage.
Reserved Characters
• XML users should not enter any of the following Reserved Characters in the TLR
submission. If any of these Reserved Characters are used, CIIS cannot guarantee
that the data will save and/or transmit properly.
, (comma)
‘ (apostrophe)
“ ” (quotes)
# (pound sign)
& (ampersand)
| (vertical bar)

* (asterisk)
< (less than)
> (greater than)
= (equals)
% (percentage)

( ) (parentheses)
^ (carrot)
@ (at sign)
+ (addition sign)
! (exclamation point)

Transmitting the XML TLR to CIIS:
• Users must complete the Crosswalk Setup prior to transmitting the TLR. The
Crosswalk translates an Organization’s data entries into values defined in CIIS. A
complete description of the Crosswalk is provided in the following section.
• After completing the Crosswalk Setup, upload the XML:
- Select “Data Entry” option from “TLR” Menu from CIIS Home Page;
- Select “XML Upload” under “Submit Transactions to CIIS”;
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- Select the data file path; and
- Select “Upload XML data” button.
Validating the XML TLR in CIIS:
• After the XML TLR is uploaded, CIIS will validate each transaction in the
transmission. The specific validations are noted in the TLR Data Points Guidance.
• If the transmission contains any errors, CIIS will generate an error report that
specifies the errors on a transaction-by-transaction basis. Users may view the error
report by selecting “View Batch Validation Report” from the TLR home page.
• The Organization will need to resubmit data to make the corrections.
• Users may correct the errors by resubmitting the XML TLR or by using the online
interface.
If the Organization corrects errors manually online, please make sure that the
same errors are corrected in the Organization’s information system. If the errors
are not corrected, the Organization is in danger of submitting the same errors the
following year and of carrying erroneous data in there files.
Transaction Status
• Users may select “View Pending Transactions” from the TLR home page to check
the status of the transactions as follows:
- “Entry” - Transaction is not validated.
- “Error” - Errors exist in general validations (see “Understanding the Data
Points”).
- “Error: Address Verification Failed” - Passed general validations. Errors exist in
address verification.
- “Address Verification Passed” - Passed general validation and address
verification. Ready to pre-certify.

Option (2) Excel Template Upload
•

A sample Excel Submission can be found at www.cdfifund.gov/what_we_do/ciis.asp
or from the “Training” link on the CIIS Home Page.

Preparing the Excel TLR:
• The Fund suggests that Organizations prepare the TLR by reviewing the “TLR Data
Points Guidance” document (available at www.cdfifund.gov/what_we_do/ciis.asp)
and identifying:
- “Mandatory” and “Conditionally Required” data points;
- “Compliance” data points;
- Data point guidance;
- Where the Organization electronically stores the data; and

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•

- The type of entries allowed by each data point.
The Excel Template is posted at:
http://www.cdfifund.gov/what_we_do/ciis.asp and
- Under “Template Download” from the TLR menu on the CIIS homepage.

New Allocatee Excel Template:
The new Allocatee Excel Template contains four worksheets:
• “Notes-Investments” sheet includes all Financial Note-level data points (except
Disbursement data).
- Financial Notes are identified by a “Project Number” and an “Originator
Transaction ID.” These data points are described in the “Allocatee TLR Data
Points Guidance.”
- Each Financial Note will be entered as a single row of data. Each row in the
Excel Template will include a column for the unique Project Number and
Originator Transaction ID identifiers.
• “Disbursements” sheet includes all Disbursement data points
- Disbursements are identified by an “Originator Transaction ID” and a
“Disbursement ID.” These data points are described in the “Allocatee TLR Data
Points Guidance.”
- Each Disbursement will be entered as a row of data. If there are multiple QEIs
funding a single disbursement, there will be one additional row of data for each
QEI used for a particular disbursement. (This process is described in greater
detail in the “Multiple Data Points for one Financial Note or Project” section
below.) Each row in the Excel Template will include a column for the unique
Originator Transaction ID and Disbursement identifiers.
• “Projects” sheet includes all Project-level data points (except Address data)
- Projects are identified by a “Project Number.”
- Each Project will be entered as a single row of data. Each row in the Excel
Template will include a column for the unique Project Number.
• “Addresses” sheet includes all Address data points.
- Addresses are related to a “Project Number.”
- Each Address will be entered as a row of data. If there are multiple Project
Addresses for a single Project Number, there will be an additional row of data for
each Project Address. (This process is described in greater detail in the “Multiple
Data Points for one Financial Note or Project” section below.) Each row in the
Excel Template will include a column for the unique Project Number identifiers.
Reserved Characters
• Excel users should not enter any of the following Reserved Characters in their TLR
submission. If any of these Reserved Characters are used, CIIS cannot guarantee
that the data will save and/or transmit properly.
, (comma)
‘ (apostrophe)
“ ” (quotes)
# (pound sign)
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* (asterisk)
< (less than)
> (greater than)
= (equals)
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( ) (parentheses)
^ (carrot)
@ (at sign)
+ (addition sign)
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& (ampersand)
| (vertical bar)

% (percentage)

! (exclamation point)

Multiple Data Points for one Financial Note or Project:
• The Disbursement ID (Allocatees only), and Disbursements Source (Allocatees
only), and Project Address data points may require the Organization to submit
multiple responses for a single transaction. For example, a single real estate loan
will have multiple project addresses if more than one property is being developed
with the loan.
• In these cases, each response must be provided on a separate row. As a result,
there will be multiple rows of data for these transactions.
Allocatees:
• Disbursement ID and Disbursements Source: On the Disbursement sheet, users
must submit the Originator Transaction ID for any additional rows (must be the
same Originator Transaction ID for every row that corresponds to the particular
disbursement).
- Any data other than the Originator Transaction ID, Disbursements ID,
Disbursement Source, and Source Amount fields will cause errors if supplied
in these additional rows.
• Project Address: On the Address sheet, users must submit the Project Number
for any additional rows (must be the same Project Number for every row that
corresponds to the particular Project Address data).
- Any data other than the Project Address and Project Number fields will cause
errors if supplied in these additional rows.
CDFIs:
• Project Address: Users must submit the Originator Transaction ID for any
additional rows of Project Address data. Any data other than the Project Address
and Originator Transaction ID fields will cause errors if supplied in these additional
rows.
•

Other than for these special cases, duplicate rows related to a specific Originator
Transaction ID or Project Number will be rejected as an error.

Format Numeric Fields
• Please pay close attention to the “Crosswalk Values / Definitions” provided in the
“TLR Data Points Guidance” document. Lead zeroes will not appear for fields
denoted as “Numeric.” For example, a 5 digit zip code starting in zero should be
entered as “1810”, and CIIS will then add a zero to the beginning of the zip code
once the transmission has been received.

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Utilization of the Excel Template:
An Organization should NOT change, update, re-order, or manipulate the Excel
Template in any way, unless specified in these instructions. If the Template has
been changed in ways other than those specified in the instructions, CIIS will reject the
transmission.
•

In order to delete an entry from a cell or a row in the Excel Template, the User must
1) Right-click in the cell/row; 2) Select delete; 3) Select “shift cells up” or “delete
entire row”; and 4) Click “OK.” The User will not be able to simply click the delete
button on their keyboard to remove unwanted entries.

Transmitting the Excel TLR to CIIS:
Practice: The Fund recommends that users attempt to upload only 2-3
transactions on the first transmission attempt. If there are errors in the format or
set-up of the spreadsheet, it will be much easier to review the error report and make
corrections to a small transmission. Once the user has successfully transmitted and
validated the 2-3 transactions, successfully formatting, transmitting, validating the entire
portfolio should be simpler.
•

•

Users must verify the Crosswalk is setup prior to transmitting the TLR. The
Crosswalk translates an Organization’s data entries into values defined in CIIS. A
complete description of the Crosswalk is provided in the following section.
After verifying that the Crosswalk is setup, upload the Excel:
- Select “Data Entry” option from the “TLR” Menu from CIIS Home Page;
- Select “Excel Upload” under “Submit Transactions to CIIS”;
- Select the data file path; and
- Select “Upload Excel data” button.

Validating the Excel TLR in CIIS:
• After the Excel TLR is uploaded, CIIS will validate each transaction in the
transmission. The specific validations are noted in the “TLR Data Points Guidance”
document.
• If the transmission contains any errors, CIIS will generate an error report that
specifies the errors on a transaction-by-transaction basis. Users may view the error
report by selecting “View Batch Validation Report” from the TLR home page.
• The Organization will need to resubmit data to make the corrections.
• Users may correct the errors by resubmitting the Excel TLR or by using the online
interface.
Retrieve Invalid Transactions - Excel
• Users may select the “Retrieve Invalid Transactions – Excel” to download an Excel
Template containing all of the Organization’s invalid pending transactions. (Please
note the user must first filter the Pending Transactions List to include only those
transactions in a status of “Error” and “Error: Address Verification Failed.”)

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•

User may choose to make corrections to the invalid data in the Excel template and
upload these transactions again to replace the errors.

If the Organization corrects errors manually online, please make sure that the
same errors are corrected in the Organization’s information system. If the errors
are not corrected, the Organization is in danger of submitting the same errors the
following year and of carrying erroneous data in there files.
Transaction Status
• Users may select “View Pending Transactions” from the TLR home page to check
the status of the transactions as follows:
- “Entry” - Transaction is not validated.
- “Error” - Errors exist in general validations (see “Understanding the Data
Points”).
- “Error: Address Verification Failed” - Passed general validations. Errors exist in
address verification.
- “Address Verification Passed” - Passed general validations and address
verification. Ready to pre-certify.

Option (3) Manual Data Entry:
Preparing the Manual Data Entry TLR:
• The Fund suggests that Organizations prepare the TLR by reviewing the “TLR Data
Points Guidance” and identifying:
- “Mandatory” and “Conditionally Required” data points;
- “Compliance” data points;
- Data point guidance;
- Where the Organization stores the data; and
- The type of entries allowed by each data point.
Manually Entering the TLR in CIIS:
• In order to begin the Manual Data Entry option:
- Select “Data Entry” option from “TLR” Menu from CIIS Home Page.
- Select “Online Entry” menu option from TLR Functions to begin to enter the
transaction.
• For each Financial Note, CIIS requires the user to complete key data points before
allowing them to navigate through the other data points or save the Financial Note:
Allocatees 7 Key Data Points:
1) Project Number
2) Originator Transaction ID;
3) QLICI Type;
4) Investee Type;
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•

5) Purpose;
6) Transaction Type; and
7) Loan Status.
Project Number
- Parent Financial Note for a Project
§ The Parent Financial Note is indicated by an * (asterisk) in the Pending
Transactions list.
§ The first note entered for a Project is automatically deemed the Parent
Financial Note.
§ If you are entering the Parent (or only) Financial Note for a particular
Project, enter the new project number in the Project Number field.
§ You will need to enter both the Financial Note-level data and the Projectlevel data in this Parent Financial Note.
- Adding a Child Financial Note to a Project
§ If you are adding a Child Financial Note to an existing Project, select the
appropriate Project Number from the dropdown.
§ In this case, you will only need to enter the Financial Note-level data.
CIIS will prefill (read-only) the Project-level data with your responses to
the Parent Financial Note. If you make changes to the Project-level data
in the Parent Financial Note, CIIS will update the Project-level data in the
Child Financial Note(s).
- Moving a Financial Note to a Different Project
§ You may move a Child or Parent Financial Note to a new Project by
entering a new Project Number in the entry screen.
• In this case, any Project-level data associated with the Financial
Note will be removed.
• You cannot move a Parent Financial Note with no Child Financial
Notes to a new Project.
§ You may move an existing Financial Note to another existing Project by
selecting a different Project Number on the entry screen or selecting
“Change Project Number” on the first data entry screen.
• In this case, any Project-level data associated with the Financial
Note will be replaced by the Project-level data from the updated
Project.

CDFI’s 5 Key Data Points:
1) Originator Transaction ID;
2) Investee Type;
3) Purpose;
4) Transaction Type; and
5) Loan Status.
•

Once the key data fields have been entered, the User can navigate using the Table
of Contents and may then enter the data in any order.

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Please note that the User must click the ‘Save’ button before navigating using the
Table of Contents to ensure that all data entered on the page is saved.
•

Once the key data points have been entered, the user can save and exit the
transaction at any time.
• When a user attempts to leave a page, CIIS will notify the User of any “Mandatory”
or “Conditionally Required” (CDFI only) fields that are not complete and if any of the
data cannot be validated. Specific validations are noted in the “TLR Data Points
Guidance” document.
• CIIS allows the User to update or complete any of the transactions at any time prior
to transmission by using the “Pending Transactions” list that can be viewed after
selecting the “Data Entry” of the TLR menu.
• Validating the Manually Entered TLR:
- Users must validate each transaction for general validations (described in the
“TLR Data Points Guidance”) and address verification prior to submitting the
TLR.
- If the transactions contain any errors, CIIS will generate an error report that
specifies the errors on a transaction-by-transaction basis. The Organization will
need to update data to make the corrections.
Validating the Manually Entered TLR:
• Users must validate each transaction for general validations (described in “TLR
Data Points Guidance”) and address verification prior to submitting the TLR.
• If the transactions contain any errors, CIIS will generate an error report that
specifies the errors on a transaction-by-transaction basis. The Organization will
need to update data to make the corrections.
If the Organization corrects errors manually online, please make sure that the
same errors are corrected in the Organization’s information system. If the errors
are not corrected, the Organization is in danger of submitting the same errors the
following year and of carrying erroneous data in there files.
1. General Validations:
- For general validations, CIIS will only validate one transaction at a time.
- Users may complete general validations at any time. CIIS will validate all
available data for a given transaction.
- The general validations must be completed a final time when all data is entered.
- CIIS provides a “Validate Transaction” button on:
§ Pending Transactions page (CIIS will validate selected transaction).
§ Each page of the manual data entry (CIIS will validate the transaction
being entered).
2. Address Verification:
- CIIS will not complete the address verification until all general validations are
complete (Transaction Status = “Address Verification Passed” for all transactions
indicates that the address verification has passed.)

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- Use the “Validate Transaction” button on Pending Transactions page (CIIS will
validate the transaction(s) selected.)
Transaction Status
• Users can use the “Pending Transactions” page to check the status of the
transactions as follows:
- “Entry” - Transaction is not validated.
- “Error” - Errors exist in general validations (see “TLR Data Points Guidance”).
- “Error: Address Verification Failed” - Passed general Validations. Errors exist in
address verification.
- “Address Verification Passed” - Passed general validations and address
verification. Ready to pre-certify.

Indicates Manual Entry

ID numbers generated by CIIS

Year selected by user upon entry to CIIS

Updating the TLR Manually:
• Users may update data using the manual data entry system:
- On the Pending Transactions page, select the Transaction to be updated.
- Select the “Update Transaction” button.
CROSSWALK
The Crosswalk must be completed by Organizations using the XML interface or
the Excel Upload.
What is the Crosswalk?
The Crosswalk translates your Organization’s data entries into values defined in CIIS.
For example, if your Organization’s loan monitoring system uses the code “F” for

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“female borrower” and CIIS uses the code “Female,” the Crosswalk will tell CIIS to
accept “F” for “female borrower.” The Crosswalk does not include data points that
accept general numeric or text entries.
The Crosswalk allows Organizations that are already capturing data required by CIIS to
submit the data without changing the existing values stored in their software systems.
The Crosswalk is a one-time set-up that will be saved in CIIS from year to year.
The Organization will only be required to record changes when 1) additional data points
are added to CIIS or 2) the crosswalked values from the submitting Organization have
changed.
Where to Find Crosswalk Values
A complete list of the Crosswalk values are posted on the Fund’s website at
www.cdfifund.gov/what_we_do/ciis.asp. CIIS values are also described in the “TLR
Data Points Guidance” document.
Completing the Crosswalk
Users will have an option to select “Same as CIIS” once they enter the Crosswalk setup.
This option will set all values to “Same as CIIS.”

Users will also have three options available to crosswalk their data values to CIIS
values. See the three columns below: Your System, Same as CIIS, and Does not
Apply.

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1. Your System: Use the “Your System” option to record the Organization’s value
or values as they will appear in the TLR transmission. For example, if the
Organization records “FXD” for loans with a fixed interest rate, the user would
enter “FXD” in the “Your System” column next to Fixed.
If the Organization has multiple values for a single CIIS value, the user will report each
of the Organization’s values separated by a “,” (comma) in the corresponding “Your
System” entry field. For example, If the Organization uses both “FXD” and “FIX” to
represent loans with a fixed interest rate, the user would enter “FXD,FIX” in the “Your
System” entry field next to Fixed.
It is critical that the Crosswalk entry represent the exact text being transmitted.
All transmitted data must match the identified crosswalk option(s).
2. Same as CIIS: If the Organization’s value is the same as the CIIS value, the
User should select the “Same as CIIS” check box next to the appropriate option.
The CIIS values are provided in the “TLR Data Points Guidance” document. For
example, if the Organization uses “FIXED” to represent loans with a fixed interest
rate, the user would select the “Same as CIIS” check box.
If the Organization’s value is the same as the CIIS value for all data points in a section,
the user may check the section level “Same as CIIS” check box and move to the next
section. If the “Same as CIIS” check box is selected at the section level, the user will
not be able to record any other data in that section.
3. Does Not Apply: If the data point or option does not apply to the Organization,
the User should select the “Does Not Apply” check box. For example, if the
Organization does not offer loans with a fixed interest rate, the user could select
the “Does Not Apply” check box. A section level check box is provided to allow
the user to select “Does Not Apply” for all values in the section. Please note, the
“Does Not Apply” check box is not available for the key data points required for a
transaction. The key data points that must be crosswalked are QLICI Type
(Allocatees only), Investee Type, Purpose, Transaction Type, and Loan Status.
UPDATING USING PREVIOUS YEAR SUBMISSIONS
Transactions that have been certified in previous reporting years can be updated
without re-entering/uploading the entire transaction. It is highly recommended
that Users take advantage of this function to minimize your workload and User
errors.
Allocatees:
In each reporting year, Allocatees must submit the entire portfolio of transactions that
were funded by Qualified Equity Investments (QEIs) and that were active at any time
during the reporting year. CIIS provides the option of beginning with the previous
reporting year’s certified TLR.

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CDFIs:
In each reporting year, CDFIs must submit their entire portfolio of transactions that were
active at any time during the reporting year. CIIS provides the option of beginning with
the previous reporting year’s certified TLR.
Retrieving Previous “Online” Transmissions
• Select “Data Entry” from the “TLR” menu on the CIIS Home Page.
• Select which reporting year you would like to use to load the data.
• Select the “Retrieve Certified Transactions - Online” option to load a past TLR
submission in to the Pending Transaction list.
- Downloaded data will display in the current reporting year’s format from the
Pending Transactions List.
- Users may use the online entry system to update or delete transactions.
- Users may not use this feature if their CIIS Reports have already been Certified
for the current reporting period.
Please note, if there are Pending transactions online when you select “Retrieve
Certified Transactions - Online”, CIIS will use the downloaded transactions to
replace any Pending transactions. As a result, you will lose the Pending
Transactions.
Retrieving Previous “Excel” Transmissions
• Select which reporting year you would like to use to load the data.
• Select the “Retrieve Certified Transactions - Excel” option to download an Excel
spreadsheet that contains a past certified TLR.
- Downloaded data will populate in an Excel file which is generated in the current
reporting year's format. Users should save this file to their computer before
making any updates to the data.
- Users may upload changes to the data for current year’s submission.
Updating for Submission
• CIIS requires users to update certain data points for each report year. These data
points are noted with “Annual Update Required” in “TLR Data Points Guidance”
document.
• Users must complete validations for all transactions.
- The Fund has added additional Mandatory and Conditionally Required fields.
Please review the instructions to ensure that these fields are complete in order to
complete the validations.
MANAGING PENDING TRANSACTIONS
Filter Pending Transactions
• Use the “Filter” features on the bottom of the Pending page to filter the Pending
transactions by Transaction Status.

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PRE-CERTIFY TRANSACTIONS
How to Pre-Certify Transactions
• Select “Pre-Certify Transactions” from TLR home page to Pre-Certify Transactions.
• Users may only Pre-Certify validated transactions (Transaction Status on Pending
List is “Address Verification Passed” and “Error: Address Verification Failed” (CDFI’s
only)).
• Users must Pre-Certify transactions in batch. This means that all transactions on
the Pending List must be Pre-Certified at one time.
• Users may Pre-Certify multiple times. After a User Pre-Certifies a batch of
transactions, the User may submit additional transactions to the Pending List and
Pre-Certify again.
• Users may view the Pre-Certified transactions’ key data points by selecting “View
Pre-Certified Transactions” on the TLR home page. (Please note: The PreCertification process runs every 15 minutes, so although your transactions will
immediately disappear from the Pending Transactions List, it will take up to 15
minutes for them to redisplay in the Pre-Certified Transactions List.)
• Users may retrieve the Pre-Certified transactions in Excel by selecting “Retrieve
Pre-Certified Transactions – Excel” from the TLR home page. Updates can be
made to the retrieved Excel document, and it can be re-uploaded in CIIS. These
transactions will need to be Pre-Certified again.
• Users may send Pre-Certified transactions back to the Pending List in batch by
selecting “Send Back to Pending Transactions” from the TLR home page.
- If Pre-Certified transactions are sent back to Pending, all Pending transactions will
be replaced with the transactions being moved.
CERTIFY TRANSACTIONS
The User must Certify the TLR upon completion.
CIIS has a single Certification process for the ILR and TLR. Users will be able to Certify
the TLR when:
• The ILR is complete. (On the CIIS Home Page, select “ILR” menu
“ILR Status” to
check for completion.)
• The TLR is complete.
- All transactions are Pre-Certified. There cannot be any transactions in the Pending
List
How to “Certify”
• Select the “Certify” tab, which is available on the CIIS Home page.
• Check that the ILR and TLR are complete in CIIS.
• Enter the “As of Date of Transaction Level Report.”
- The “as of date” is the day that the TLR data was current. For example, if the
data shows the transactions’ delinquency and disbursement status as of 12/31/10,
the “as of date” is 12/31/10.
- The Fund requires that the TLR represent the last date of the reporting period.
• Select “Next” button.
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•
•

Review Certification Statement and select appropriate checkbox to agree with the
statement.
Select “Submit CIIS Reports” button.

Please note, if during the cleansing process or the Compliance review, it is determined
that the Organization did not submit the data required, the Organization will be
contacted to correct the data.

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