Operations and Maintenance Assessment Checklist
Operations and Maintenance Assessment Checklist to Help Ensure Fiscal Constraint Requirements
August 21, 2009
O&M Estimate Preparation
- Are clear and documented policies, procedures, techniques and/or standards used in preparing long range planning O&M estimates in place?
- How is the extent of the system(s) to which the O&M estimate applies determined?
- Are all agencies responsible for operations and maintenance on the Federally supported system involved in the development of O&M estimates? Is their participation documented in a formal agreement?
- What types of historical data do you use as a basis for preparing O&M estimates? How are the data adjusted for time, location and other facility specific conditions?
- How is an "adequate" level of O&M determined? Are needs derived from a desired level of service or rating of asset condition? How many of the agencies involved have an asset management system?
- How are O&M costs for new facilities and services proposed in the long range plan or programmed in the S/TIP accounted for?
- Does staff responsible for the development of O&M estimates have a common understanding and approach?
- What types of training is provided to assist technical staff who are responsible for the development of O&M estimates?
- How are contingency amounts incorporated into the estimate? Are contingency amounts based on total estimated cost, identified risks, or some other variables?
- Are year of expenditure dollars used in the development of O&M estimates?
- Is documentation on inflation factors and reasons used provided?
O&M Estimate Reviews
- Is there a formal estimate review process within the DOT?
- Is there a formal estimate review process within the MPO?
- How do you verify an estimate?
- Is there a set of formalized or institutionalized procedures for conducting such reviews?
O&M Estimate Communication
- Is there a systematic program that is used to standardize estimating procedures and train those responsible for assembling the estimates?
- Who approves the long range planning O&M estimate at the DOT? At the MPO?
- Once approved, is the O&M estimate communicated to executive management and/or the public as a point estimate (one number) or as a range of values with an indication of reliability?
- Who approves the programming O&M estimate at the DOT? At the MPO?
- Once approved, is the programming O&M estimate communicated to executive management and/or the public as a point estimate (one number) or as a range of values with an indication of reliability?
- What formal mechanisms are in place for capturing and transferring knowledge about O&M estimating techniques?
- Are levels of service or ratings of facility condition expected for a given funding level communicated to the public? How?
O&M Estimating Management
- Are there established cost-reporting mechanisms to control changes resulting from system condition and performance after long range planning O&M estimates are prepared? If so, what are these?
- Are cost differences between the long range planning O&M cost estimates and the programming O&M cost estimates reconciled? Is this process documented?
- Are there established cost reporting mechanisms to control changes resulting from system condition and performance after programming conceptual cost estimates are prepared? Are these documented?
- What triggers an update of an O&M estimate during the long range planning and programming process? Are estimates updated on a periodic basis, when system condition and performance changes occur or through some other triggering mechanism?