Operations and Maintenance Assessment Checklist

Operations and Maintenance Assessment Checklist to Help Ensure Fiscal Constraint Requirements

August 21, 2009

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?

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?

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?

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?