Project Management and Controls Guide

Project Management and Controls Guide

Final Draft August 2014

Project Management & Controls Guide

ISSUE AND REVISION RECORD

Version / Revision Date Sections / Pages Comments 1.0 August 2014 All Initial Issue – Full Document

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CONTENTS ACRONYMS............................................................................................................................ VII

TERMS AND DEFINITIONS ......................................................................................................... XI

1 INTRODUCTION ............................................................................................................. 1-11.1 Background ............................................................................................................................. 1-1 1.2 Purpose and Objective ............................................................................................................ 1-2 1.3 Using this Guide ...................................................................................................................... 1-2 1.4 Changes .................................................................................................................................. 1-2 1.5 Project Categories ................................................................................................................... 1-2 1.6 CCTA’s Program of Projects .................................................................................................... 1-3 1.7 Funding Overview .................................................................................................................... 1-3 1.8 Program Management Organization ........................................................................................ 1-3 1.9 CIP Project Management and Delivery .................................................................................... 1-3 1.10 Program Management ............................................................................................................. 1-4

2 PROJECT ORGANIZATION AND PROJECT LIFE CYCLE ....................................................... 2-12.1 Governance, Stakeholders, and Project Delivery Partners ...................................................... 2-1 2.2 Project Life Cycle ..................................................................................................................... 2-2 2.3 Project Management Responsibilities ...................................................................................... 2-3

2.3.1 Deputy Executive Director, Projects ......................................................................... 2-5 2.3.2 Director of Projects .................................................................................................. 2-5 2.3.3 Agency Construction Manager ................................................................................. 2-5 2.3.4 Programming Manager ............................................................................................ 2-5 2.3.5 Project Delivery Manager ......................................................................................... 2-5 2.3.6 Construction Contract Manager ............................................................................... 2-7 2.3.7 Project Manager ...................................................................................................... 2-7 2.3.8 Project Control Manager .......................................................................................... 2-7 2.3.9 Funding Manager ..................................................................................................... 2-8 2.3.10 Project Control Specialist (EcoSys Administrator or ESA) ....................................... 2-8

3 PROJECT MANAGEMENT AND CONTROLS PROCESSES ..................................................... 3-13.1 Project Management Process .................................................................................................. 3-1 3.2 Project Controls Processes ..................................................................................................... 3-2

4 INITIATE AND PLAN PROJECT/PHASE .............................................................................. 4-14.1 Project Initiation Process ......................................................................................................... 4-1

4.1.1 Baseline Input Worksheet ........................................................................................ 4-2 4.1.2 Programmed Funding Worksheet ............................................................................ 4-6 4.1.3 Financial Input Worksheet ....................................................................................... 4-6 4.1.4 Approval and Data Entry of Project Initiation Documents ........................................ 4-6

4.2 Prepare/Update Project Management Plan ............................................................................. 4-7 4.2.1 Communication Strategy .......................................................................................... 4-7 4.2.2 Quality Assurance Plan ............................................................................................ 4-8 4.2.3 Work Breakdown Structure ...................................................................................... 4-8 4.2.4 Procurement Plan .................................................................................................... 4-8

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4.2.5 Risk Management .................................................................................................... 4-9 4.3 Secure Project Agreements ..................................................................................................... 4-9

4.3.1 Cooperative Agreements ......................................................................................... 4-9 4.3.2 Funding Resolutions .............................................................................................. 4-10 4.3.3 Consultant Agreements ......................................................................................... 4-10 4.3.4 Other Agreements.................................................................................................. 4-12

4.4 Set Up Cost Accounts............................................................................................................ 4-12

5 FUNDING AND PROGRAMMING ........................................................................................ 5-1 5.1 Include Project in Long-Range Transportation Plan (LRTP) .................................................... 5-1 5.2 Identify External Funding by Phase ......................................................................................... 5-1 5.3 Amend Project into the TIP ...................................................................................................... 5-2 5.4 Implement Additional, Specialized Programming Requirements ............................................. 5-2 5.5 Execute Appropriate Fund Authorization Actions .................................................................... 5-2

5.5.1 Federal Funds (Earmark, STP, CMAQ, VPP) .......................................................... 5-3 5.5.2 State Funds (STIP, STIP-TE, SLPP, etc.) ................................................................ 5-3 5.5.3 STIP Funds .............................................................................................................. 5-4 5.5.4 General Considerations for External Funds ............................................................. 5-4 5.5.5 Measure J Funds ..................................................................................................... 5-4

6 EXECUTE AND MONITOR WORK ...................................................................................... 6-1 6.1 Prepare and Approve Project Deliverables .............................................................................. 6-2 6.2 Review and Approve Progress Reports/Invoices ..................................................................... 6-2 6.3 Prepare Contract Status Reports ............................................................................................. 6-3 6.4 Project Status Reviews ............................................................................................................ 6-3

7 CHANGE CONTROL ....................................................................................................... 7-1

8 COST ACCOUNTING ...................................................................................................... 8-1 8.1 Enter Costs into LOGOS ......................................................................................................... 8-1 8.2 Assign Costs to Funding Sources ............................................................................................ 8-1 8.3 Confirm Entries for Month ........................................................................................................ 8-1 8.4 Import/Validate Actual Costs from LOGOS into EcoSys .......................................................... 8-2

9 QUARTERLY PROJECT REVIEW ...................................................................................... 9-1 9.1 Generate/Update Compass Report ......................................................................................... 9-3 9.2 Prepare Project Status Report Package .................................................................................. 9-3

9.2.1 Cover/Summary Sheet ............................................................................................. 9-4 9.2.2 Draft QPSR .............................................................................................................. 9-4 9.2.3 Compass Report, CSR, BIW and FIW ..................................................................... 9-4

9.3 Compile Quarterly Projects Summary...................................................................................... 9-4 9.4 Quarterly Project Review Meeting ........................................................................................... 9-4 9.5 Quarterly Project Status Report ............................................................................................... 9-5 9.6 Funding, Cash Flow, and Other EcoSys Reports .................................................................... 9-5

9.6.1 Project Control Plan, Detail Report .......................................................................... 9-5 9.6.2 Project Control Plan, Summary Report .................................................................... 9-5 9.6.3 Funding Plan Summary Report ................................................................................ 9-6

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10 CLOSE PROJECT/PHASE ............................................................................................. 10-1

APPENDICES APPENDIX 1 SUGGESTED REVISIONS FORM ................................................................ APP 1-1APPENDIX 2 RESPONSIBILITY AUTHORITY MATRIX ...................................................... APP 2-1APPENDIX 3 NOT USED ............................................................................................ APP 3-1APPENDIX 4 PROJECT INITIATION AND MANAGEMENT .................................................. APP 4-1APPENDIX 5 NOT USED .......................................................................................... APP 5-1APPENDIX 6 CONTRACT STATUS REPORT TEMPLATE .................................................. APP 6-1APPENDIX 7 BASELINE CHANGE REQUEST ................................................................. APP 7-1APPENDIX 8 ECOSYS PROCEDURES AND GUIDES ....................................................... APP 8-1APPENDIX 9 QUARTERLY PROJECT REVIEW ............................................................... APP 9-1APPENDIX 10 NOT USED .......................................................................................... APP 10-1

FIGURES Figure 2-1: CCTA Projects Department Organization ......................................................................... 2-3 Figure 3-1: Project Management Processes ....................................................................................... 3-1 Figure 3-2: Project Management and Controls Process Groups ......................................................... 3-3 Figure 4-1: Project Initiation Process .................................................................................................. 4-3 Figure 7-1: Baseline Change Process ................................................................................................ 7-3 Figure 9-1: Quarterly Projects Summary Process ............................................................................... 9-2

TABLES Table 2-1: CCTA Project Phases ....................................................................................................... 2-4 Table 4-1: Cost Estimating Methodology ........................................................................................... 4-5 Table 4-2: Support Costs Guide (as % of Construction Cost) ............................................................ 4-5 Table 7-1: Change Management Approval Levels ............................................................................. 7-1

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ACRONYMS A&E architectural and engineering AC Transit Alameda-Contra Costa Transit District APC Administration and Projects Committee (CCTA) BART San Francisco Bay Area Rapid Transit District BCR baseline change request BIW baseline input worksheet Caltrans California Department of Transportation CCA Guide Construction Contract Administration Guide CCTA Contra Costa Transportation Authority CIP capital improvement project CM construction management CMA Congestion Management Agency CMAQ Congestion Mitigation and Air Quality (Improvement Program) CMIA Corridor Mobility Improvement Account CMP Congestion Management Program Co-op cooperative agreement CSR CSS

contract status report construction support services

CT current contract CTC California Transportation Commission CTM Construction Contract Manager DEDP Deputy Executive Director, Projects DP Director of Projects DPR draft project report DQMP DSDC

design quality management plan design services during construction

EA environmental assessment EAC estimate at completion ESA EcoSys Administrator ETC estimate to complete EWA extra work authorization FA future agreements FIW financial input worksheet FM Funding Manager FY fiscal year LAPG Local Assistance Procedures Guidelines

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http://www.ccta.net/sources/detail/10/1


LAPM Local Assistance Procedures Manual LOGOS LRTP

CCTA Accounting System Long-Range Transportation Plan

MOU Memorandum (Memoranda) of Understanding MTC Metropolitan Transportation Commission NEPA National Environmental Policy Act NTP notice to proceed PA&ED project approval and environmental document PA Projects Administrator PCM Project Control Manager PCS Project Control Specialist PDM Project Delivery Manager PDT Project Development Team PFW programmed funding worksheet PID project initiation document PM Project Manager PMC Guide Project Management and Controls Guide PMO Program Management Organization PMP project management plan PR project report PrgM Programming Manager PSE plans, specifications, and estimate PSR project study report PSTR project status report QA Quality Assurance QC Quality Control QPS quarterly projects summary QPSR quarterly project status report RAM responsibility authority matrix RFP request for proposals RFQ request for qualifications ROW right-of-way RTP Regional Transportation Plan SAR summary action report SLPP State-Local Partnership Program STIP State Transportation Improvement Program STIP-TE State Transportation Improvement Program – Transportation Enhancement

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STP Surface Transportation Program TFCA Transportation Fund for Clean Air TIP transportation improvement plan VPP Value Pricing Pilot (program) WBS work breakdown structure WestCAT Western Contra Costa Transit Authority

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TERMS AND DEFINITIONS Base Contract Amount: The funds allocated to a project by the CCTA Board of Directors to

complete the specified scope of work; does not include extra work or contingency funds.

Baseline Estimate: The estimated cost to complete a project including a line item for each major phase; the baseline estimate is prepared at project initiation on the baseline input worksheet (BIW) and may be updated as the project progresses (reviewed quarterly and prior to beginning each new phase).

Board: The CCTA Board of Directors.

Board Chairman (Chair): The Chairman of the CCTA Board of Directors.

CCTA: The Contra Costa County Transportation Authority.

Compass Report: Primary project management report depicting costs to date, estimate to complete, and estimate at completion by phase and funding source. This EcoSys EPC output report is used to review project cost and expected expenditures (cash flow) at the contract level.

Contingency: A specified amount of funds set aside to cover items such as quantity overruns and unforeseen conditions encountered on a construction project. For CCTA construction contracts, the contingency is set to 10 percent of the construction contract value, unless otherwise directed by the Deputy Executive Director, Projects (DEDP).

Contract Amendment: A supplemental agreement to an existing contract to change specified scope, terms, or conditions of the contract, e.g. revise the scope of work, or extend the time of performance.

Contract Amount: The total not-to-exceed amount of a contract, including any amount(s) designated for contingency, extra work or supplemental work.

Construction Contract Manager (CTM): Responsible for managing assigned architectural and engineering (A&E), construction management (CM), and construction contracts. The CTM performs oversight of the CM firm and coordinates among the CM firm, CCTA, and other agencies and stakeholders.

Contract Status Report (CSR): A document that reports project performance at the contract level and identifies project issues and potential solutions. The CSR provides cost to date and schedule for each contract on a project and summarizes the budget and schedule variances from the baseline.

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Contract Variance: The mathematical difference between the contract amount and the estimate at completion for a contract.

Cooperative Agreement (Co-Op): A formal, legally binding contract between (or among) agencies. Co-Ops outline responsibilities and respective obligations (including cost sharing) of the participants. This contract may address more than just the project construction. Co-Ops and maintenance or ownership obligations are required when exchanges of funds or commitments of resources occur. Once signed by an authorized representative of the other party, the agreement becomes legally binding and becomes the highest authority in the hierarchy of contract documents.

Deficit: A negative funding balance, or funding shortfall, that occurs when a phase or project estimate at completion exceeds the programmed budget; the amount that a project or phase is underfunded.

Deputy Executive Director, Projects (DEDP): Responsible for the successful delivery of CCTA’s capital improvement program.

Director of Projects (DP): Responsible for project delivery oversight, contract management, and coordination of CCTA actions that may be necessary to keep individual projects moving.

EcoSys Administrator (ESA): Administers CCTA’s EcoSys EPC project control software.

EcoSys EPC: CCTA’s project control software system.

Encroachment Permit: A permit issued by Caltrans granting permission to enter the state right-of-way (ROW) and construct approved facilities. An encroachment permit is an enforceable contract when accepted by the permittee. An encroachment permit does not convey a real property right. It authorizes only the permittee or permittee’s agent to perform work within the state ROW. The permittee may not transfer or assign an encroachment permit to another party.

Estimate at Completion (EAC): The unconstrained total estimated cost at completion of a contract. The EAC is independent of (not financially constrained by) the programmed budget and contract amount(s) and may be rolled up to a phase or project level for reporting purposes.

Estimate to Complete (ETC): The unconstrained estimated cost to complete a contract from a defined date through to completion. The ETC is independent of (not financially constrained by) the programmed budget and contract amount and may be rolled up to a phase or project level for reporting purposes.

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Expended to Date: The total amount expended on a project, phase, contract, or activity up to a defined end date.

Expenditure Plan: Contra Costa’s Transportation Sales Tax Expenditure Plan – Measure J. Published in 2004, the Expenditure Plan identifies the specific capital improvement projects and other programs to be funded by Measure J and the planned funding allocations for each.

Extra Work: A budgeted line item in a contract to set aside funds for potential added scope items. Funds for extra work are reallocated from the extra work budget to other contract line items upon approval of an extra work authorization (EWA).

Extra Work Authorization (EWA): The form and approval process for authorizing Extra Work on a contract.

Funding Manager (FM): Manages CCTA’s external revenues for all departments and serves as a LOGOS resource.

LOGOS: CCTA’s accounting software system.

Measure C: The half-percent sales tax initiative, with a 20-year sunset, passed by the voters of Contra Costa County in 1988 to create the CCTA management authority, specifically for funding, planning, designing, and constructing transportation improvement projects within the county.

Measure J: Passed by Contra Costa County voters in 2004, it is a continuation of the Measure C sales tax measure. The measure started on April 1, 2009, and will be in effect through March 31, 2034.

Projects Administrator (PA): Assists with contract management, and invoice review and processing. The PA reviews all invoices for mathematical accuracy and appropriate backup and may assist with LOGOS entry.

Programmed Budget: The amount of funds assigned to a project phase. These are actual funds and defined at the source level.

Programmed Budget to EAC Variance: The mathematical difference between the programmed budget and the estimate at completion for a phase or project.

Programming Manager (PrgM): Responsible for programming CCTA’s funds to activities, contracts, phases, and projects.

Project Control Manager (PCM): Collaborates with Project Delivery Managers (PDMs) to assess and help improve project delivery performance. The PCM is responsible for compiling the Quarterly Projects Summary (QPS) in close coordination with the PDMs

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and acts as a resource for PDMs and Construction Contract Managers (CTMs) in navigating through potential issues and in achieving project management and controls consistency.

Project Control Specialist (PCS): Responsible for portions of the project control system and coordination with the LOGOS accounting system (this role may be filled by the EcoSys Administrator). The PCS supports managers and executives on the program by providing data and reports, generally from the EcoSys EPC system.

Project Data Date: The data entry cutoff date for updating the reported LOGOS expenditures into the EcoSys EPC software (shown on the Compass report). The project data date is generally set at the end of each month for all projects unless special mid-month reporting is requested.

Project Delivery Manager (PDM): Responsible for the overall delivery of a project from initiation through construction. The PDM most often administers CCTA contracts with outside planning, design and construction management consultants in the delivery of a project and coordinates with the CTM and CM firm after construction begins.

Project Life Cycle: The series of phases that a project passes through from its initiation to its closure.

Project Manager (PM): Manages his or her team (consultant or Caltrans), under agreement, to deliver specific services and deliverables.

Project Status Report (PSTR): The primary project level report used in the quarterly project review, it includes the following elements: cover/summary sheet; draft QPSR; Compass report; and current CSRs, BIW, and FIW for the project.

Quarterly Project Status Report (QPSR): A standardized project summary document used for reporting project status to the APC and Board on a quarterly basis.

Quarterly Projects Summary (QPS): The primary program-wide report used in the Quarterly Project Review meeting, prepared by the PCM, which summarizes all of the CIP projects in a single document.

Risk Register: A document (typically a spreadsheet) that contains the results of a qualitative and/or quantitative risk analyses and corresponding potential mitigations.

Strategic Plan: The blueprint for the delivery of projects included in the Measure J Expenditure Plan. Updated approximately every 2 years, the Plan guides the timing of Measure J expenditures based on assumptions about future sales tax revenues, debt service costs on proposed bonds, and project schedules.

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Summary Action Report (SAR): A summary list of action items and need-to-know information for the PrgM, DP, and DEDP prepared quarterly for all active CCTA capital improvement projects. A SAR is prepared for each project by the Project Delivery Manager (PDM), and a program-wide SAR is prepared by the Project Control Manager (PCM) upon reviewing all individual project SARs. The SAR is a key component of the quarterly projects summary (QPS).

Supplemental Work: The anticipated work within the scope of the project that is included in the engineer’s estimate for a project to cover work of such an uncertain nature that it cannot be quantified as a contract bid item.

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1 INTRODUCTION

1.1 Background The Contra Costa Transportation Authority (CCTA) was originally formed to manage the funds generated by the half-cent transportation sales tax that Contra Costa County voters enacted in 1988, and to oversee the implementation of the Measure C Expenditure Plan. In 2004, the sales tax was renewed for an additional 25 years (beginning on April 1, 2009, through March 31, 2034), and a new expenditure plan, the Measure J Expenditure Plan, was adopted.

As Contra Costa County’s transportation sales tax agency, CCTA oversees the design and construction of the transportation projects included in the Expenditure Plans, carries out the programs included in the Expenditure Plans (most notably, the county’s Growth Management Program), and provides the financial structure that ensures the optimum use of the sales tax dollars as intended by the voters.

In 1990, CCTA took on the role of Contra Costa County’s Congestion Management Agency (CMA). In that capacity, CCTA is the primary transportation planning agency for Contra Costa County and is responsible for prioritizing the county’s share of available federal, state, and regional transportation funds. As the CMA, CCTA prepares the county’s Congestion Management Program (CMP), monitors levels of service on the county’s roadways, and works with other CMAs and agencies to address regional issues. The most recent CMP was adopted in 2013.

In 1992, CCTA was designated Contra Costa’s Program Manager for the return-to-source portion of the regional Transportation Fund for Clean Air (TFCA). In this capacity, CCTA is responsible for allocating approximately $1.3 million annually for projects that reduce air pollution caused by motor vehicles.

To deliver the projects included in the Measure J Expenditure Plan, the Measure J Strategic Plan (Strategic Plan) was developed. The Strategic Plan, updated approximately every 2 years, guides the timing of Measure J expenditures based on assumptions about future sales tax revenues, debt service costs on proposed bonds, and project schedules.

The Strategic Plan also fulfills three objectives related to the expenditure of sales tax funds generated by Measure J:

It provides a revenue correction by revising the overall estimate of anticipated sales tax revenues expected to be generated.

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It includes policies to guide the overall programming of projects and implementation of Measure J.

It makes financial commitments to individual projects by fiscal year.

Operationally, CCTA is divided into four disciplines: Planning, Programming, Finance and Administration, and Projects. This Project Management and Controls (PMC) Guide was prepared under the supervision of the Projects discipline, and although it focuses primarily on delivering capital improvement projects (CIPs), it includes facets of the other three disciplines.

1.2 Purpose and Objective This PMC Guide provides guidance, direction, and operational tools for program and project management staff to effectively and uniformly administer and deliver CCTA’s CIPs. It is intended as an operational guide that details the key functional positions within the program management organization, as well as the key processes and tools to effectively and efficiently manage projects and the overall Program. In addition to the PMC Guide, the Construction Contract Administration Guide (CCA Guide) provides guidance and tools for the procurement, administration and oversight of construction contracts and the Local Agency Guide provides guidance for local agency projects funded through CCTA.

1.3 Using this Guide This guide is intended to be used as a tool for guidance and to consolidate information, forms, templates, and references into a single location for ease of use. It is generally arranged as a project would flow from initiation through completion, and it includes several process flows to graphically depict specific aspects of information exchange and approvals. The appendices are numbered to correspond to the chapter numbers for easy reference.

1.4 Changes This guide is a living document to be updated periodically to incorporate revisions, clarifications, and changing policies, laws, and procedures. Suggested revisions or clarifications should be requested by completing the Suggested Revisions form provided in Appendix 1 and submitting it to the Director of Projects (DP). The DP reviews such requests for revision and determines if an update to the guide is warranted and when such updates will be published.

The Version and Revision Record preceding the table of contents in this guide is used to track the initial issuance of the guide and subsequent updates.

1.5 Project Categories Two categories of projects are overseen by CCTA as part of this program:



CCTA Administered: Projects in which CCTA has an active role in project delivery through contracting and administering the design, construction, and/or construction management

Local Agency: Projects delivered by local agencies or regional transit agencies for which CCTA provides funding. This PMC Guide is intended for use primarily for the first category of projects; the Local Agency Guide is to be used for projects in the second category.

1.6 CCTA’s Program of Projects The primary mission of CCTA is to deliver the Program of Projects outlined in CCTA’s Transportation Sales Tax Expenditure Plan and detailed in the current Strategic Plan. However, CCTA also enters into agreements with other agencies to deliver projects that are not included in the Strategic Plan, such as the State Route 4/160 interchange. Project types include freeways, transit systems, multimodal transit, local streets, and bicycle and pedestrian facilities located in Contra Costa County. CCTA updates the Strategic Plan approximately every 2 years, thus committing funding to specific projects for a specific period (usually 4 to 7 years).

1.7 Funding Overview Typically, the projects in the Strategic Plan are funded through a combination of federal, state, local and Measure (C and J) funds. A primary focus of the program (and benefit of establishing the CCTA) is to leverage the local sales tax revenues that comprise the Measure funds and seek other funds to plan, design, and construct infrastructure projects within the county. From an operational standpoint, the CCTA approach is to program funds at the project level so that funds other than Measure funds are expended first. As a project progresses through the pre-construction phases, additional funding sources may become available, potentially allowing Measure funds programmed to the project to be re-programmed to another project, further leveraging the available Measure funding resources. This funding flexibility has enabled CCTA to leverage the Measure funds to greatly increase the size of the overall Program and ultimately deliver more projects.

1.8 Program Management Organization Since 1989, CCTA has contracted with a consultant firm to provide program management assistance and to administer planning, design, construction, construction management and other contracts. Collectively, the combined CCTA/consultant staff is known as the Program Management Organization (PMO).

1.9 CIP Project Management and Delivery The Project Delivery Manager (PDM) is responsible for management and oversight of assigned CCTA CIP projects typically from project initiation, or CCTA acceptance of the project from



another agency, through construction completion. The PDM may be a CCTA employee or a PMO consultant serving as an extension of CCTA staff.

The PDM typically performs contract management and oversight of planning, design, and other professional services firms contracted directly with CCTA to perform such services. The PDM also acts as the CCTA representative responsible for coordination with other agencies (Caltrans, utility companies, local agencies, and other stakeholders). Although the PDM acts as the primary point of contact and champion for the project, he/she does not have authority to enter into agreements representing CCTA. Thus, it is imperative that the PDM communicate pertinent information to the appropriate CCTA staff and executives to facilitate decision making processes to keep projects on schedule and within budgetary expectations.

1.10 Program Management Program management is the coordination and management of a group of related projects or subprograms in order to obtain benefits and control that are not available from managing them individually. The commonalities among projects for the CCTA Program are that they are within the geographical area of Contra Costa County, fall under the authority of CCTA as the project sponsor, and are funded at least partially with monies that flow through CCTA. The CCTA program of CIP and local agency projects is overseen by the PMO, which focuses on the following primary objectives:

Establish and implement business strategies, objectives, and project and financial controls. Initiate, prioritize, fund, manage, and deliver projects within the program. Assist local agencies with implementing projects funded through CCTA. Leverage the use of Measure funds within the program. Prepare quarterly and other periodic reports to provide to the Board.



2 PROJECT ORGANIZATION AND PROJECT LIFE CYCLE Because CCTA does not ultimately own the infrastructure that it constructs, CCTA projects involve other governmental agencies and stakeholders. Understanding this broader context helps ensure that work is carried out in alignment with CCTA’s goals and managed in accordance with CCTA’s established practices.

2.1 Governance, Stakeholders, and Project Delivery Partners Governance focuses on CCTA’s fiduciary responsibility to ensure the optimum use of Measure sales tax dollars as approved in the Expenditure Plan(s) and Strategic Plan(s). No other agency has that responsibility. However, CCTA depends on close collaboration with stakeholders to deliver projects on facilities that CCTA’s project delivery partners will own and operate.

A stakeholder is an individual, group, or organization that may affect, be affected by, or perceive itself to be affected, by a decision, activity, or outcome of a project. Stakeholder identification is a continuous process throughout the entire project life cycle. Identifying stakeholders, understanding their relative degree of influence on a project, and balancing their demands, needs, and expectations are critical to the success of the project. Failure to do so can lead to delays, cost increases, unexpected issues, and other negative consequences, including project cancellation. Stakeholders may be actively involved in the project or have interests that may be positively or negatively affected by the performance or completion of the project. Different stakeholders may have competing expectations that might create conflicts within the project. Stakeholders may also exert influence over the project, its deliverables, and the project team to achieve a set of outcomes that satisfy strategic business objectives or other needs.

A project delivery partner has a vested interest in the project which may be financial contributions, jurisdictional requirements, or future maintenance responsibilities. The influences of these various stakeholders in relation to the project requirements must be managed to ensure a successful outcome.

A project’s governance is defined by and fits within the large context of the program or organization sponsoring it, but it is separate from organizational governance. Project governance is critical to the successful management of stakeholder engagement and the achievement of CCTA’s objectives. It enables CCTA to consistently manage projects and maximize the value of project outcomes and align the projects with business strategy throughout the project life cycle (refer to Section 2.2, Project Life Cycle).

Project delivery partners may include Caltrans, transit or other special districts (e.g., Bay Area Rapid Transit [BART], Alameda-Contra Costa Transit District [AC Transit], Tri-Delta Transit, County Connection, Western Contra Costa Transit Authority [WestCAT]), Contra Costa County, and the cities within Contra Costa County.



Project governance provides the framework in which the project management team and sponsors can make decisions that satisfy both stakeholder needs and expectations and CCTA’s strategic objectives, or address circumstances in which these may not be in alignment. It provides the project management team with structure, processes, and decision-making models and tools for managing the project—typically described in the project management plan (refer to Section 4.2, Prepare Project Management Plan)—while supporting and controlling the project for successful delivery.

Within the constraints of documented policies, procedures, and standards; responsibilities; authorities; time; and budget, the project management team must determine the most appropriate method of carrying out the project. Although project governance is the framework in which the project team performs, the project management team is still responsible for planning, executing, controlling, and closing the project.

2.2 Project Life Cycle A project life cycle is the series of phases through which project passes from its initiation to its closure. The phases are generally sequential, and their names and numbers are determined by the management and control needs of CCTA or other agencies involved in the project (e.g., Caltrans), the nature of the project itself, and its area of application. The phases can be broken down by functional or partial objectives, intermediate results or deliverables, specific milestones within the overall scope of work, or financial availability. Phases are generally time bounded, with a start and ending or control point. Although every project has a definite start and a definite end, the specific deliverables and activities that take place in between vary widely with the project. The life cycle provides the basic framework for managing the project.

A project may be divided into a number of phases, and each phase is a collection of logically related project activities that leads to the completion of one or more deliverables. A phase may emphasize processes from a particular project management process group (refer to Section 3), but it is likely that most or all processes will be executed in some form in each phase. Project phases typically are completed sequentially, but they can overlap in some situations. Different phases typically have a different duration or effort.

The phase structure also allows the project to be broken down into logical subsets for ease of management, planning, and control. The number of phases, the need for phases, and the degree of control applied depend on the size, complexity, and potential impact of the project. Regardless of the number of phases comprising a project, all phases have similar characteristics:

The work has a distinct focus that differs from any other phase. This often involves different organizations, locations, and skill sets.

Achieving the primary deliverable or objective of the phase requires controls or processes unique to the phase or its activities. The repetition of processes across all seven process



groups (refer to Section 3, Project Management and Controls Processes) provides an additional degree of control and defines the boundaries of the phase.

The closure of a phase ends with some form of transfer or handoff of the work product produced as the phase deliverable. This phase end represents a natural point to reassess the activities in progress and to change or terminate the project, if necessary. This point often is referred to as a milestone. In most cases, the closure of a phase must be approved in some form before it can be considered closed.

At CCTA, the life cycle of each project from inception to construction is defined by CCTA’s standard development phases as depicted in Table 2-1. These phases are also used in the CCTA’s cost accounting system (LOGOS) and in its project controls system (EcoSys).

2.3 Project Management Responsibilities At CCTA, the Project Delivery Manager (PDM) has the primary responsibility for project management from inception through construction closeout. The PDM reports to the Director of Projects (DP) and is assisted by the Programming Manager (PrgM), Funding Manager (FM), Agency Construction Manager (ACM), Construction Contract Manager (CTM), Project Control Manager (PCM), and Project Control Specialist (PCS)/EcoSys Administrator (ESA) in managing the project for CCTA. Each of these positions is described below, and Figure 2-1 illustrates the functional organization of the Projects Department. The Responsibility Authority Matrix (RAM), shown in Appendix 2, illustrates the responsibilities of CCTA’s project management team members in completing project tasks or deliverables, by phase.

Figure 2-1: CCTA Projects Department Organization



Table 2-1: CCTA Project Phases Phase Code Title Description Objective

PRJM Project Management

Planning, oversight, and management of the project and related controls for the life of the project. This work is performed by the Project Delivery Manager and the Contract Manager.

Ensure that the project is delivered in accordance with the project management plan.

STU Studies Prior to Environmental

Engineering and planning activities provided by consultants and/or delivery partners prior to beginning of environmental phase. For state system projects, this would be work performed as part of the Project Initiation Document (PID), Project Study Report (PSR), etc.

Document purpose and need and establish the scope, cost, and schedule for project.

EIR Environmental Clearance

Preliminary engineering and planning activities provided by consultants and/or delivery partners related to preparation and approval of project environmental document. For state system projects, this would be work performed as part of Project Approval and Environmental Document (PA&ED) phase.

Provide sufficient information to enable a reasoned choice among project alternatives; document Caltrans approval of project.

PSE Design Preparation of plans, specifications, estimates, and related services by consultants and/or delivery partners necessary to advertise and award construction contract. Related services include, permitting, utility relocation coordination, ROW engineering, among others.

Provide clear description of what will be constructed to allow a competent contractor to bid and build the project.

ROW Right-of-Way Services

Services provided by consultants and/or delivery partners related to the preparation of appraisals, offers, negotiation, and acquisition of real property.

Acquire all property required to construct the project, including permanent, temporary and utility easements within the project limits. ROWC Right-of-Way

Capital The capital cost of real property acquired for project.

UTL Utilities Engineering and capital cost of utility relocations incurred by an impacted utility company as a result of project when those costs are reimbursable in accordance with an executed utility or franchise agreement.

Determine impacts to utilities and develop utility agreements to resolve facilities in conflict with the project.



Phase Code Title Description Objective

CON Construction Construction activities and material provided by contractor in accordance with construction contract.

Build transportation improvement in compliance with all legal and contractual requirements as efficiently as possible while allowing contractor to make a fair and reasonable profit.

CSS Construction Services

Construction management services, including survey staking and materials testing by CM consultant and design services during construction by design consultant of record.

Ensure that contractor builds transportation improvement in accordance with the contract documents.

2.3.1 Deputy Executive Director, Projects The DEDP is the CCTA person in responsible charge for the development and delivery of projects, including project controls and other reporting requirements to the Executive Director, and the Board.

2.3.2 Director of Projects The DP manages CIP project delivery for CCTA from project inception through to advertisement for construction. The PDMs report to the DP for all project related issues and decisions required of CCTA.

2.3.3 Agency Construction Manager The ACM manages CIP project construction contracts for CCTA from advertisement for construction through construction completion. The CTMs report to the ACM for a construction and contract related issues and decisions required of CCTA.

2.3.4 Programming Manager The PrgM manages CCTA’s financial programming of projects and coordinates closely with CCTA’s executive management and finance staff to ensure that projects are appropriately funded within constraints of various laws, regulations and fund source requirements. The PrgM works closely with the DP, FM and PDMs throughout the project delivery cycle.

2.3.5 Project Delivery Manager The PDM’s mission is to ensure that each CCTA project assigned to him/her is delivered in line with the planned scope, budget, and schedule and that it meets the expectations of CCTA executive management and, ultimately, the Board. As the team leader of the project management activities of CCTA and its project delivery partners, the primary responsibilities of the PDM are as follows:



Ensure the project meets the criteria and requirements defined in the appropriate source documents (e.g., project study report [PSR], project report [PR], environmental documents, expenditure plan, and strategic plan)

Procure and manage consultant contracts and other project agreements for services.

Maintain project delivery schedule by managing contract performance, project communication, negotiation and issue resolution.

Build consensus among delivery partners and stakeholders when issues or conflicting project priorities arise.

Manage project risk through development and management of a risk register and anticipating potential project pitfalls that can lead to increased costs or project delays and aggressively manage such risks.

Facilitate program management activities through accurate and collaborative project controls reporting.

The PDM ensures that a project management plan (PMP) is developed for the life of the project. Typically, the PDM coordinates procurement of required services and manages the consultant contracts and other agreements associated with the project, working closely with the consultant’s project manager (PM). The PDM communicates the contract quality assurance (QA) requirements, monitors the contract performance with the contract status report (see Section 6.3), and works closely with CCTA and the project control staff. The PDM typically engages the Construction Contract Manager (CTM) at the 65 percent design plans, specifications, and estimates (PSE) submittal to coordinate a constructability review by the CM firm. Refer to the Construction Contract Administration Guide for additional information on the role of the CTM.

With many external parties involved, the PDM must be an effective communicator with steady leadership, negotiation, problem-solving, and team-building skills. An effective and successful PDM must be prepared to resolve conflict and to demonstrate effective interpersonal communication skills.

It is critical to the success of a project to manage stakeholder expectations, although the various stakeholders often have different or conflicting objectives. The PDM must balance these interests and ensure that the project team interacts with stakeholders in a professional and cooperative manner and must document major decisions made as a result of the involvement of project delivery partners and stakeholders.

The PDM compiles the estimated costs of each phase of a project on the baseline input worksheet (BIW; Section 4.1.1) and coordinates the funding for each phase through the Programming Manager and the Funding Manager (FM). The PDM uses the processes and tools defined in this guide to monitor project performance at the project, phase, and contract levels



including cost, schedule, and earned value. The PDM is responsible for setting realistic and achievable boundaries for the project and accomplishing the project within the approved baselines.

In line with CCTA’s core values of transparency and accountability to stakeholders, the PDM works closely with the finance and project controls staff to provide monthly and quarterly reporting and communication regarding project status and potential project risks and mitigation plans. The PDM will provide input on CCTA’s overall fiscal year budgeting process and will work with the PM to create and periodically update the project’s strategic plan fact sheet.

2.3.6 Construction Contract Manager The CTM is typically engaged on the project at the 65 percent PSE design submittal and coordinates the constructability review by the CM firm. From this point forward the CTM provides contract oversight for the CM firm through the construction of the project.

2.3.7 Project Manager The consultant or Caltrans PM manages its team (consultant or Caltrans) to deliver specific services and deliverables. The PM coordinates directly with the PDM. Based on CCTA’s project objectives, the PM establishes a detailed work breakdown structure (WBS), scope, schedule, and budget required to provide the necessary services and deliverables associated with a specific contract. The PM develops a project management plan, manages the execution of the work, manages resources, and identifies potential contract change orders or amendments and the need for supplemental agreements. On a quarterly basis, or as requested by the PDM, the PM prepares a percent of work completed and an estimate to complete (ETC) for the contract.

2.3.8 Project Control Manager The PCM works closely with the PDM, PCS/(EcoSys Administrator [ESA]), Programming Manager, and FM with regard to the project control system. The PCM coordinates closely with CCTA executive management to ensure that the project control system provides the information needed to effectively plan and monitor project delivery. Upon project initiation, the PCM reviews the baseline estimates and schedules and facilitates their approval. The PCM is the custodian for ensuring that the PDMs generate the project status reports (PSTRs) promptly each quarter. The PCM reviews each PSTR package to assess project performance and risks, and generates the program-wide quarterly projects summary (QPS).

The PCM also ensures that CCTA’s project management and control processes and procedures are understood and consistently used. As needed, the PCM coordinates with functional units (e.g., project management, controls, and finance) to identify, refine, and implement project control processes and tools. The PCM will become involved with specific projects, as needed, to assist the PDM in resolving project issues that could impact cost, schedule, and funding.



2.3.9 Funding Manager The FM manages CCTA’s external revenues for all departments and serves as a LOGOS resource. The FM coordinates closely with CCTA’s finance staff to ensure appropriate contract and purchase order set-up in LOGOS and provides as-needed adjustments to invoice coding. The FM is also responsible for processing reimbursement requests submitted to the various funding agencies consistent with the funding agreement provisions, and also maintains the Reimbursement Register in EcoSys. The FM is responsible for the single audit element of the CCTA’s financial audit and for providing revenue estimates for budget development and cash flow forecasting.

The FM enters, or works with the ESA to enter, funding agreements into EcoSys (actual and future) and maps them to eligible project phases. Following the CTM’s cost updates, the FM works closely with the ESA to assign the ETC costs to the fund sources available and approved to pay the projected ETC costs.

The FM also serves as the coordinator for CCTA’s federal procurements (requests for proposals [RFPs] and contracts) in accordance with the Caltrans Local Assistance Procedures Manual [LAPM], including development of contract disadvantaged business enterprise goals.

2.3.10 Project Control Specialist (EcoSys Administrator or ESA) The ESA maintains the EcoSys project control system and coordinates closely with the CTM and PDM to ensure that project costs, schedule, and funding are updated and reported regularly. When a new project or phase is initiated, the ESA receives the BIW and the Financial Input Worksheet (FIW; see Sections 4.1.1 and 4.1.3) and enter the data into the EcoSys project control system. On a monthly basis, the ESA imports actual project costs from the LOGOS accounting system and validate the data to ensure that costs are assigned correctly to projects, phases, and contracts. On a quarterly basis, or as otherwise needed, the ESA generates a Compass report and work with the PDMs/CTMs to update an ETC for each active contract and all planned future agreements that may result in a cost to the project. As requested, the PCS provides various project status reports.



3 PROJECT MANAGEMENT AND CONTROLS PROCESSES

3.1 Project Management Process To facilitate coordination, project management requires that each project delivery process be appropriately aligned and connected with other processes. Actions taken during one process typically affect that process and other related processes. For example, a scope change typically affects project cost, but it could also affect the schedule, communication management plan, or level of risk. Successful project management requires actively managing these interactions to meet project requirements and to keep the stakeholders informed. In some circumstances, a process or set of processes must be iterated several times to achieve the desired outcome.

Project management processes are grouped into three main categories—a beginning, a middle, and an end—as shown in Figure 3-1.

Figure 3-1: Project Management Processes



Beginning – Initiating Processes: Processes performed to define a new project or a new phase of an existing project by obtaining authorization to start the project or phase. These processes include establishing the scope of the project, refining the project objectives, securing agreements and funding approvals, and defining the course of action required to attain the project objectives.

Middle – Monitoring and Controlling Processes: Processes performed to complete the work defined in the project management plan to satisfy the project requirements. These processes also include tracking, reviewing, and regulating project progress and performance. Monitoring processes often leads to identifying where changes to the plan may be required.

End – Closing Processes: Processes performed to formally close the project or phase, including acceptance of deliverables, contracts closeout, and documentation of lessons learned.

3.2 Project Controls Processes Project controls are an established set of policies, processes, and tools to consistently manage, evaluate, and document the evolution and performance of a project or discrete elements of a project, such as a project phase or individual contract. The CCTA project controls system is outlined in Figure 3-2 on the following page. Figure 3-2 is divided into subprocesses (numbered 4 through 10) that correspond to the chapters in this guide that provide more detailed information on a particular subprocess.



Figure 3-2: Project Management and Controls Process Groups



4 INITIATE AND PLAN PROJECT/PHASE

The Initiate and Plan Project/Phase Process Group consists of processes performed to establish the total scope of the effort, define or refine the objectives, and develop the course of action required to attain those objectives. Within the Initiate and Plan Project/Phase Process Group, baseline project costs are established by phase and financial resources are committed. Internal and external stakeholders who will interact and influence the overall outcome of the project are identified and involved as needed. Engaging the project sponsors and stakeholders during initiation creates a shared understanding of success criteria and generally improves project acceptance and stakeholder satisfaction. This process group performs the following tasks:

Prepare project initiation documents, which include the BIW, the Programmed Funding Worksheet (PFW), and the FIW, and have them reviewed and approved by the DP and DEDP.

Prepare or update the PMP that will guide the delivery of the subsequent phases of the project.

Prepare the necessary project agreements with consultants, contractors, and other agencies that will execute the work.

Create or update contract-based accounts in LOGOS and EcoSys.

4.1 Project Initiation Process After the DEDP has given approval to initiate a project or phase, the PDM completes the project information and cost portions of the project initiation documents, and the PrgM and FM complete the funding portions. The project initiation documents include the BIW, PFW, and FIW. These documents serve two purposes:

They function as the CCTA review/approval documents that are routed through the Director of Projects (DP) and the Deputy Executive Director, Projects (DEDP) for review and approval.

4.2 Update Project Mgmt. Plan (PMP)

4.3 Secure Project Agree-ments

Prepare Board Resolution

APC and Board Approval

Execute Agree-ments

4.4 Set up Accounts (LOGOS/ EcoSys)

Approval to Initiate

Phase

4.1 Project Initiation Process



Once approved, they become the input worksheets used by the ESA to enter the information into EcoSys.

The worksheets and their relation to the project initiation process are described below. Worksheet templates and completed sample forms are included in Appendix 4. The project initiation process is detailed in Figure 4-1.

4.1.1 Baseline Input Worksheet The PDM completes the initial BIW using information contained in the project source documents, such as the project study report (PSR), project report (PR), or other available documents. The BIW includes a scope description, project cost by phase, anticipated begin and end dates for each phase, risks/opportunities, an escalation rate, a notes section to list assumptions, and a signature block to facilitate approval by the DP and DEDP. When complete, the PDM submits the BIW to the PrgM and the FM, who assign funding to the phases of the project.

It should be noted that the BIW form, which represents scope, schedule, and project costs, has been purposefully separated from the funding forms that assign funding to each phase of a project. This differentiation avoids the temptation of “squeezing the estimate” to fit the budget for a phase or project. The BIW template and a sample completed form are included in Appendix 4. Additional details on completing the various sections of the BIW are discussed below in the following subsections.

4.1.1.1 Project Scope

The scope is a concise statement that summarizes the overall scope and defines the objectives of the project, including the transportation routes involved, the length and width of the proposed construction, potential construction phases, major structures, high-risk utilities, related projects, unique features and the proposed project alternatives. This information should be consistent with the latest project development document (e.g., feasibility study, PID, or PR).



Figure 4-1: Project Initiation Process



4.1.1.2 Capital Cost Estimate

With substantial assistance from design consultants and project delivery partners, the PDM is responsible for completing (or updating) the BIW to include the current capital cost estimate for the project and delivery schedule. The estimate must be supported by an approved planning or engineering document (e.g., PSR, PR, or engineer’s estimate). As the project develops, the estimating methodology is adjusted to reflect the best available project information, as shown in Table 4-1. The estimate is to be derived from a formal, documented process; CCTA follows the Cost Estimating Guide, 2008 Update, which is consistent with the methodology described in Caltrans’ Project Development Procedures Manual, Chapter 20. Deviating from these documents requires concurrence of the DP and approval by the DEDP. The PDM reviews the engineer’s estimate against the current baseline estimate at each submittal of the plans, specifications, and estimates (PSE), or when other information becomes available that will have a significant impact on costs, funding, or schedule. Construction costs are escalated to the middle of the construction period in accordance with Table 4-1, using the escalation rate as determined by the PrgM.

At the 95 percent PSE stage of project development, the PDM will work with the PrgM, DP and ACM to develop a bidding strategy to ensure that adequate funding in secured to construct the project and to mitigate any potential risks that the construction bids, and ultimately the cost to construct the project, are within the eligible funding sources. The primary purpose is to ensure “no surprises” at bid opening with bids beyond the available funds for the project. A bidding strategy may include base plus additive scope (“A + B”) bidding, phasing the project, or some other means to ensure that the project moves forward with minimal risk of having to reject all bids due to lack of funds. The bidding strategy shall be reviewed and approved by the DEDP prior to Board action to advertise the project for construction.

4.1.1.3 Support Cost Estimates

Similar to capital cost estimating, various methods to estimate support costs are used and measured against experience and historical norms. This typically includes support costs as a percentage of the construction cost, as shown in Table 4-2.



Table 4-1: Cost Estimating Methodology

Approval Documentation Contingency, % Cost

Escalation Planning Document 30–50 Yes Project Study Report (PSR) 25 Yes Draft Project Report (DPR) 20 Yes Project Report (PR) 15 Yes

Design (PSE)

35% 15 Yes 65% 10 Yes 95% 10 No Final Engineer’s Estimate 10 a

a.With firm construction start identified, adjust unit costs of bid items to account for market conditions and year of construction, if needed.

Table 4-2: Support Costs Guide (as % of Construction Cost)

Project Phase Support Cost, % PM Oversight Cost, % Total Support Cost, % Preliminary Studies (PSR) 1–2 1 2–3 Environmental (PA&ED) 3–5 1–2 4–7 Design (PSE) 8–12 2–3 10–15 CSS (CM + DSDC) 15–18 2–3 17–21 Total 27–37 6–9 33–46 Note: These percentages serve as a guide only. Cost may vary for several reasons, e.g., complexity of work, number and level of involvement by stakeholders..

4.1.1.4 Milestone Schedule

The PDM fills in the expected start and end dates for each project phase and major delivery milestone. The construction start date will be entered as the bid advertisement date, and the end date entered as the contract acceptance date. The construction support services (CSS) start date will be entered as 6 months prior to the construction start date, and the end date as 6 months after the contract acceptance date.

4.1.1.5 Project Risks, Opportunities, and Assumptions

The completed BIW should identify and summarize features or issues that could affect the baseline costs or schedule. Assumptions made to prepare the work plan should be clearly stated.



4.1.2 Programmed Funding Worksheet Upon receiving the BIW from the PDM, the PrgM and FM work together to complete an initial funding assessment to examine potential funding sources in relation to the project scope, costs, and schedule for each phase of the project. The PrgM and FM complete the PFW, which summarizes the funding of each project phase by funding source. The PFW template and a sample completed form are included in Appendix 4.

If sufficient funding is available to fund all project phases, the project is considered fully funded (for the purposes of project initiation). The initiation process then continues with the PDM finalizing the BIW and cost portions of the FIW and submitting them to the PrgM and FM.

If sufficient funding is not available, the DP is consulted to determine the next course of action.

4.1.3 Financial Input Worksheet If sufficient funding is available for the project, the PrgM sends the completed PFW to the PDM, who revises the BIW, if necessary, and completes the cost portions of the FIW with as much contract level detail as possible under each project phase. Contracts are coded “CT” to designate those that have been awarded or “FA” to designate future agreement, and the costs for each contract are spread over the fiscal years in which the funds are anticipated to be expended. When the BIW and FIW spreadsheets are complete, the PDM submits them to the PrgM and FM to complete the funding portions at the contract and phase level on the FIW.

Funding is only assigned to a phase or contract, not to a future agreement (FA). As contracts are awarded, funding is shifted from the phase balance to the contract. Only “real” programmed funding is shown on the FIW; the balance or deficit of funds vs. costs are accounted for in the Compass report (output from EcoSys). The FIW template and a sample completed form are included in Appendix 4.

4.1.4 Approval and Data Entry of Project Initiation Documents After the project initiation worksheets (BIW, PFW, and FIW) are complete, the PrgM and FM prepare a recommendation memo and submit the packaged documents to the DP for review. When the DP concurs with the project initiation package, the DP and DEDP meet to review and approve the documents. Requested revisions are returned to the PrgM, who takes appropriate action with assistance from the FM and PDM.

The approved documents are then provided to the ESA to input the information into the EcoSys project control system. When the data entry is complete, the ESA generates a Compass report (EcoSys output) and provides the entire document package to the PDM, who provides a quality control (QC) check of the data to ensure that all information has been correctly entered into the system. The PDM then files the documents, thus completing the project initiation process.



4.2 Prepare/Update Project Management Plan The Project Management Plan (PMP) is the planning document that captures the entire project end-to-end, covering all project phases, from initiation through planning, execution, and closure. The planning or design consultant prepares the initial PMP with assistance, as needed, from the PDM, PrgM, and FM. The PMP should discuss (at a minimum) the following elements, each of which is described further in the referenced section:

Baseline Budget and Schedule (Section 4.1.1) Funding Plan (Sections 4.1.2 and 4.1.3) Communication Strategy (Section 4.2.1) Quality Assurance Plan (Section 4.2.2) Work Breakdown Structure (WBS) (Section 4.2.3) Procurement Plan (Section 4.2.4) Risk Management (Section 4.2.5)

The PMP is intended to be updated as a project evolves through its life cycle. This iterative activity of the PMP is called progressive elaboration, indicating that planning and documentation are iterative and ongoing activities. Progressive elaboration involves continuously improving and detailing a plan as more detailed and specific information and more accurate estimates become available. Progressive elaboration allows a project management team to define work and manage it to a greater level of detail as the project evolves.

Significant changes occurring throughout the project life cycle trigger a need to revisit one or more of the planning processes, including updating the PMP. Before executing work on a new project phase, the PDM reviews the PMP, and revises it if necessary, to ensure that the project scope, baseline cost estimates, milestone schedule, programmed funding, and plan assumptions are still valid. An example PMP is included in Appendix 4.

4.2.1 Communication Strategy The communication strategy captures how communications will be managed throughout the project life cycle. The strategy describes the planned and periodic communications occurring among all project stakeholders. It also covers scheduled written and oral communications, responses to unsolicited requests for information, the frequency of the scheduled communications, and the person(s) responsible for providing the information. The communication strategy is an integral part of the overall PMP and is used to provide guidance to the project staff.

The strategy helps to ensure that consistent and timely information is provided to the project development team and external stakeholders. It also serves as the basis for developing a detailed public outreach strategy and scope of services for use by the public outreach team. It provides



contact information for the project development team and other agency representatives. It outlines communication methods for the project team, including frequency and location of PDT meetings and how the results of the meeting are shared and used by the team. The strategy identifies the need for focused technical meetings to address specific issues. If large amounts of data and information are to be shared, a project website should be considered.

Before procuring public outreach services, the PDM should discuss and document possible outreach approaches for the current phase of the project. The level of public controversy regarding the project should be considered and the extent of the outreach effort defined. If little controversy exists, the strategy might include a simpler approach to share project information with the public. A more robust strategy would actively collect stakeholder concerns and ideas to refine and guide the project.

4.2.2 Quality Assurance Plan The PDM identifies the QA requirements for the project, including applicable local, state, and federal standards. If the project has federal involvement, the National Environmental Policy Act (NEPA) process must be followed. If multiple jurisdictions are involved, the PDM will identify the design standards to be used for components of the projects. Reviewing agencies and stakeholders should be identified and review periods accounted for in the milestone schedule. QC requirements should be reviewed and communicated to prospective consultants and contractors.

4.2.3 Work Breakdown Structure One of the principal tools for planning and controlling the project work is the work breakdown structure (WBS). The WBS is a deliverable-oriented grouping of project tasks that organizes and defines the total scope of the project development work. Each descending level represents an increasingly detailed definition of a project task. A unique, numerical identifier is attached to each work element and this structure is used for organizing the scope, budget, and schedule of the project. At the highest level, the project WBS should be structured so that budgets can be readily assigned to the appropriate phase of the project. An example of this is a project in the design phase with a concurrent revalidation of the environmental documentation. In this case, the revalidation effort would be captured in the environmental phase and the design work in the design phase. In this way, a more accurate cost history is recorded for the project, which better informs future estimating regarding project development costs.

The Caltrans WBS organization is included in Appendix 4 and can be used as the basis for a consultant’s project organization.

4.2.4 Procurement Plan The procurement plan is used to document the plan to deliver the project phases. Each project could have several elements that may be delivered by different parties. For example, the design



documents may be produced by a consultant selected from CCTA’s Consultant Eligibility List, or an RFP may be used to select the consultant, or the right-of-way (ROW) acquisition may be completed by Contra Costa County personnel. These decisions would become the foundation of the procurement plan. The procurement plan will document the project’s procurement strategy, existing agreements, and future agreements and should include a milestone schedule of when CCTA approvals would be required for the contract procurement and the funding sources that would be used for each contract.

4.2.5 Risk Management Risk management is the systematic process of planning for, identifying, analyzing, and responding to project risks. The risk register, an essential tool in the management of the project risks, is developed by the PM in collaboration with the project stakeholders and is reviewed and revised frequently during the course of the project development. A sample risk register is included in Appendix 4.

Each risk is related to a potential impact—scope, budget, or schedule—and can be classified as a threat, opportunity, or trigger relating to a future event. Residual risks and/or secondary risks may also be considered. The risks are ranked by the stakeholders by assessing the probability of occurrence and the corresponding impact on the project objectives, scope, schedule, and budget if the risk does occur.

4.3 Secure Project Agreements CCTA uses three primary types of agreements to execute project work: cooperative agreements (Co-Ops), funding resolutions, and consultant agreements. Each is described in the following sections. Other types of agreements, such as memoranda of understanding (MOUs) for funding or betterments, utility agreements, and construction and maintenance agreements, are described in Section 4.3.4.

In every case, the process for executing the agreements has a general theme: obtain an agreement number, send agreement to legal counsel for review, seek authorization from CCTA to execute the agreement for those agreements requiring reimbursement, execute the agreement, and enter the agreement number into LOGOS following execution.

4.3.1 Cooperative Agreements Projects often involve a partnership of funding and responsibilities for doing the work. Whenever there is an exchange of effort, funding, or materials between CCTA and Caltrans for work on the State Highway System, for example, a Co-Op is necessary. A Co-Op is created to clearly define the roles and responsibilities of two or more parties working together on a project to ensure adherence to Measure policies as well as project delivery requirements. The parties involved would be CCTA and another governmental entity, such as Caltrans, a city or county, or a transit provider. A Co-Op must be executed between CCTA and a local project proponent for each



project category from which the proponent anticipates seeking funding. The agreement defines audit requirements, invoicing requirements, and other conditions deemed necessary and must be in place prior to CCTA’s release of project funds.

After the agreement has been executed, it is entered into the document log and finalized in LOGOS.

An amendment to a Co-Op is handled in the same manner as an original Co-Op. An amendment is needed when, for example, a funding change occurs, when the list of projects in the master Co-Op requires modification, and to extend the termination date.

4.3.2 Funding Resolutions A funding resolution is used in a number of circumstances, for example:

If CCTA agrees to appropriate money to a project sponsor requesting funding for a specific project

In support of another project

If CCTA is advertising, awarding, and administering a construction contract and must appropriate funds outside of the construction contract itself, for items such as state-furnished materials, supplemental funds, and contingency.

After the need for a funding resolution has been established, a resolution number is assigned as the reference for tracking expenditures made against appropriated amounts. The CCTA Projects Administrator issues all resolution numbers.

4.3.3 Consultant Agreements CCTA engages consultants to provide services, either for a specific component of a project (e.g., a phase such as planning, design, or construction management, or a specific service such as surveying and staking) or for a study to assist CCTA in planning the direction it may take in future projects.

A consultant agreement is the contract created between CCTA and a private firm to define specific project-related services and terms for a particular project. It is typically used for engineering and planning services or construction management services. The following discussion relates to planning and engineering services contracts; for specific information about construction contracts, refer to the Construction Contract Administration Guide.

There are four basic steps in the engagement of consultants:

Select a consultant. Negotiate a contract. Prepare a draft consultant agreement.



Execute a consultant agreement.

An overview of each is provided in the following subsections. More specific details, as well as sample supporting documents, are provided in Appendix 4.

4.3.3.1 Select Consultant

To ensure that the best-qualified firm is selected to provide these services, as a public entity, it is important that CCTA act in a fair and open manner as generally outlined below:

Obtain approvals to issue a request for qualifications (RFQ) or request for proposal (RFP). Prepare scope and schedule requirements. Prepare the RFQ / RFP. Distribute RFQ / RFP. Select and notify scoring panel. Establish short-list of consultants for interview. Develop questions and scoring sheet for consultant interviews. Check consultants’ references. Interview and rank consultants. Notify selected firm and all others of decision. Prepare a staff report requesting approval to negotiate a consultant agreement.

4.3.3.2 Negotiate Contract

After the consultant is notified that it is the top-ranked firm, the PDM directs the consultant to develop the scope, schedule, and fee for consideration by the PDM, who then negotiates the best price for the work. If federal funds will be used to pay for this element of work, an independent estimate for performing the services is required. Guideline percentages of constructed value for performing consulting services are provided in Table 4-2.

4.3.3.3 Prepare and Execute Consultant Agreement

The PDM is responsible for preparing a contract that clearly describes the scope of work to be performed by the consultant and the compensation to be paid. The agreement also provides legal protection for both CCTA and the consultant in their working relationship. The following steps will aid the PDM in the completion of a consultant agreement:

Prepare a draft contract and forward it to the PM for completion. PM returns the contract and other required documentation to the PDM. Resolve any consultant-requested changes to the terms and conditions. Assign a contract number.



Prepare the final agreement for approval. Develop the staff report requesting Administration and Projects Committee (APC) and Board

approval of the contract. Upon Board approval, execute the consultant agreement. Enter pertinent contract information into LOGOS and EcoSys.

4.3.3.4 Consultant Agreement Amendments

Amendments to consultant agreements are handled in the same manner as the original agreement, except that for amendments which increase the total contract value above a limit of $10,000, the agreement must be signed by the Chair, with the Executive Director attesting to the agreement, and Authority Counsel signing, indicating approval as to form and legality. The staff report will include a historical summary of all contract actions (original contract plus any amendments). Amendments are filed with the original agreement. Refer to Section 7 for initiation of contract changes. A typical amendment is shown in Appendix 4.

4.3.4 Other Agreements The other types of agreements include memoranda of understanding (MOUs) for funding or betterments, utility agreements, and construction and maintenance agreements. All of these agreements are typically generated by other agencies and follow an approval process similar to a consultant services agreement.

4.4 Set Up Cost Accounts Cost accounts should be consistent with the standard phases outlined in the project life cycle.

Before work commences, the PDM prepares and submits the Agreement Setup Template to the Finance department to establish the necessary cost accounts for each contract. The template and additional instructions are provided in Appendix 4.



5 FUNDING AND PROGRAMMING

The PrgM and FM are primarily responsible for the funding and programming activities for CCTA, although they coordinate extensively with executive management, the PDM, and the ESA to fulfill their obligations. The process chart above and the discussion below captures the general flow of verifying that a project meets the requirements for its particular funding mix, programming the project (allocating the funding to the various phases of the project), executing funding authorization actions and processing payments for contracts.

5.1 Include Project in Long-Range Transportation Plan (LRTP) The first step to moving any project forward is to verify that the project is listed in the Transportation 2035 Plan for the San Francisco Bay Area (Long-Range Transportation Plan or LRTP). Caltrans will not perform any work on the preliminary projects, such as preparing or participating in the preparation of the PID or PSR until the project is listed on the RTP. The RTP is published by the Metropolitan Transportation Commission (MTC) and updated on a 5-year cycle, with the last update adopted on July 18, 2013.

Adding a project to the RTP is the responsibility of the local agency. The Congestion Management Agency (CMA) has oversight of the local agency with regard to the RTP, and coordination and assistance responsibility in listing a project in the RTP so that funding can be secured. For CCTA CIP projects, CCTA functions as both the local agency and the CMA; therefore, CCTA coordinates directly with the MTC to list new projects in the RTP.

The information required in order to list a project on the RTP is a basic scope of work and a programmatic estimate and schedule, with sufficient information to determine approximate funding needs for the various phases of the project.

5.2 Identify External Funding by Phase Although a project may be initially funded with Measure money, CCTA is constantly looking for other sources of funding for projects. These other fund sources are called external for the purposes of this guide and may include sources such as a federal earmark, State Transportation Improvement Program (STIP), special program funds, or competitive grants. External sources can include a mix of funds for the various phases or a mix for a single phase.

5.1 Include Project in

RTP

5.2 Identify External

Funding by Phase

5.3 Amend Project into

the TIP

5.4 Implement Additional, Specialized

Programming Requirements

5.5 Execute Appropriate

Fund Authorization

Actions



Seeking additional funding sources typically involves coordination with the MTC and may require competitive grant applications. Initial coordination efforts to seek external funding for projects between MTC or other agencies are handled by CCTA executive management.

5.3 Amend Project into the TIP Projects with federal funding, or that require any federal action, such as a jurisdictional agency permit, must also be listed in the Transportation Improvement Plan (TIP). The TIP identifies funding by phase and by fiscal year for an official 4-year programmed cycle, with funds prior to and beyond the 4 years included in the listing for reference.

To add a new project to the TIP, it must first be listed in the RTP. After a project is verified as included in the RTP, or has been added to the RTP, it must be verified that the project is listed in the TIP, or added to the TIP. The TIP is updated every 2 years, and the process is led by the MTC. A project is not considered programmed until the TIP is adopted.

If the scope, schedule, estimate, and/or funding change significantly, the TIP list must be updated. If the change does not affect the current programmed 4-fiscal-year cycle, the update can wait for the scheduled biennial update. If new state or federal funding is added within the program years, the update must be included in a TIP amendment. All updates to the TIP are coordinated with the MTC.

5.4 Implement Additional, Specialized Programming Requirements The PrgM and FM are responsible for verifying the funding mix for each phase of a project and for implementing any conditions or restrictions that accompany each funding source at the programming level. This includes verifying that the project is correctly and consistently listed in the required listing documents (e.g., the RTP, TIP, and STIP) and ensuring that the funding is properly entered onto the PFW and ultimately into EcoSys. Some fund sources (e.g., federal funds) have special requirements for procurement practices, specific contract language, special provisions, and certain requirements for seeking reimbursement of funds for projects. For cases in which the special funding requirements go beyond the programming of funds and reimbursement actions to the funding source, the PrgM and FM collaborate with the PDM and CTM to ensure that all requirements are met.

5.5 Execute Appropriate Fund Authorization Actions After the funding strategy has been identified for a project, the PrgM and FM will complete the PFW and funding portion of the FIW. These documents are then routed for approval by the DP and DEDP (see Figure 4-1). Following approval by the DEDP, the funding is entered into the EcoSys Funding Register by phase for the project, and the funding source documents are scanned and attached to the EcoSys entries, which completes the programming of the project.



As contracts for specific elements or phases of work are prepared by the PDM, the FM checks the documents to ensure consistency with the programming requirements before the contract is submitted to the DP for concurrence.

Sections 5.5.1 through 5.5.4 provide lists of requirements, processes, and/or activities for each listed funding source.

5.5.1 Federal Funds (Earmark, STP, CMAQ, VPP) On State Highway System:

• Develop Co-Op with Caltrans. • For work performed by Caltrans staff, Caltrans accesses federal and state funds

obligated/allocated to the project directly and notifies CCTA of the funding draw. • For work performed by CCTA, CCTA invoices the Caltrans project manager.

Off State Highway System, or for a phase with no Caltrans participation: • Follow the latest Caltrans Local Assistance Procedures Manual (LAPM), available at

http://www.dot.ca.gov/hq/LocalPrograms/. • Execute program supplemental agreement. • Follow process outlined in the LAPM Figure 1-1, Typical Procedures for Federal-Aid

Projects.

5.5.2 State Funds (STIP, STIP-TE, SLPP, etc.) Note that the Corridor Mobility Improvement Account (CMIA) funds have special requirements. The following bullets address the standard process for state funds.

On State Highway System: • Develop Co-Op with Caltrans. • For work performed by Caltrans staff, Caltrans accesses federal and state funds

obligated/allocated to the project directly and notifies CCTA of the funding draw. • For work performed by CCTA, CCTA invoices the Caltrans project manager.

Off State Highway System, or for a phase with no participation from Caltrans: • Request California Transportation Commission (CTC) Allocation. CTC publishes an annual “preparation schedule” providing deadlines for making the

CTC agenda for the various meeting dates: http://www.dot.ca.gov/hq/transprog/ctcliaison.htm

Plan on a minimum of 60 days to make the meeting agenda. Check the Caltrans Local Assistance Procedures Guidelines (LAPG), Chapter 23 for

relevant STIP forms. Note: Always check the Local Assistance website to confirm the most recent forms: http://www.dot.ca.gov/hq/LocalPrograms/.


http://www.dot.ca.gov/hq/LocalPrograms/

http://www.dot.ca.gov/hq/transprog/ctcliaison.htm

http://www.dot.ca.gov/hq/LocalPrograms/


Follow process as outlined in the LAPM Figure 1-2 Typical Procedures for State-Only Projects. (Note: See Section 5.5.3 regarding STIP funds).

5.5.3 STIP Funds Unless otherwise specified, STIP funds generally consist of federal funds matched with state funds. For most STIP projects, both federal and state processes apply.

5.5.4 General Considerations for External Funds Must account for funding agreement requirements in project schedule and scope (e.g.,

deadlines, milestone deliverables, procurement restrictions and requirements, reporting, invoicing requirements, etc.).

At project completion, follow funding agreement closeout procedures.

5.5.5 Measure J Funds Strategic plan programming (program of projects) is based on:

• Expenditure Plan constraints • Project Financial Plan – estimate of when Measure J funds will be needed • Sensitive to subregional limits

Appropriation (for major projects) accomplished through: • Co-Op for Caltrans-partnered projects • Consultant agreements



6 EXECUTE AND MONITOR WORK

The Execute and Monitor Process Group consists of processes required to track, review, and orchestrate the progress and performance of the project specifically related to contracts and agreements; identify any areas in which changes to the plan are required; and initiate the corresponding changes. The key benefit of this process group is that the project performance is monitored monthly by the PDM at the contract level, and a project status review meeting is held between the PDM and DP. Elements of the monthly monitoring feed into the quarterly project review discussed in Section 9.

The Execute and Monitoring Process Group performs the following tasks:

Prepare and approve project deliverables. Review and approve contract progress reports and invoices. Prepare contract status reports (CSRs) for each active contract. Conduct project status review meetings.

6.1 Prepare and Approve Project

Deliverables

6.3 Prepare Contract Status Reports

Monthly Monitoring

6.4 Project Status Reviews

Address Action Items

Consultant Contract Revisions Required?

Requires Change in BIW, FIW?

6.2 Review and Approve Progress Reports/Invoices



6.1 Prepare and Approve Project Deliverables During each project phase, an external consultant team is selected to provide the required project deliverables as detailed in the consultant agreement. The PDM ensures that the work is completed in accordance with the contract requirements, the Quality Assurance Plan, and schedule, or identifies acceptable alternatives. In addition, the PDM will review the deliverables to ensure that the intent of the project is addressed and that the deliverable is acceptable to be circulated for technical reviews among the stakeholders. The detailed project schedule, which is typically an early deliverable from the consultant, will be agreed to by all reviewers at the beginning of the project and when updates occur.

Insurance certificates, which are required as a condition of the consultant contract, show the consultant’s insurance limits and the expiration dates of the insurance. Many contracts have multiple subconsultants and the requirements in the prime consultant contract are in effect with the subconsultants. Although insurance certificates are not a consultant deliverable per the WBS, they must be tracked and updated frequently. The Projects Administrator maintains a contract log with all insurance certificates and their expiration dates. The PDM, in collaboration with the Projects Administrator, is responsible to ensure that all required insurance certificates are current and comply with CCTA requirements.

Frequent communication is essential in the coordination between the consultant and the PDM. The PDM establishes the appropriate points of contact with the consultant, the frequency of the coordination, and the quality expectations for all deliverables. Identification of emerging risks and the corresponding options for solution are regularly reviewed between the PDM and the consultant, particularly as they relate to affecting project deliverables, budget or schedule.

The Project Development Team (PDT) meetings are a forum to discuss project progress and deliverables within the context of technical input and to ensure that the standards of the deliverables are adequate. The formation of the PDT and its meeting schedule are determined with the stakeholders. The PDM participates in the PDT meetings as leader and as a liaison between the stakeholders and the consultant. Other specific issue-focused meetings with technical functional groups are used to advocate for beneficial and cost-effective solutions and to close project issues with the appropriate personnel.

6.2 Review and Approve Progress Reports/Invoices The external consultant team submits an invoice for services provided during the previous month. The invoice includes a summary of the work performed by the WBS identified in the contract’s scope of services and the associated costs incurred in the billing period. The invoice is sent to CCTA, where it is entered into LOGOS by the Accounting Technician. After input into LOGOS, the Projects Administrator (PA) reviews the quantitative portions of the invoice, including billing rates, the appropriate backup materials, general mathematical calculations, and



the performance periods to ensure that no overlap occurs in periods between invoicing. Discrepancies are noted and resolved prior to distribution to the PDM.

After the PA has indicated the invoice is ready to advance for further review, the PDM review includes the following tasks:

Review the costs submitted for the work effort including backup with respect to the budget, schedule and deliverables (earned value type of assessment). The primary focus of this review is to determine if the invoiced amount is reasonable for the level of effort performed during the period, and that the charges are appropriate and consistent with the contract.

Review the contract performance with regard to costs expended, schedule, remaining budget, and delivery schedule. Corrective actions, if necessary, should be identified and adjustments implemented.

After the PDM is satisfied that the invoice adequately documents the work effort, is reasonable and consistent with the contract, the PDM approves the invoice in LOGOS and forwards the invoice through LOGOS to the DP, DEDP, and PrgM, as appropriate. See Section 8 for more details on cost accounting.

6.3 Prepare Contract Status Reports For each active contract, the PDM, in consultation with the external consultant, updates the contract status report (CSR; Appendix 6) after a new invoice has been received and approved. The CSR includes updates to the expenditures to date and the schedule and summarizes the budget and schedule variances from the baseline contract data. The projection for the estimate to complete the contract is also detailed by WBS. The CSR is used to document project issues and develop potential solutions. The CSRs is the primary tool used in the project status review meeting with the DP and to initiate any required extra work authorization (EWA) requests. The PDM archives the monthly CSR to document the progression of the project issues and resolutions.

6.4 Project Status Reviews The DP and PDM meet regularly (typically monthly) to review the status of the project and active contracts. The review incorporates two tools:

The CSRs for each active contract.

Overview of the project using the most current Project Status Report (PSTR; described in Section 9.3), including action item follow up.

The review involves discussion of the overall project progress measured in terms of the deliverables, budget, and schedule. Project issues and potential solutions are discussed and the CCTA direction on issues is established.



7 CHANGE CONTROL

Change control is the process whereby modifications to contract deliverables, baseline estimates, assigned funding, and schedule milestones are identified, documented, approved, or otherwise handled.

The PDM actively monitors the progress of the contract work at the WBS level and prepares a CSR monthly as described in Section 6. The PDM reviews the most current PSTR and updated CSRs with the DP in the monthly project status review meeting and discusses any potential need for modification to contract budgets, schedule, and project BIW and/or FIW.

For CCTA projects, the Board approves the contract amount, which includes the base contract amount plus any amount(s) designated in the Board action for contingency or supplemental/extra work. The base contract amount is defined as the amount obligated to perform the specific scope of work identified in the contract. Thus, Board-approved contracts allow some latitude for accommodating additional work on consultant contracts within identified parameters.

Table 7-1 depicts the four levels of potential changes on a project (WBS, Contract, Phase, and Project) and the maximum extent to which changes can be adopted without Board authorization. All contract changes beyond the contract amount require Board action.

Table 7-1: Change Management Approval Levels

Project Level Funding Reserve Phase Level Funding Reserve Contract Level

Sum of Phase Budgets Extra Work Contingency WBS Level

Committed Contract Budgets Base Contract Amount Task Estimates

Prepare Extra Work Auth. Request

Management Review/Approval (Within Contract contingency Y/N)

No

Yes

Baseline Change Process (Fig 7-2)



WBS Level: At the contract WBS or task level, the consultant PM is responsible for managing the task budget, schedule, and deliverables. The PM must notify the PDM as soon as it is recognized that one or more tasks will run over the current contracted budget for that task. The PDM consults with the DP and DEDP, who has the authority to approve shifting funds between tasks, as long as the total contract amount remains unchanged.

Contract Level: The PM identifies necessary additional work not included in the contract scope of services and if the PDM agrees, he/she will prepare an extra work authorization (EWA) for management review and approval. If the change is less than the extra work contingency budget, the DEDP may approve the request. In such case, no additional Board action is required. Board action is required to amend the contract beyond the contract amount.

Project Phase Level / Project Level: If a project baseline cost estimate or funding at the phase or project level must be revised, the PM notifies the PDM immediately. The PDM then initiates the baseline change process identified in Figure 7-1. The process requires completion of a baseline change request (BCR) package (BIW, FIW, and BCR narrative/justification), which is then routed to the DP and DEDP for approval and further processing. A sample BCR is included in Appendix 7.



Figure 7-1: Baseline Change Process



8 COST ACCOUNTING

CCTA contracts with consultants or other agencies to complete the project delivery process. Each month, requests for payment are received in the form of invoices from the provider. When the invoices are received at CCTA, they are date stamped, which is considered the date of the transaction in the general ledger. Invoices are typically paid within 30 days of receipt.

8.1 Enter Costs into LOGOS After the invoice is date stamped, the invoice specifics, including the costs incurred by WBS, are entered into LOGOS by the Accounting Technician. After the LOGOS entry is complete, the invoice is forwarded to the PA, who performs a quality check to ensure mathematical accuracy and that all necessary cost documentation is attached. Following verification by the PA, the invoice is routed to the PDM for review, which is discussed in Section 6.2.

8.2 Assign Costs to Funding Sources Each project has funding sources associated with it, which can be Measure funds and/or other regional, state, or federal sources. For each cost that is requested for reimbursement, the appropriate funding source is assigned by the finance department with assistance from the FM. Each invoice may be funded by one source or by multiple sources, depending on the specific circumstance of each project.

Some project costs (e.g., costs incurred by Caltrans, BART, or other delivery partners) may not be invoiced to CCTA, but they are considered to be part of the larger picture of the true project cost. These costs are paid by the delivery partner directly and are captured and managed through the use of expenditure reports, which are submitted by the delivery partners, forwarded to the ESA and entered into EcoSys.

8.3 Confirm Entries for Month Please refer to Section 6.2.

Enter costs into LOGOS

Assign costs to funding sources

Confirm entries for

month

Import/ Validate Actual Costs from LOGOS into EcoSys



8.4 Import/Validate Actual Costs from LOGOS into EcoSys Each month the ESA will update the expended to date costs in EcoSys through the importation and validation of data from the LOGOS accounting system. Two EcoSys user/administrator guides are contained in Appendix 8:

CCTA User Procedures Reference Guide CCTA System Admin Reference Guide



9 QUARTERLY PROJECT REVIEW

The Quarterly Project Review is a systematic review process of each project led by the PCM. The PCM is the custodian of the process, ensuring that each PDM meets the required deadline for completing the PSTR for his/her project(s). The PCM reviews the PSTR package to assess project performance, risks, and issues, and meets with the PDM to discuss the project. The PCM generates a summary action report (SAR), which includes his/her assessment of each CIP project. The SAR focuses primarily on issues and potential resolution actions and includes specific information that should be escalated to the DEDP, DP, and PrgM. The quarterly projects review package (SAR and PSTR for each project) is submitted to the DEDP, DP, and PrgM for review, and the quarterly project review meeting is held. An action item list is maintained by the PCM. A key deliverable from the review process is the quarterly project status report (QPSR) for each project, which is provided to the Board on a quarterly basis. The quarterly projects summary process is shown in Figure 9-1, and details for each step in the process are captured in Sections 9.2 through 9.7.

9.2 Prepare PSTR Package:

• Cover/Summary • Draft QPSR • Compass report • CSR for each contract • BIW and FIW • Other pertinent

i f ti

9.1 Generate /Update Compass

report

9.6 Funding and Cash Flow

Reports (As Needed)

9.5 Quarterly Project Status

Report (APC/Board)

9.3 Compile QPS:

• PSTRs • SAR

9.4 Quarterly Project Review Meeting Project Action Items?



Figure 9-1: Quarterly Projects Summary Process



9.1 Generate/Update Compass Report EcoSys produces the Compass report, which is the primary management tool used to review project status with management and strategize the successful project completion. The Compass report is a two-page report that summarizes the contract cost data and source funding data for a single project, with details at the phase level. All current contracts (CT) and future agreements (FA) within each phase are included. The actual costs to date by each phase and each contract are summarized, with ETC/EAC and contract variance is also presented. A sample Compass report is included in Appendix 9.

Each month the ESA updates the expenditures to date in EcoSys at the contract and WBS level by exporting the most current information from LOGOS. For the quarterly project review, after the costs have been updated in EcoSys, the ESA generates a Compass Report and submits it to the PDM.

The PDM reviews the expended-to-date entries and redlines the ETC and EAC values based on his/her understanding of the project performance. In addition, the PDM identifies specific future agreements (FA), consistent with the procurement plan, that are needed for subsequent phases of the project (e.g., design, ROW, or construction). In EcoSys, an FA acts as a “contract placeholder” prior to the contract being executed and recorded in LOGOS. This allows the PDM to more accurately model the future costs and prepare the ETC. Instructions for preparing the ETC are included in Appendix 9.

The redlined Compass report is then returned to the ESA for data entry into EcoSys and to generate a revised Compass report. The process continues until the PDM is satisfied that the Compass report is accurate. A sample Compass report is included in Appendix 9.

Note: Funding for the project or phase(s) cannot be changed in this step.

9.2 Prepare Project Status Report Package The PSTR is the primary project level report used in the quarterly project review. The PSTR includes the QPSR, which is a deliverable to be submitted to the APC and Board. The PSTR is compiled by the PDM and includes the following elements:

Cover/Summary sheet Draft QPSR Compass report CSR for each active contract Current BIW and FIW forms Other pertinent information relative to a particular project in its current state of development



9.2.1 Cover/Summary Sheet The PDM completes the cover/summary sheet by summarizing and/or assessing the following:

Current project development status Phases of the project with active contracts Scope assessment – Is the planned scope of work sufficient? Schedule assessment – Is the overall project on schedule? Are the active phases on schedule? Baseline Estimate – Is the baseline estimate for each phase still accurate? Funding – Does the project and each phase have sufficient funding? Risk assessment – What are the major and minor risks? Are any mitigation plans in

development? Other pertinent information – Stakeholder and public meetings planned or since the last

PSTR, utility and Co-Op agreement status, etc.

9.2.2 Draft QPSR The PDM completes a draft QPSR using the template provided in Appendix 9.

9.2.3 Compass Report, CSR, BIW and FIW The PDM updates the CSR for each active contract and reviews the Compass report, BIW, and FIW for consistency among the documents. Any discrepancies or issues are noted on the cover/summary sheet. Errors in any of these documents will be corrected and noted on the cover/summary sheet. Revisions to the BIW and FIW do not have to be processed as part of the quarterly project review; rather, they are noted on the cover/summary sheet as an action item.

9.3 Compile Quarterly Projects Summary The PCM compiles the QPS, which includes a PSTR for each project; and a SAR, which summarizes all CIP projects in a single document. The PCM reviews each project with the PDM before completing the SAR. Ideally, the PCM meets with all PDMs on the same day, with the PDMs rotating into the meeting to review their project(s).

The SAR is an action/information focused document that summarizes need-to-know and decision making information for the DEDP, DP, and PrgM. The action portion of the document should identify actions necessary within the next quarter that the DEDP, DP, and/or PrgM should be involved with to most efficiently keep the project progressing smoothly.

9.4 Quarterly Project Review Meeting The quarterly project review meeting involves the DEDP, DP, PrgM, PCM, and PDM. Ideally, the meeting is held on a single day with the PDMs rotating into the meeting to review their project(s) with the others. The primary purpose of the meeting is to review issues/risks and



determine actions to keep the project progressing as quickly and smoothly as possible. The draft QPSR prepared by the PDM is reviewed and comments are noted so it can be easily finalized following the meeting. An action item list is kept by the PCM and PDM and is reviewed in subsequent monthly project status meetings (Section 6) with the DP, and in quarterly project review meetings.

9.5 Quarterly Project Status Report The PDM prepares a draft QPSR as part of the PSTR using the template provided in Appendix 9. The QPSR is reviewed in the quarterly project review meeting, is finalized by the PDM following the meeting, and is then submitted to the DP. The DP compiles the QPSRs for each CIP project into the packet, which is submitted to the APC and Board.

9.6 Funding, Cash Flow, and Other EcoSys Reports Use of the funding and cash flow reports from EcoSys is independent of the quarterly project reviews; however, it is included with this process group because the information in EcoSys is the most current immediately following completion of the quarterly review process.

EcoSys is configured to produce the following report formats and attributes (see examples in Appendix 9).

9.6.1 Project Control Plan, Detail Report For each project phase and contract this report provides the following:

Contract Budgets (Committed and Future Agreements) Contract Cost to Date ETC by Fiscal Year EAC Budget Remaining at Completion

9.6.2 Project Control Plan, Summary Report For each project phase, this report provides a rollup version of the detail report, including:

Total Phase Budgets (Committed and Future Agreements) Total Phase Cost to Date Phase ETC by Fiscal Year Phase EAC Budget Remaining at Completion Baseline Estimate, Start and End Date



9.6.3 Funding Plan Summary Report For each project funding source, this report provides the following:

Programmed Funding Total Cost to Date ETC by FY Total Funding Expenditures Funding Balance



10 CLOSE PROJECT/PHASE

The Close Project/Phase consists of processes performed to conclude all activities across all project management process groups to formally complete the project, phase, or contractual obligations. This process group’s task, when completed, verifies that the defined processes are completed within all of the process groups to close the project or a project phase, as appropriate, and formally establishes that the project or project phase is complete.

This process group also formally establishes the premature closure of the project. Prematurely closed projects may include, for example, aborted projects, cancelled projects, and projects having a critical situation.

At project or phase closure, the following may occur:

Obtain acceptance by the project sponsors to formally close the project or phase. Conduct post-project or phase-end review. Record impacts of tailoring to any process. Document lessons learned. Apply appropriate updates to organizational process assets. Archive all relevant project documents in the project management information system to be

used as historical data. Close out all procurement activities ensuring termination of all relevant agreements. Perform team members’ assessments and release project resources.

Accept Deliverables/

Close Contracts

Post project or phase-end

reviews

Document lessons learned



APPENDIX 1 SUGGESTED REVISIONS FORM

Version 1.0, August 2014 App 1-1 PMC Guide_Final Draft 28AUG2014.Docx

Project Management and Controls Guide

Suggested Revisions Form

To: Susan Miller, CCTA Director of Projects ([email protected])

From: ___________________________________

Date: ___________________________________ _____________________________________________________________________________________

Description of suggested changes:

<Include page and/or section number. Be specific and include suggested language if possible and include additional sheets for reference materials, charts or graphics>


APPENDIX 2 RESPONSIBILITY AUTHORITY MATRIX


RESPONSIBILITY MATRIX ‐ PROJECTS DEPARTMENT

PDM Project Delivery Manager (PDM) is responsible for the overall delivery of a project from project initiation through construction.CTM Contract Manager (CTM) is responsible for managing assigned A&E, CM and contruction contracts.PCM Project Control Manager (PCM) works collaboratively with PDM and CTM to improve project delivery.FM Funding ManagerPCS Project Control Specialist (PCS) is responsible for the project control system and coordination with the LOGOS accounting system.

A = ApproveR = Responsible (Primary)I = Involved (Secondary)

Authority

Board

Deputy

Executive

Director,

Projects

Director,

Projects

Manager,

ConstructionPDM CTM PCM FM PCS

Initiate and Plan Project/Phase (Section 4)Develop Project Management Plan R IDevelop Project Baseline A A R I IFunding Plan /Strategy I I R ISecure A&E services A I I I RPrepare staff reports for APC/Board Items A I I R IIssue notice to proceed (NTP) R ISet up account in LOGOS I R I

Execute and Monitor Work (Section 6)Monitor contract deliverables and project schedule RAttend PDT meetings R IFacilitate technical meetings to resolve issues R I IReview and approve consultant Invoices RCommunicate QA requirements R IEnsure funding requirements are met (E‐76, field review, etc.) R IEnsure permit requirments are incorporated into project RReview consultant's risk register I I RDevelop communication plan RCoordinate with stakeholder jurisdictions I R IReview consultant's schedule RR/W acquisition coordination R IRight‐of‐Way closeout ̶ parcel transfers I RMajor issues resolution I I R IAttend weekly CM meetings RReview contractor NOPCs and critical path schedule implications I RReview three‐week look ahead construction schedule I RAnalyze and review CCOs I ROversee advertise and award process R I

Change Control (Section 7)Prepare Change Request I RReview/Approve Extra Work Request I A I IReview/Approve Amendment A A A I IReview/Approve Scope Change Only I I AReview/Approve Contract Schedule Extension A A A I I

Manage Project Plan (Section 9)Record baseline estimates I RUpdate fund register I R IImport/review actual costs from LOGOS RUpdate EcoSys financial plan ETCs I A RPrepare Compass Report A I RAssign funds to ETC I R IQuarterly cash flow updates I R I

Process Groups Tasks

Page 1 of 1

APPENDIX 2 RESPONSIBILITY AUTHORITY MATRIX

Version 1.0, August 2014 CCTA - Project Management & Controls Guide


APPENDIX 3 NOT USED



APPENDIX 4 PROJECT INITIATION AND MANAGEMENT Baseline Input Worksheet Template and Sample

Financial Input Worksheet Template and Sample

Project Funding Worksheet Template and Sample

Sample Project Management Plan

Work Breakdown Structure

Sample Risk Register

Contracting Procedures

Sample RFQ Letter

Sample Scoring Sheet

Sample “Intent to Award” Letter

Sample “No Intent to Award” Letter

Contract Questionnaire

Consultant Questionnaire

Sample Consultant Agreement

Sample Consultant Agreement Amendment

Agreement Set-Up Template and Instructions


NOTES1. Blue cells for PM Input2. White cells have formulas to calculate values, or are information3. Source for Capital Cost Escalation value is latest CCTA Strategic Plan4. Capital cost escalation from date of estimate to mid‐point of construction

Project Scope

Project Baseline

Phase ID Description Start Date End DateDuration

(Months)

Baseline

Estimate% By Phase

Support Costs

as % of

Construction

Normal

RangeNotes

0 PRJM Project Management 01 PID Project Initiation & Studies 0 #DIV/0! #DIV/0! 1‐2%2 EIR Environmental Clearance 0 #DIV/0! #DIV/0! 3‐5%3 PSE Design 0 #DIV/0! #DIV/0! 8‐12%4 ROWC Right of Way (Capital) 0 #DIV/0! varies varies5 ROW Right of Way (Support Services) 0 #DIV/0! varies varies6 UTL Utilities 0 #DIV/0! varies varies7 CON Construction 0 $0 #DIV/0! varies varies8 CSS Construction Services (CM and DSDC) 0 = #VALUE! #VALUE! 15‐18%

0 $0 #DIV/0!

Baseline /Risks/Opportunities

Note1

2

3

4

5

6

Baseline Notifications

Prepared By: Project Delivery Manager

Reviewed By: Director, Projects

Reviewed By: Deputy Executive Director, Projects

Planned ActionDescription

Project No. ____/PROJECT TITLE

Baseline Input Worksheet

Proposed Phase(s)

Capital Estimate

Total ‐ All Phases

Date created:

Project No.:Project Title:PDM/CTM:

Construction EstimateUtility EstimateR/W Capital EstimateSource DocumentEstimate YearCapital Cost Escalation

Date

Date

Date

APPENDIX 4.1 - BASELINE INPUT WORKSHEET TEMPLATE AND SAMPLE

version 1.0, August 2014 CCTA - Project Management and Controls Guide

8/8/2014 $42,650,000 NOTES1117/6001 $0 1. Blue cells for PM InputI‐680/SR4 Interchange Improvements (Phase 3) $300,000 2. White cells have formulas to calculate values, or are informationJ. Kenyon 35% BEES 3. Source for Capital Cost Escalation value is latest CCTA Strategic PlanPS&E, ROW, UTIL 05/30/14 4. Capital cost escalation from date of estimate to mid‐point of construction

2.75%

Project Scope

Project Baseline

Phase ID Description Start Date End DateDuration

(Months)

Baseline

Estimate% By Phase

Support Costs

as % of

Construction

Normal

RangeNotes

0 PRJM Project Management August‐13 August‐18 60 $540,000 Assume 60 months at 36 hrs/mo at $250/hr1 PID Project Initiation & Studies 0 $582,764 0.91% 1.26% 1‐2% PSR completed in 2001. Actuals shown2 EIR Environmental Clearance 0 $2,775,487 4.32% 6.00% 3‐5% PA&ED completed in 2009. Actuals shown. Enviro. re‐validation included in PS&E.3 PSE Design July‐13 June‐15 24 $6,020,464 9.36% 13.01% 8‐12% $5,969,964 CT 372 shown w/$400K contingency included+CCCFC&WCD $50,5004 ROWC Right of Way (Capital) January‐15 September‐15 8 $300,000 0.47% varies varies Assumed for TCE/Take/Loss/Damages Cost5 ROW Right of Way (Support Services) January‐15 September‐15 8 $200,000 0.31% varies varies Per Co‐Op for Caltrans assistance6 UTL Utilities July‐14 June‐15 12 $0 0.00% varies varies No utility relocations. Caltrans to prepare variance7 CON Construction April‐16 August‐18 28 $46,276,592 71.97% varies varies 35% Est. (incl. 15%/$5.6M Contingency) escalated to mid‐point of CON phase

8 CSS Construction Services (CM and DSDC) April‐16 August‐18 28 $7,601,489 11.82% 16.43% 15‐18% 15% CON plus $200K Design Services and $460K Caltrans CM‐IQA61 $64,296,795 100.00%

Baseline /Risks/Opportunities

Note1

2

3 Need design exception at SR 242 SEP to avoid bridge widening. Verbal approval received from Larry Moore.

4

5

6

Baseline Notifications

Prepared By: Project Delivery Manager

Reviewed By: Director, Projects

Reviewed By: Deputy Executive Director, Projects

Grayson Cr. Bridge Replacement will cost $14M or more and most likely require ACOE Section 408 consultation 12‐18 mo.

Date

Date

Date

Project No. 1117/6001 ‐ I‐680/SR4 Interchange (Phase 3)

Baseline Input Worksheet

Proposed Phase(s)

Capital Estimate

Total ‐ All Phases

Date created:

Project No.:Project Title:PDM/CTM:

Construction EstimateUtility EstimateR/W Capital EstimateSource DocumentEstimate YearCapital Cost Escalation

Widen SR 4 in the median to provide a third lane in each direction from Morello Avenue to the vicinity of SR 242, a distance of about four miles. Median widening of 5 bridges will be required – Pacheco Boulevard Undercrossing, I‐680/ SR 4 Separation, Walnut

Creek Bridge, Solano Way Undercrossing, and Peralta Road Undercrossing. In PA/ED no right‐of‐way fee take was required for construction; however, there is a storage facility at Solano Way under the SR4 overcrossing. A permanent easement and temporary

construction easements will be required. Potential facility damages due to loss of storage is unknown. Longitudinal utility variance required. Caltrans will perform R/W Support, R/W Capital and Utility Coordination under Co‐Op 04‐2545. The project received

environmental clearance in November 2008. Due to the passage of time the project will perform environmental revalidation in 2013/14. Grayson Creek Bridge must be replaced. Currently Grayson Cr. Br will be pursued in a subsequent phase and new paved

lanes between Morello Avenue and just east of Grayson Cr. Br will not be striped for use until Grayson Cr. Br. replacement. SR 4/SR 242 Undercrossing will not be widened and will have a non‐standard shoulder.

Planned Action

Avoid Scope creep for unnecessary upgrade items. Safety upgrades requested by Caltrans are $5M. Meeting to

be held to minimize further inclusion.

Seek funding by Caltrans. Complete the phasing design to be shovel ready as a possible CCO.

Initiate AAA Co‐Op 1‐year prior to Construction.

DescriptionPR completed in 2009 (Cap Outlay Cost $35.7M). Estimate validated by WMH in July 2013 w/ 25% contingency at $37.6M. CON escallated @2.6% to Mid‐2017 for

$41.6M in Dec 2013. Seismic Retrofit Strategies, Structure Widening costs, and additional Traffic Safety Improvements have increased project cost. Grayson

Creek Br. deleted. 35% Est w/Escal'n is $46.3. CON cost increase is $4.7M from prior estimate. CM Est. increased.

Project delivery assumes CCTA will AAA and Caltrans will provide standard CM‐IQA by Co‐Op

APPENDIX 4.1 - BASELINE INPUT WORKSHEET TEMPLATE AND SAMPLE


Rev. X, DATE

FY 14 FY 15 FY 16 FY 17 FY 18 FY 19

Cost Summary - PRJM (Phase 0) $0 $0 $0 $0 $0 $0 $0 $0 $0 $0

CT XXX $0

CT XXX $0FA XXX $0

Cost Summary - PID (Phase 1) $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0CT XXX $0

$0

Cost Summary - EIR (Phase 2) $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0CT XXX $0CT XXX $0

Cost Summary - PS&E (Phase 3) $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0CT XXX $0CT XXX $0

$0

Cost Summary - ROWC (Phase 4) $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0CT XXX $0

$0

Cost Summary - ROW (Phase 5) $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0CT XXX $0

$0

Cost Summary - UTL (Phase 6) $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0CT XXX $0

$0

Cost Summary - CON (Phase 7) $0 $0 $0 $0 $0 $0 $0 $0 $0 $0CT XXX $0

Cost Summary - CSS (Phase 8) $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0CT XXX $0

$0

Total (All Phases) $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0

Environmental Studies (EIR)

Final Design (PSE)

Utilities (UTL)

Construction (CON)

Project Initiation (PID)

Right of Way Capital (ROWC)

Construction Support Services (CSS)

Right of Way Support Services (ROW)

Financial Input Worksheet (FIW, Sheet 1/2)PROJECT NO./ PROJECT TITLE

Contract Budget Remaining at Completion

Baseline Estimate

Project Management (PRJM)

Total Cost To Date

Total Estimate at Completion (EAC)Phase Estimate/Contracts Contract Amount

Estimate to Complete (ETC)

Cost Estimates by Phase, Contract

page 1 of 202 FIW_TEMPLATE.xlsx

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APPENDIX 4.2 - FINANCIAL INPUT WORKSHEET TEMPLATE AND SAMPLE


Rev. X, DATE

FY 14 FY 15 FY 16 FY 17 FY 18 FY 19

Funding Summary - All Sources $0 $0 $582,764 $0 $0 $0 $0 $0 $0 $0 $0

Cost Summary - PRJM (Phase 0) $0 $0 $0 $0 $0 $0 $0 $0 $0 $0CT XXX MSC $0 $0FA XXX MSJ $0 $0

Cost Summary - PID (Phase 1) $0 $582,764 $0 $0 $0 $0 $0 $0 $0 $0

CT XXX MSC $0 $0$0 $0

Cost Summary - EIR (Phase 2) $0 $0 $0 $0 $0 $0 $0 $0 $0 $0

CT XXX MSC $0 $0$0 $0

Cost Summary - PS&E (Phase 3) $0 $0 $0 $0 $0 $0 $0 $0 $0 $0

CT XXX MSC $0 $0$0 $0

Cost Summary - ROWC (Phase 4) $0 $0 $0 $0 $0 $0 $0 $0 $0 $0

CT XXX MSC $0 $0$0 $0

Cost Summary - ROW (Phase 5) $0 $0 $0 $0 $0 $0 $0 $0 $0 $0

CT XXX MSC $0 $0$0 $0

Cost Summary - UTL (Phase 6) $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0$0 $0 $0

$0 $0Cost Summary - CON (Phase 7) $0 $0 $0 $0 $0 $0 $0 $0 $0 $0

FA XXX MSC $0 $0

FA XXX MSJ $0 $0FA XXX STIP $0 $0

Cost Summary - CSS (Phase 8) $0 $0 $0 $0 $0 $0 $0 $0 $0 $0

FA XXX MSC $0 $0 $0FA XXX MSJ $0 $0 $0

Source Summary - Funding Roll-UpMSJ $0 $0 $0 $0 $0 $0 $0 $0 $0 $0MSC $0 $0 $0 $0 $0 $0 $0 $0 $0 $0STIP $0 $0 $0 $0 $0 $0 $0 $0 $0 $0TOTAL $0 $0 $0 $0 $0 $0 $0 $0 $0 $0

Funding by Phase, Source, Contract

Funding to Cost VarianceProject Funding

Financial Input Worksheet (FIW, Sheet 2/2)PROJECT NO./ PROJECT TITLE

Estimate at CompletionProgrammed Budget Source Amount Expended To

Date

page 2 of 202 FIW_TEMPLATE.xlsx

Printed 8/28/2014 @ 7:34 PM



Rev. 1 August 15, 2014

FY 14 FY 15 FY 16 FY 17 FY 18 FY 19

Cost Summary - PRJM (Phase 0) $986,214 $986,214 $95,096 $56,003 $200,000 $242,144 $200,000 $192,971 $0 $986,214 $0

CT 230 $20,413 $20,413 $20,413

CT 349 - PTG $250,686 $74,683 $56,003 $120,000 $250,686FA6001 - PRJM $715,115 $0 $80,000 $242,144 $200,000 $192,971 $715,115

Cost Summary - PID (Phase 1) $582,764 $582,764 $582,764 $0 $0 $0 $0 $0 $0 $582,764 $0CT 123 $582,764 $582,764 $582,764 $582,764

$0

Cost Summary - EIR (Phase 2) $2,757,283 $2,757,283 $2,757,283 $0 $0 $0 $0 $0 $0 $2,757,283 $0CT 123 $507,654 $507,654 $507,654 $507,654CT 149 $2,249,629 $2,249,629 $2,249,629 $2,249,629

Cost Summary - PS&E (Phase 3) $6,019,964 $6,019,964 $1,403,372 $550,488 $2,783,020 $1,283,084 $0 $0 $0 $6,019,964 $0CT 372 - WMH $5,969,964 $5,969,964 $1,403,372 $523,488 $2,760,020 $1,283,084 $5,969,964

CT 398 - CCCFCWCD $50,000 $50,000 $0 $27,000 $23,000 $50,000$0

Cost Summary - ROWC (Phase 4) $300,000 $300,000 $0 $0 $300,000 $0 $0 $0 $0 $300,000 $0Caltrans Co-Op 04-2545 $300,000 $300,000 $0 $300,000 $300,000

$0

Cost Summary - ROW (Phase 5) $200,000 $200,000 $0 $100,000 $100,000 $0 $0 $0 $0 $200,000 $0Caltrans Co-Op 04-2545 $200,000 $200,000 $0 $100,000 $100,000 $200,000

$0

Cost Summary - UTL (Phase 6) $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0$0$0

Cost Summary - CON (Phase 7) $46,280,000 $46,280,000 $0 $0 $0 $11,570,000 $23,140,000 $11,570,000 $0 $46,280,000 $0FA6001 - CON $46,280,000 $11,570,000 $23,140,000 $11,570,000 $46,280,000

Cost Summary - CSS (Phase 8) $7,602,000 $7,602,000 $0 $0 $0 $1,900,500 $3,801,000 $1,900,500 $0 $7,602,000 $0FA 6001-CSS $7,602,000 $7,602,000 $1,900,500 $3,801,000 $1,900,500 $7,602,000

$0

Total (All Phases) $64,728,225 $64,728,225 $4,838,515 $706,491 $3,383,020 $14,995,728 $27,141,000 $13,663,471 $0 $64,728,225 $0

Environmental Studies (EIR)

Final Design (PSE)

Utilities (UTL)

Construction (CON)

Project Initiation (PID)

Right of Way Capital (ROWC)

Construction Support Services (CSS)

Right of Way Support Services (ROW)

Financial Input Worksheet (FIW, Sheet 1/2)6001 I-680/SR4 INTERCHANGE IMPROVEMENTS (PHASE 3)

Contract Budget Remaining at Completion

Baseline Estimate

Project Management (PRJM)

Total Cost To Date

Total Estimate at Completion (EAC)Phase Estimate/Contracts Contract Amount

Estimate to Complete (ETC)

Cost Estimates by Phase, Contract

page 1 of 202a FIW Sample.xlsx

Printed 8/28/2014 @ 7:35 PM



Rev. 1 August 15, 2014

FY 14 FY 15 FY 16 FY 17 FY 18 FY 19

Funding Summary - All Sources $57,620,686 $57,620,686 $4,838,515 $706,491 $3,383,020 $14,995,728 $27,141,000 $13,663,471 $0 $64,728,225 -$7,107,539

Cost Summary - PRJM (Phase 0) $986,214 $986,214 $95,096 $56,003 $200,000 $242,144 $200,000 $192,971 $0 $986,214 $0CT 320, CT 349, FA6001 MSC $719,002 $20,413 $56,003 $200,000 $242,144 $200,000 $442 $719,002 $0

FA6001 MSJ $267,212 $74,683 $192,529 $267,212 $0Cost Summary - PID (Phase 1) $582,764 $582,764 $582,764 $0 $0 $0 $0 $0 $0 $582,764 $0

CT 123 MSC $582,764 $582,764 $582,764 $0$0 $0

Cost Summary - EIR (Phase 2) $2,757,283 $2,757,283 $2,757,283 $0 $0 $0 $0 $0 $0 $2,757,283 $0

CT 123, CT 149 MSC $2,757,283 $2,757,283 $2,757,283 $0$0 $0

Cost Summary - PS&E (Phase 3) $5,969,964 $5,969,964 $1,403,372 $550,488 $2,783,020 $1,283,084 $0 $0 $0 $6,019,964 -$50,000

CT 372, CT 398 MSC $5,969,964 $1,403,372 $550,488 $2,783,020 $1,283,084 $6,019,964 ($50,000)$0 $0

Cost Summary - ROWC (Phase 4) $300,000 $300,000 $0 $0 $300,000 $0 $0 $0 $0 $300,000 $0

Caltrans Co-Op 04-2545 MSC $300,000 $0 $300,000 $300,000 $0$0 $0

Cost Summary - ROW (Phase 5) $200,000 $200,000 $0 $100,000 $100,000 $0 $0 $0 $0 $200,000 $0

Caltrans Co-Op 04-2545 MSC $200,000 $0 $100,000 $100,000 $200,000 $0$0 $0

Cost Summary - UTL (Phase 6) $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0$0 $0 $0

$0 $0Cost Summary - CON (Phase 7) $41,558,565 $41,558,565 $0 $0 $0 $11,570,000 $23,140,000 $11,570,000 $0 $46,280,000 -$4,721,435

FA6001 - CON MSC $2,821,074 $2,821,074 $2,821,074 $0

FA6001 - CON MSJ $2,127,491 $6,848,926 $6,848,926 ($4,721,435)FA6001 - CON STIP $36,610,000 $11,570,000 $23,140,000 $1,900,000 $36,610,000 $0

Cost Summary - CSS (Phase 8) $5,265,896 $5,265,896 $0 $0 $0 $1,900,500 $3,801,000 $1,900,500 $0 $7,602,000 -$2,336,104

FA 6001-CSS MSC $3,860,599 $1,900,500 $1,960,099 $3,860,599 $0FA 6001-CSS MSJ $1,405,297 $1,840,901 $1,900,500 $3,741,401 ($2,336,104)

Source Summary - Funding Roll-UpMSJ $3,800,000 $74,683 $0 $0 $0 $1,840,901 $8,941,955 $0 $10,857,539 ($7,057,539)MSC $17,210,686 $4,763,832 $706,491 $3,383,020 $3,425,728 $2,160,099 $2,821,516 $0 $17,260,686 ($50,000)STIP $36,610,000 $0 $0 $0 $11,570,000 $23,140,000 $1,900,000 $0 $36,610,000 $0TOTAL $57,620,686 $4,838,515 $706,491 $3,383,020 $14,995,728 $27,141,000 $13,663,471 $0 $64,728,225 ($7,107,539)

Funding by Phase, Source, Contract

Funding to Cost VarianceProject Funding

Financial Input Worksheet (FIW, Sheet 2/2)6001 I-680/SR4 INTERCHANGE IMPROVEMENTS (PHASE 3)

Estimate at CompletionProgrammed Budget Source Amount Expended To

Date

page 2 of 202a FIW Sample.xlsx

Printed 8/28/2014 @ 7:35 PM



Date:

Grant (ID) EcoSys Phase

Amount ALL ENV PSE ROW CON Status Available Date

Expenditure Deadline

Match Req.

Document

STIP 0PPNO 0298E Programmed Amount

0 - PRJM1 - STU2 - ENV3 - PS&E4 - ROWC5 - ROW6 - UTIL7 - CON8 - CSS

Programmed / EcoSys delta -

MSC 06001 MSC Strategic Plan



MSJ 06001 MSJ Strategic Plan



Total - All Funds 06001 All 0 0 0 0 0

0 - PRJM 01 - STU 02 - ENV 03 - PS&E 04 - ROWC 05 - ROW 06 - UTIL 07 - CON 08 - CSS 0


Programmed Funding Worksheet (PFW)PROJECT NO./PROJECT TITLE

Notes:

Programmed Phase

Notes:

Notes:

Notes:

APPENDIX 4.3 - PROGRAMMED FUNDING WORKSHEET TEMPLATE AND SAMPLE


Date: 06/24/14

Grant (ID) EcoSys Phase

Amount ALL ENV PSE ROW CON Status Available Date

Expenditure Deadline

Match Req. Document

STIP 36,610,000PPNO 0298E 36,610,000 Programmed Amount 07/01/2015 06/30/2019

0 - PRJM1 - STU2 - ENV3 - PS&E4 - ROWC5 - ROW6 - UTIL7 - CON 36,610,0008 - CSS


MSC 17,250,8006001 MSC 17,250,800 Strategic Plan 07/01/2003 06/30/2018

0 - PRJM 793,2431 - STU 582,7642 - ENV 2,757,2833 - PS&E 6,019,9644 - ROWC 300,0005 - ROW 200,0006 - UTIL7 - CON 896,0468 - CSS 5,701,500


MSJ 3,800,0006001 MSJ 3,800,000 Strategic Plan 07/01/2012 06/30/2018

0 - PRJM 192,9711 - STU2 - ENV3 - PS&E4 - ROWC5 - ROW6 - UTIL7 - CON 2,201,7328 - CSS 1,405,297


Total - All Funds 57,660,8006001 All 21,050,800 0 0 0 36,610,000

0 - PRJM 986,2141 - STU 582,7642 - ENV 2,757,2833 - PS&E 6,019,9644 - ROWC 300,0005 - ROW 200,0006 - UTIL 07 - CON 39,707,7788 - CSS 7,106,797


Programmed Funding Worksheet (PFW)6001 - I-680/SR 4 (Phase 3)

Notes:

Programmed Phase

Notes:Updated per adopte 2014 STIP.

Notes:

Notes:

APPENDIX 4.3 - PROGRAMMED FUNDING WORKSHEET TEMPLATE AND SAMPLE


PROJECT MANAGEMENT PLAN

and

PROJECT QUALITY CONTROL PLAN

for the

I-680/SR4 Interchange Project –Phase 3 (SR 4 Widening)

APPENDIX 4.4 - SAMPLE PROJECT MANAGEMENT PLAN


- 1 -

TABLE OF CONTENTS

1. Project Summary ………………………………………………………………….. 3

2. Client Contact……………………………………………………………………….. 3

3. Key Staff………………………………………………………………………..….. 3

4. Subconsultants……………………………………………………………………. 3

5. Milestone Schedule………………………………………………..…………….. 4

6. Project Scope and Technical Approach…………………………..…………….. 4

7. Controlling Conditions and Special Risks Unique to the Project ..…………….. 4

8. Communication………………………………………………..…………….. 5

9. Documentation………………………………………………..…………….. 5

10. Project CADD Standards /Computer Programs…………………..…………….. 5

11. Health and Safety Plan………………………………………………..……………..5

12. Quality Reviews…………………………………………………………………… 6

13. Control of Quality………………………………………………………………….. 7

14. QC Plan for Subconsultants…………………………………………………….. 7

15. QC Checking Procedures……………………………………….……………….. 7

16. Project Management……………………………………………………….…….. 8

17. Applicable Standards…………………………………………………………….. 8



2

APPENDIX - FORMS

1. Project Quality Assurance Checklist

2. Procedures for Project Filing

3. Review Comments and Responses Matrix

4. Procedures for Responding to Agency Review Comments

5. Independent Technical Review Comments

6. Independent Technical Review Report

7. Calculation Cover Sheet

8. Standard Guidelines for Preparing & Checking Calculations

9. Color-Coded Marking Procedures for Independent technical reviews

10. Standard Guidelines for Preparing and Checking Technical Specifications

11. Standard Guidelines for Preparing and Checking Drawings

12. Notification - Change in Work Scope

13. Project Computer Program Log

14. Audit Finding Reports

15. Technical Audit Report



3

PROJECT MANAGEMENT PLAN

AND

PROJECT QUALITY CONTROL PLAN

1. Project Summary

Project Name I-680/SR4 Interchange Project –Phase 3 (SR 4 Widening) Project Location Martinez/Concord, Contra Costa County, CA Client Contract No. CT372 Contract Award Date 05/16/13 Contract Amount $5,969,963 Contract Type CPFF WMH Project No. SR4 Widening WMH Share $2,638,185

[X] New Project [ ] Additional Work for Existing Project

2. Client Contact Information: Susan Miller, CCTA Director Projects Contra Costa Transportation Authority 2999 Oak Road, Suite 100 Walnut Creek, CA 94597 Phone: 925-256-4736 Email: [email protected]

3. Key Staff:

Name Role/Responsibility

Tim Lee Project Manager

Ben Razeghi Deputy Project Manager

Edujie Anjorin Project Engineer

William Hadaya PIC, QA/QC Manager

4. Subconsultants:

- BessTestlab, Utility Investigations - Biggs Cardosa Assoc. Inc., Bridge Design - Circlepoint, Environmental Revalidation and Environmental Coordination - Condor Consulting, Biology and Cultural Studies - Fehr & Peers, Traffic Studies - Geocon Consultants, Soils Investigation and Hazardous Materials Testing - Illingworth & Rodkin, Noise and Air Quality Studies



4

- Parikh Consultants, Geotechnical Engineering - RBF, Ground Control and Design Surveys - Radman, Topographic Aerial Mapping - Wreco, Hydraulic Studies and Permitting

5. Milestone Schedule

Milestone Base Submittal Date Actual Submittal Date

Notice To Proceed May 16, 2013 May 16, 2013

Submit Draft CPM Schedule July 14, 2013 July 15, 2013

Agency Scoping Meeting August 6, 2013 August 27,2013

Submit Draft TOAR February 7, 2014 September 16, 2014

Submit Draft Revalidation Document

April 18, 2014 December 9, 2014

Submit Type Selection Report February 6, 2014 July 7, 2014

Submit 35% PS&E April 24, 2014 June 3, 2014

Submit Structures (PS&Q) to Caltrans OSFP

July 23, 2014 December 1, 2014

Submit 65% PS&E July 24, 2014 October 28, 2014

Submit Structures (Initial PS&E) to Caltrans OSFP

November 5, 2014 March 16, 2015

Submit 95% PS&E December 12, 2014 February 10, 2015

Submit Final Structures PS&E to Caltrans OSFP

December 24, 2014 June 15, 2015

Submit Final PS&E to District February 20, 2015 July 13, 2015 6. Project Scope and Technical Approach

CCTA is proceeding with implementing Phase 3 of the project which includes median widening of a 4-mile stretch of SR4 roughly between Glacier Drive/Milano Way on the west to just west of Port Chicago Highway (from PM 11.21 WB/PM 11.28 EB to PM 15.01 WB/PM 15.08 EB) and localized outside shoulder widening on the Pacheco Blvd. UC and I-680 Separation structures. Within the project limits there are 5 bridge crossings that require widening:

1. Pacheco Boulevard (PM 12.41), The EB and WB bridge will be widened in the median and outside

2. I-680 (PM 12.64), The EB and WB bridge will be widened in the median and outside 3. Walnut Creek (PM 13.40), The EB and WB bridge will be widened in the median only 4. Solano Way (PM 13.65), The EB and WB bridge will be widened in the median only 5. Peralta Road (PM 13.96), The EB and WB bridge will be widened in the median only Note: Grayson Creek Bridges will be replaced under a separate contract

Deliverables shall be prepared in compliance with current edition of Caltrans RTL Guide and Project Development Procedures Manual (PDPM).



5

7. Controlling Conditions and Special Risks Unique to the Project

High probability risks at the time of NTP included: • Grayson Creek Bridge hydraulic/ scour concerns and schedule delays due to USACOE

Section 408 permitting process • Caltrans approval to split Phase 3 project with Grayson Creek Bridge replaced under a

separate contract or by CCO • Schedule delays due to environmental permits and right of way certification • Schedule delays due to CCCFCD construction permit • R/W requirements for public storage facility to accommodate Solano Way UC improvements Refer to current version of Risk Management Plan for complete details of project risks and mitigation measures.

8. Communication

Tim Lee and Ben Razeghi are the primary point of contact for communicating with the client. 9. Documentation

All records will be filed in the WMH project file. Tim Lee will be responsible for setting up and maintaining the project files for the duration of the project. The project file will contain hardcopy documents pertaining to the project. Electronic files delivered to the client should be copied onto CD and placed in central file. The project file should include the following information: • Project management • QA file • Deliverables • Relevant correspondence

10. Project CADD Standards / Computer Programs

All CADD deliverables shall be prepared in compliance with current WMH and Caltrans CADD standards. Verification of all computer programs used on the project shall be documented.

11. Health and Safety Plan

A project specific Health and Safety Plan shall be prepared at the start of the project and issued to all WMH staff performing field investigation work.



6

12. Quality Reviews:

a) Environmental Revalidation Review % Complete Reviewer Hours

Environmental Technical Reports

40 Cook 24

40 Lee 16

Environmental Reval 0 Lee 8

b) 35% PS&E

Review % Complete Reviewer Hours Health/Safety Plan 100 Hadaya 2

Cost Estimate 100 Razeghi 16

CADD 100 Anjorin 16

Constructability 100 Razeghi 20

Comment/Responses 0 Razeghi 24

c) 65% PS&E

Review % Complete Reviewer Hours ITR 0 Haas 8


CADD 0 Anjorin 16


d) 95% PS&E



Bidability 0 Razeghi 32

CADD 0 Anjorin 16


e) Final PS&E



Specifications 0 Razeghi 24

CADD 0 Anjorin 16




7

f) DOE Review Review % Complete Reviewer Hours

Cost Estimate 0 Lee 8

HQOE Package 0 Razeghi 40

CADD Submittal 0 Anjorin 16




8

13. Control of Quality:

This Project Quality Control Plan (PQCP) will provide control of quality for the Project. The PQCP was developed from applicable procedures in the Caltrans Quality Management Handbook, which provides general guidelines for project quality control plans. In general all design drawings, calculations, special provisions and reports will be checked, corrected and back checked following the procedures outlined in this Project Quality Control Plan (PQCP).

Assigned staff members are individually responsible for controlling the quality of services within their area of performance. Specific duties and responsibilities for quality are defined in Section 12 of this PQCP.

No project document shall be submitted to the client (or other reviewing agency) without prior review by the designated reviewer.

14. QC Plan For Subconsultants:

Appendix B of this PQCP includes the quality control procedures adopted by subconsultants on the project. Subconsultant deliverables are checked by WMH using the procedures provided in Appendix A.

15 QC Checking Procedures

Appendix A of this PQCP contains the Quality Control Plan Forms to be used on this project.

Independent Technical Reviews (ITRs)

An independent technical review (ITR) will be conducted of the plans, specifications, estimates and reports submitted, as applicable, for the 65%, 95% and Final PS&E submittals. The independent technical reviewer is identified in Section 7 of this PQCP. The individual conducting the ITR will be a senior engineer that has not been directly involved in the design of this project. The ITR will be an overall review of the document for conformance to Caltrans Standards, constructability, standard of care and overall completeness. The ITR is not a detailed check, but an overall review of the document.

Constructability / Bidability Reviews

The reviews are performed as an element of quality control to ensure that potential impediments are considered, recognized, and/or properly accounted for in the working documents. The following are major considerations to be addressed during internal reviews:

• An accurate description of the existing site conditions

• Restrictions on the project area

• Identification of long-lead procurement items

• Adequacy of construction schedule

• Identification of critical and essential elements for the construction plan

• Identification of ambiguities in design

• Consideration of operation and maintenance features

• Cross check plans, specifications and bid item list for errors / omissions.



9

16. Project Management:

Project management and administration will follow applicable procedures set forth in the scope of services of the CCTA Agreement.

17. Applicable Standards:

Deliverables and other elements will be prepared by staff exercising reasonable care and professional competence. As a minimum, the deliverables will meet the requirements of and conform to the applicable Standards of Practice identified in the CCTA Agreement.

This is an English units project



APPENDIX



Sheet 1 of 2

PROJECT QUALITY ASSURANCE CHECKLIST

Project Name: Start Date:

Project Number: Completion Date:

Project Manager: Principal-in-Charge

Item REQUIRED QA AND QC ACTIVITIES Appli

cable

Com

pli

ance

Defi

cie

ncy

Comments Corr

ecti

on

Date

Veri

ficati

on

Date

1 Establish Project Central File *

2 Prepare Project Quality Assurance File Folder *

3 Review Proposal/Contract, maintain records (Negotiations

Correspondence, memos, etc.)

*

4 Prepared Project Quality Control Plan, obtain approval from

Principal-in-Charge, include in Project Management Plan

*

5 Prepare Project Criteria / Risk Document, include in Project

Management Plan

*

6 Prepare/Review subcontracting agreements, obtain approval

from Principal-in-Charge

7 Prepare Project Management Plan, obtain approval from

Principal-in-Charge

*

8 Conduct Project Kick-off Meeting

9 Prepare Health and Safety Plan *

10 Document and Data Control *

11 Use procedures to document out of scope work (Notification)

12 Prepare Computer Program Log

13 Prepare/Check Computer Program Verification, if required

14 Use procedures to prepare and detail-check calculations

15 Complete Calculation Cover Sheet

16 Use procedures to prepare and detail-check drawings

17 Use procedures to prepare and detail-check specifications



QMM – EXH 14.1-2 - 06/09/14 Sheet 2 of 2

Item REQUIRED QA AND QC ACTIVITIES Appli

cable

Com

pli

ance

Defi

cie

ncy

Comments Corr

ecti

on

Date

Veri

ficati

on

Date

18 Review Draft Study/Report

19 Review Draft Estimate

20 Evaluate/Verify/Accept Subconsultant’s Services

21 Conduct Independent Technical Review of Contract

Deliverables

*

22 Complete ITR Report *

23 Use procedures to identify & report nonconformances

24 Use procedures to correct & prevent nonconformances

25 Use procedures to store quality records

26 Conduct QA Audits *

27 Complete QA Audit and Findings Report, and Audit Check

List

Legend: * = always applicable



Attached are instructions for filing documents for WMH projects.

PART A – FILING DOCUMENTS 1. Stamp file copies of all incoming or outgoing documents and complete as per example below.

2. Refer to Project File List for Main File # code. (see x:\\002_WMH_Filing\Project Filing.doc)

3. Place document for filing in appropriate project tray in mail room.

PART B – RETRIEVING DOCUMENTS

4. To search for documents in the project file log into WMH Intranet site (FILING) and select the

project to be searched.

5. Select “SEARCH” from the menu

6. Type in the field you want to search for.

7. When you find the file you want, make a note of the Log #.

8. Go to the file drawer and pull the document from the project file. Note documents are filed in Log #

sequence

Additional notes:

a) A copy of all documents that go in or out of the office need to be in the project file. Please DO NOT

keep the original in your office since no one will know where to find it.

b) This process applies to plans as well. For large plans (kept in the flat files) stamp the plan and a

blank sheet of paper. Under the description include the words [FLAT FILE]. Place the blank sheet

of paper in the filing tray in the mail room.

c) This process applies to all checked plans and reports. This is a QA/QC requirement.

d) If you don’t have a stamp – request one from Kimberly.

e) The Main File # code is to help with searching the database. For example you can list all the

documents related to traffic by entering the code 481.01.

f) The Log No will be added by admin when the filing is entered into the database.

g) Add the website url under your “Favorites” to make it easier to go back to the website the next time.

The success of our filing system depends on everyone knowing the system and using it.



of 1 Printed 06/09/14

REVIEW COMMENTS AND RESPONSES MATRIX Project: Comments By:

Submittal: Comments Dated

Responses By:

CODE: A-Will Comply; B-Design Team to Evaluate; C-Will Not Incorporate; D-Agency to Evaluate; E-No Action Required

No. Page No. Review Comments Design Responses Proposed

Action:

Final

Action:



X:\Cordelia_TIF\100_pm\qcplan\ procedure-agency-reviews.doc

PROCEDURES FOR RESPONDING TO AGENCY REVIEW COMMENTS

For responding to agency comments on project deliverables, the following procedure shall be

used:

1. The originator of a document receiving agency comments shall be responsible for fully

responding to those comments.

2. A team meeting will be held (if necessary) to coordinate the various comments. Written

responses for each agency comment shall be documented on Form entitled “Review

Comments/Responses Matrix”.

3. Design Team will conduct a Comment Resolution Meeting (if necessary), one week after

Agency Review comments are circulated. Consensus shall be reached and responses

revised, as appropriate.

4. Original copies of mark-up’s with written comments shall be packaged and returned to

reviewing agency with the next major submittal. A copy shall be added to the Project

File.

� EVERY EFFORT MUST BE MADE TO FULLY RESOLVE AGENCY COMMENTS.

� ANY AMBIGUOUS COMMENTS MUST BE COORDINATED WITH THE AGENCY

REVIEWER BEFORE SUBMITTING WRITTEN RESPONSES.



of 1

INDEPENDENT TECHNICAL REVIEW COMMENTS

Client: Project No.

Project Name:

Document Being Reviewed/Revision Number:

Independent Technical Reviewer: Date:

Dispositions: A = Will Incorporate; B = Will Evaluate; C = Delete Comment; D = Will Incorporate in Next Submittal

Ref. Cmt.

No.

Comment Disposition Response Verification



INDEPENDENT TECHNICAL REVIEW REPORT<Project Name>

<Project Location>

WMH Project No.: xxxxxxx

I. Assigned Independent Reviewer: (To be approved by the Project Manager)

Document to be Reviewed:

(Title/Revision Number/Submittal)

The scope of the review (contd. on the attachment):

Submitted by: Date:

Discipline Design Manager

II. Reviewer Report

(To be completed by the Independent Reviewer)

I have reviewed the above-referenced document in accordance with the appropriate checklist/s and project scope. My

conclusions in summary are as follows:

Reference comments on: work product, and Comment/Response, pages through

The Reviewer's comments have been provided. Reviewer's Initials: Date:

III. Disposition of comments

� Verification of correct incorporation of resolved comments into final document is complete.

Verified by: Date:

Independent Reviewer

This review has been completed. Any significant issues not resolved between the Independent Reviewers Originator,

Discipline Design Manager and Project Manager have been resolved by me.

Approved by: Date:

Project Design QA Manager

Distribution after completion and approval: Project Manager

Independent Reviewer

Project Design QA Manager

Discipline Design Manager

Project QA File



CALCULATION COVER SHEET

Client: Project Name:

Project/Calculation Number:

Title:

Total Number of Pages (including cover sheet):

Total Number of Computer Runs:

Prepared by: Date:

Checked by: Date:

Description and Purpose:

Design Basis/References/Assumptions

Remarks/Conclusions/Results:

Calculation Approved by:

Project Manager/Date

Revision No.: Description of Revision: Approved by:

Project Manager/Date



STANDARD GUIDELINES FOR PREPARING AND CHECKING CALCULATIONS

Calculations shall be prepared to meet the requirements listed below:

1. Be neat and legible. Use the WMH computation pad and calculation cover

sheet for hand calculations.

2. Complete headings on all pages.

3. State the purpose of the calculation and reference where its result is used

(e.g., drawings, specifications, equipment structure). Use sketches for

clarity.

4. List all assumptions that must be verified later, such as equipment weights

and sizes, or pump performance curves. Give references for values,

properties and coefficients used.

5. State criteria for judging results, preferably at result.

6. Define symbols not commonly used.

7. Show source or derivation of equations not commonly used. Give

references for methods applied.

8. Give the name and source of a verified computer program used to assist in

performing the calculation.

9. Identify computer output with the same information shown on the standard

form heading for hand calculations.

10. Make sure that the computer program used has been verified.

11. Group calculations for various portions of a project.

12. Provide an index for quick reference.

13. Make the result of a calculation obvious (not buried in a series of numbers).

14. Explain gross over-design or recalculate.



STANDARD GUIDELINES FOR PREPARING AND CHECKING CALCULATIONS

(Continued)

Calculations shall be checked by an independent checker in accordance with the requirements listed

below:

15. Verify all of the above items.

16. Perform a detailed mathematical check on special, intricate or unusual

designs. “Rule of Thumb” methods or alternate approximate calculations or

prior experience are acceptable to check the more ordinary designs.

17. Verify the input to and the reasonableness of results from computer

program calculations.

18. Make sure the computer program has been verified.

19. Verify proper interpretation of interfacing design factors. Eventually

confirm assumptions listed in Item 4 above.

20. Confirm that all major parts and components of the design are supported by

calculations.

21. Bring all recommendations, suggestions, deficiencies or questions to the

attention of the originator and/or the Project Manager for review and action,

and note them on the check document (copy of the original calculations)

using the standard color-coded marking procedure.

22. Verify the changes and corrections made to the original calculations for

consistency with the provided comments and corrections.

23. Complete and sign Calculation Cover Sheet, attach to the original

calculations and file a copy in the Project Quality Assurance File.



COLOR-CODED MARKING PROCEDURES

FOR INDEPENDENT TECHNICAL REVIEWS

For the Independent Technical Review of documents, the following color-coded marking

procedure shall be used, if the review/check document is used to document the procedure:

1. Correct information shall be highlighted in yellow to signify that the information has

been subjected to review/check and is found to be correct.

2. Incorrect information shall be marked up in red for literal correction by the Technician.

Suggestions, comments, and notes shall be written in clouded text.

3. Marked-up information shall be back checked by the Originator.

4. Marked-up information upon which the Originator disagrees with the Reviewer/Checker

shall be resolved through discussion. If they are unable to reach an agreement, the

Project Manager shall decide upon the resolution.

5. All marked-up and agreed or decided upon information shall be corrected/incorporated in

the original document by the Technician. After applying a procedure of self-checking,

the Technician shall signify the completion of the correction by highlighting the marked

up information in yellow on the Review/Checking document.

6. The corrections shall subsequently be verified by the Reviewer/Checker. He/she shall

signify the proper correction by signing the checked plan set.

7. A detail Checking Procedure or Design Coordination Review will be complete upon

approval by the Discipline Design Manager. An Independent Technical Review will be

complete upon approval and signature by the Project Design Quality Assurance

Manager.



STANDARD GUIDELINES FOR PREPARING AND CHECKING DRAWINGS

Drawings shall be prepared to satisfy the following general guidelines and the Project CADD Standards, which, as

supplemental procedures, have been made part of the Project Quality Assurance Plan:

1. Use Caltrans standard border sheets with title block of the proper size for the task unless other sheets are

required by the client.

2. Use current version of Caltrans Plans Preparation Manual and Caltrans CADD Manual for format and

presentation.

3. Orient drawings with north to the top or left of the sheet unless this results in a violation of the governing

requirements to show stationing going up from the bottom to the top or from the left to the right side of a

sheet. Show grid lines or column lines as appropriate.

4. Use the same style of lettering throughout the drawing, unless Caltrans standards dictate otherwise.

5. Do not repeat dimensions unless necessary for clarity.

6. Coordinate drawings between different disciplines. <ongoing>

7. Verify work related call-outs on plans are consistent with special provisions and bid item list. <ongoing>

8. When applicable, show reference datum, coordinate system, and source of information for existing site and

record drawing.

Drawings shall also be checked to satisfy the following requirements:

9. Verify all of the above items.

10. Review everything on the drawing (pictorial, dimensional, and written) portion for accuracy, readability,

and compliance with design criteria and project requirements.

11. Use the WMH check marking technique (see example overleaf).

12. Check title block for proper identification, numbers, and signatures.

13. Check interfaces with other disciplines to assure proper interpretation of interfacing design factors.

14. Check for incorrect spelling. Make sure abbreviations and symbols are defined.

15. Verify to confirm that the originator and/or CADD technician has incorporated corrections/comments

correctly and signify that by signing on the check document.



WMH PLAN CHECK

REDLINE BY:

Initial

s Date

DRAFTED BY:

Initial

s Date

BACK CHECK

BY:

Initial

s Date

WMH Plan Check Stamp



STANDARD GUIDELINES FOR PREPARING AND CHECKING

TECHNICAL SPECIFICATIONS

The technical sections of the specifications shall be prepared to meet the following guidelines:

1. Start preparing the specifications during 65% PS&E design stage in accordance with Caltrans RTL Guide (current

version).

2. Use Caltrans Special Provisions (latest internet version).

3. Use local jurisdiction, or Caltrans special provisions as a basis, when developing nonstandard special provisions

(NSSP). Caltrans approval of NSSP’s is required.

4. Prepare a Bid Item List describing all items covered by the contract documents, work covered by other contracts,

and items to be furnished by the owner.

5. Use the same terminology for nomenclature throughout the specification.

6. Include references to proprietary products only to establish the expected level of the quality of materials and

workmanship; make notation thereof.

7. Include specific quality assurance requirements, when appropriate.

8. Coordinate the special provision with the contract drawings. Confirm the statement, "as shown on the plans".

9. When testing is required, define the specific test and give the acceptance criteria for the tests.

Specifications shall be checked for compliance with the foregoing requirements. The review also shall consider the

following items:

10. Provide standard Caltrans description of bid items.

11. Is the specification in agreement with the Project Report, Environmental Document or other controlling

documents?

12. Does the statement of the contractor's responsibilities ensure that no interface gaps or overlaps exist?

13. Has the specification been coordinated with interfacing disciplines? Have all comments from prior reviews been

satisfactorily resolved?

14. Are descriptions of bid items complete and accurate? Is all work covered by bid items?



Change in Work Scope Page 1 of 2

<Project Name>

NOTIFICATION

Change in Work Scope – <description title>

No. X ______________________________________________________________________________

To: <client manager> Date: <date> From: <WMH Project Manager> File: ______________________________________________________________________________ At this time, additional budget is not being requested. This document requests <client name> concurrence of a change in and/or added level of effort to the base work scope. This document is not an Extra Work Order. The WMH Team will try to absorb this additional scope within the existing budget. If it is determined that the effort will cause WMH to exceed the budget for the agreement, WMH will notify <client name> in writing. This information is provided to assure concurrence and approval of the additional-to-scope and/or added effort level items.

Description of Work <give detailed description of the change in work scope including any assumptions> Reason for Work Scope Change <state justification for change in work scope and any requirements or agreements made with others to do the work> Deliverables <list all deliverables to be provided for change in work scope> Estimated Effort Total estimated increase in budget: Labor Hours XX hrs Cost $ XXXX

A detailed estimate table is attached

Impacts to Schedule <state if change in work scope accelerates or delays the agreed project schedule> Impacts to Construction Cost <state if the change in work scope increases or decreases the project construction cost> Submitted by: _______________________________________________ _____________ WMH Project Manager Date Concurred by: ____________________________________________________________ Client Manager Date



Printed 6/9/2014

PROJECT COMPUTER PROGRAM LOG

Project Number:

Client: Project Name:

Computer Program

Name

Version

Number

In-

House/Outside/

Project-Specific

Computer

System

Verification

Date

PM

Initials

AUTOTURN OUTSIDE XP ***

CORPSCON OUTSIDE XP ***

IN-ROADS OUTSIDE XP ***

MATHCAD 2000 OUTSIDE XP ***

MICROSOFT EXCEL 2003 OUTSIDE XP ***

MICROSOFT

POWERPOINT

2003 OUTSIDE XP ***

MICROSOFT WORD 2003 OUTSIDE XP ***

MICROSTATION V8 XM OUTSIDE XP ***

PARCEL QUEST OUTSIDE XP ***

SIGNCAD OUTSIDE XP ***

***

The requirement to verify the above-listed programs has been waived for the following

reasons: See attached Verification Waiver Memorandum.

Principal-in-Charge: Date:

Office Quality Assurance Officer: Date



AUDIT FINDING REPORTS

Client/Project

Name:

Project

Number:

Project

Manager

:

Audit

Number: Audit Date: Audit Leader:

AFR

Number

Audited Area/Findings/Recommended

Action (To be completed by Audit Leader)

Corrective Action Reply (To be completed by Project Manager, attachments may

be used as necessary)

Corrective Action

Completed

By/Date

(By Project

Manager)

Corrective Action

Verified By/Date

(By Audit Leader)



TECHNICAL AUDIT REPORT

Client: Project Number:

Project Name:

Audit Number: Audit Date:

Audit Team Members:

Audit Criteria:

� Quality Assurance Manual

� Project Standards and Criteria

� Other:

Audit Scope:

� Project Central File � Specifications

� Project Management Plan � Engineer’s Estimates

� Contract Review � Detail-Checking Procedure

� Reports � Independent Technical Review

� Calculations � Design Coordination Review

� Computer Programs � Records Retention

� Purchasing/Control � Other

� Drawings

Audit Contacts:

Corrective Action Needed: � No � Yes (see attached Audit Finding Report)

Audit/Corrective

Action Completed:

Date

Project Manager

Audit/Follow-up Review

Completed:

Date

Audit Leader

Approved: Date

Office QA Officer

Attachments: Audit Finding Report pages

QA Audit Checklist

pages

Distribution: Office Manager

Principal-in-Charge

Project Manager

Office QA Officer

Project File



CALTRANS WORK BREAKDOWN STRUCTURE (WBS)

WBS Code Phase * WBS Description

PROJECT MANAGEMENT

100.05 k PROJECT MANAGEMENT ‐ PID COMPONENT

100.10 0 PROJECT MANAGEMENT ‐ PA & ED COMPONENT

100.15 1 PROJECT MANAGEMENT ‐ PS&E COMPONENT

100.20 3 PROJECT MANAGEMENT ‐ CONSTRUCTION COMPONENT

100.25 2 PROJECT MANAGEMENT ‐ RIGHT OF WAY COMPONENT

PROJECT INITIATION

150 k DEVELOP PROJECT INITIATION DOCUMENT [PID]

150.05 k TRANSPORTATION PROBLEM DEFINITION AND SITE ASSESSMENT

150.10 k INITIAL ALTERNATIVES DEVELOPMENT

150.15 k ALTERNATIVES ANALYSIS

150.20 k PRELIMINARY ENVIRONMENTAL ANALYSIS REPORT [PEAR]

150.25 k APPROVED PID [PSR PSSR ETC.]

150.35 k REQUIRED PERMITS DURING PROJECT INITIATION DOCUMENTS DEVELOPMENT

150.40 k PERMITS DURING PROJECT INITIATION DOCUMENTS DEVELOPMENT

150.45 k BASE MAPS AND PLAN SHEETS FOR PROJECT INITIATION DOCUMENTS

PERMITS AND ENVIRONMENTAL STUDIES (PA&ED)

160 0 PERFORM PRELIMINARY ENGINEERING STUDIES AND DRAFT PROJECT REPORT

160.05 0 UPDATED PROJECT INFORMATION

160.10 0 ENGINEERING STUDIES

160.15 0 DRAFT PROJECT REPORT

160.20 0 ENGINEERING AND LAND NET SURVEYS

160.30 0 ENVIRONMENTAL STUDY REQUEST [ESR]

160.40 0 NEPA DELEGATION

160.45 0 BASE MAPS AND PLAN SHEETS FOR PA&ED DEVELOPMENT

165 0 PERFORM ENVIRONMENTAL STUDIES AND PREPARE DRAFT ENVIRONMENTAL DOCUMENT

165.05 0 ENVIRONMENTAL SCOPING OF ALTERNATIVES IDENTIFIED FOR STUDIES IN THE PID

165.10 0 GENERAL ENVIRONMENTAL STUDIES

165.15 0 BIOLOGICAL STUDIES

165.20 0 CULTURAL RESOURCE STUDIES

165.25 0 DRAFT ENVIRONMENTAL DOCUMENT


170 0 PERMITS AGREEMENTS AND ROUTE ADOPTIONS DURING PA&ED COMPONENT

170.05 0 REQUIRED PERMITS

170.10 0 PERMITS

170.15 0 RAILROAD AGREEMENTS

170.20 0 FREEWAY AGREEMENTS

170.25 0 AGREEMENT FOR MATERIAL SITES

170.30 0 EXECUTED MAINTENANCE AGREEMENT

170.40 0 ROUTE ADOPTIONS

170.45 0 MOU FROM TRIBAL EMPLOYMENT RIGHTS OFFICE [TERO]


175 0 CIRCULATE DRAFT ENVIRONMENTAL DOCUMENT AND SELECT PREFERRED PROJECT ALTERNATIVE

175.05 0 DED CIRCULATION

175.10 0 PUBLIC HEARING

175.15 0 PUBLIC COMMENT RESPONSES AND CORRESPONDENCE

175.20 0 PROJECT PREFERRED ALTERNATIVE


180 0 PREPARE AND APPROVE PROJECT REPORT AND FINAL ENVIRONMENTAL DOCUMENT

180.05 0 FINAL PROJECT REPORT

180.10 0 FINAL ENVIRONMENTAL DOCUMENT

180.15 0 COMPLETED ENVIRONMENTAL DOCUMENT


PLANS, SPECIFICATION, & ESTIMATES (PS&E)

185 1 PREPARE BASE MAPS AND PLAN SHEETS DURING PS&E DEVELOPMENT

185.05 1 UPDATED PROJECT INFORMATION

185.10 1 ENGINEERING AND PHOTOGRAMMETRIC SURVEYS

185.15 1 PRELIMINARY DESIGN

185.20 1 ENGINEERING REPORTS

185.25 1 RIGHT OF WAY REQUIREMENTS DETERMINATION

185.30 1 STRUCTURE SITE PLANS

185.99 1 OTHER BASE MAPS AND PLAN SHEETS PRODUCTS

205 1 PERMITS AND AGREEMENTS DURING PS&E COMPONENT

Page 1 of 4 Source: Guide to Project Delivery Workplan Standards, Release 10.2, Caltrans, June 2012

APPENDIX 4.5 - WORK BREAKDOWN STRUCTURE




205.05 1 REQUIRED PERMITS

205.10 1 PERMITS

205.15 1 RAILROAD AGREEMENTS

205.25 1 AGREEMENT FOR MATERIAL SITES

205.30 1 EXECUTED MAINTENANCE AGREEMENT

205.45 1 MOU FROM TRIBAL EMPLOYMENT RIGHTS OFFICE [TERO]


230 1 PREPARE DRAFT PS&E

230.05 1 DRAFT ROADWAY PLANS

230.10 1 DRAFT HIGHWAY PLANTING PLANS

230.15 1 DRAFT TRAFFIC PLANS

230.20 1 TRANSPORTATION MANAGEMENT PLAN

230.25 1 DRAFT UTILITY PLANS

230.30 1 DRAFT DRAINAGE PLANS

230.35 1 DRAFT SPECIFICATIONS

230.40 1 DRAFT PS&E QUANTITIES AND ESTIMATES

230.55 1 STRUCTURES DRAFT PS&E INCORPORATION

230.60 1 UPDATED PROJECT INFORMATION FOR PS&E PACKAGE


230.99 1 OTHER DRAFT PS&E PRODUCTS

235 1 MITIGATE ENVIRONMENTAL IMPACTS AND CLEAN‐UP HAZARDOUS WASTE

235.05 1 ENVIRONMENTAL MITIGATION

235.10 1 DETAILED SITE INVESTIGATION FOR HAZARDOUS WASTE

235.15 1 HAZARDOUS WASTE MANAGEMENT PLAN

235.20 1 HAZARDOUS WASTE PS&E

235.25 1 HAZARDOUS WASTE CLEAN‐UP

235.30 1 HAZARDOUS SUBSTANCES DISCLOSURE DOCUMENT [HSDD]

235.35 1 LONG TERM MITIGATION MONITORING

235.40 1 UPDATED ENVIRONMENTAL COMMITMENTS RECORD


240 1 DRAFT STRUCTURES PS&E

240.50 1 OVERALL DRAFT STRUCTURES PS&E

240.55 1 FOUNDATION PLAN

240.60 1 HYDRAULICS REPORT

240.65 1 PRELIMINARY FOUNDATION REPORT

240.70 1 PRODUCTS REQUIRED TO READY SITE FOR SUBSURFACE EXPLORATION

240.75 1 DRAFT GENERAL PLANS

240.80 1 FOUNDATION REPORT

240.85 1 DRAFT STRUCTURE PLANS

240.90 1 DRAFT STRUCTURES SPECIAL PROVISIONS AND COST ESTIMATE

250 1 FINAL STRUCTURES PS&E PACKAGE

250.50 1 PROJECT REVIEW

250.55 1 FINAL STRUCTURE PLANS

250.60 1 FINAL STRUCTURE SPECIAL PROVISIONS AND COST ESTIMATE

255 1 CIRCULATE REVIEW AND PREPARE FINAL DISTRICT PS&E PACKAGE

255.05 1 CIRCULATED & REVIEWED DRAFT DISTRICT PS&E PACKAGE

255.10 1 UPDATED PS&E PACKAGE

255.15 1 ENVIRONMENTAL REEVALUATION

255.20 1 FINAL DISTRICT PS&E PACKAGE

255.25 1 GEOTECHNICAL INFORMATION HANDOUT

255.30 1 MATERIALS INFORMATION HANDOUT

255.35 1 CONSTRUCTION STAKING PACKAGE AND CONTROL

255.40 1 RESIDENT ENGINEER'S PENDING FILE


255.50 1 SECURED LEASE FOR RESIDENT ENGINEER OFFICE SPACE OR TRAILER

255.55 1 CONTRACTOR OUTREACH

255.65 1 RIGHT OF WAY CERTIFICATION DOCUMENT

255.70 1 RIGHT OF WAY ENGINEERING PRODUCTS

255.75 1 UPGRADED/UPDATED RIGHT OF WAY CERTIFICATION DOCUMENT

260 1 CONTRACT BID DOCUMENTS “READY TO LIST”

260.50 1 PROJECT SUBMITTAL READY TO PROCESS [PS&E]

260.60 1 DRAFT CONTRACT COMMENTS [DCC]

260.70 1 DRAFT CONTRACT COMMENT RESPONSE [DR]






260.75 1 ENVIRONMENTAL CERTIFICATION AT RTL

260.80 1 DRAFT CONTRACT READY

260.90 1 READY TO LIST [RTL]

265 1 AWARDED AND APPROVED CONSTRUCTION CONTRACT

265.50 1 CONTRACT READY FOR ADVERTISING

265.55 1 ADVERTISED CONTRACT

265.60 1 BIDS OPENED

265.65 1 CONTRACT AWARD

265.70 1 EXECUTED AND APPROVED CONTRACT

265.75 1 INDEPENDENT ASSURANCE

RIGHT OF WAY

195 2 RIGHT OF WAY PROPERTY MANAGEMENT AND EXCESS LAND

195.40 2 PROPERTY MANAGEMENT

195.45 2 EXCESS LAND

200 2 UTILITY RELOCATION

200.15 2 APPROVED UTILITY RELOCATION PLAN

200.20 2 UTILITY RELOCATION PACKAGE

200.25 2 UTILITY RELOCATION MANAGEMENT

200.30 2 UTILITY CLOSE OUT

200.99 2 OTHER UTILITY RELOCATION PRODUCTS

220 2 RIGHT OF WAY ENGINEERING

220.05 2 EXISTING LAND NET

220.10 2 LAND NET MAP

220.15 2 RIGHT OF WAY MAPS

220.20 2 ACQUISITION DOCUMENTS

220.25 2 DOCUMENTS TO CONVEY PROPERTY RIGHTS

220.35 2 FIELD LOCATED RIGHT OF WAY

225 2 OBTAIN RIGHT OF WAY INTERESTS FOR PROJECT RIGHT OF WAY CERTIFICATION

225.50 2 PARCEL AND PROJECT DOCUMENTATION

225.60 2 RIGHT OF WAY APPRAISALS

225.65 2 RIGHT OF WAY ACQUISITION

225.70 2 RIGHT OF WAY RELOCATION ASSISTANCE

225.75 2 RIGHT OF WAY CLEARANCE

225.80 2 RIGHT OF WAY CONDEMNATION

245 2 POST RIGHT OF WAY CERTIFICATION WORK

245.50 2 PARCEL AND PROJECT DOCUMENTATION

245.60 2 RIGHT OF WAY APPRAISALS

245.65 2 RIGHT OF WAY ACQUISITION

245.70 2 RIGHT OF WAY RELOCATION ASSISTANCE

245.75 2 RIGHT OF WAY CLEARANCE

245.80 2 RIGHT OF WAY CONDEMNATION

300 2 FINAL RIGHT OF WAY ENGINEERING

300.05 2 RIGHT OF WAY MONUMENTATION

300.10 2 TRIAL EXHIBITS AND TESTIMONY

300.25 2 RELINQUISHMENT AND VACATION MAPS

300.30 2 DEED PACKAGE FOR EXCESS LAND TRANSACTIONS

300.35 2 RIGHT OF WAY RECORD MAP

CONSTRUCTION

270 3 CONSTRUCTION ENGINEERING AND GENERAL CONTRACT ADMINISTRATION

270.10 3 CONSTRUCTION STAKING PACKAGE AND CONTROL

270.15 3 CONSTRUCTION STAKES

270.20 3 CONSTRUCTION ENGINEERING WORK

270.25 3 CONSTRUCTION CONTRACT ADMINISTRATION WORK

270.30 3 CONTRACT ITEM WORK INSPECTION

270.35 3 CONSTRUCTION MATERIAL SAMPLING AND TESTING

270.40 3 SAFETY AND MAINTENANCE REVIEWS

270.45 3 RELIEF FROM MAINTENANCE PROCESS

270.55 3 FINAL INSPECTION AND ACCEPTANCE RECOMMENDATION

270.60 3 PLANT ESTABLISHMENT ADMINISTRATION

270.65 3 TMP IMPLEMENTATION DURING CONSTRUCTION

270.70 3 UPDATED ENVIRONMENTAL COMMITMENTS RECORD

270.75 3 RESOURCE AGENCY PERMIT RENEWAL AND EXTENSION REQUESTS

270.80 3 LONG‐TERM ENVIRONMENTAL MITIGATION/MITIGATION MONITORING DURING CONSTRUCTION CONTRACT






270.99 3 OTHER CONSTRUCTION ENGINEERING AND GENERAL CONTRACT ADMINISTRATION

275 3 CONSTRUCTION ENGINEERING AND GENERAL CONTRACT ADMINISTRATION OF STRUCTURES WORK

275.10 3 OFFICE ADMINISTRATION WORK FOR STRUCTURES

275.20 3 FIELD ADMINISTRATION WORK FOR STRUCTURES

275.30 3 CONTRACT CHANGE ORDER INSPECTION FOR STRUCTURES WORK

275.40 3 SAFETY TASKS FOR STRUCTURES WORK

285 3 CONTRACT CHANGE ORDER ADMINISTRATION

285.05 3 CONTRACT CHANGE ORDER [CCO] PROCESS

285.10 3 FUNCTIONAL SUPPORT

290 3 RESOLVE CONTRACT CLAIMS

290.05 3 ANALYSIS OF NOTICES OF POTENTIAL CLAIMS

290.10 3 SUPPORTING DOCUMENTATION AND RESPONSES TO NOTICES OF POTENTIAL CLAIMS

290.15 3 REVIEWED AND APPROVED CLAIM REPORT

290.20 3 DISTRICT CLAIM MEETING OR BOARD OF REVIEW

290.25 3 ARBITRATION HEARING

290.30 3 NEGOTIATED CLAIM SETTLEMENT

290.35 3 TECHNICAL SUPPORT

295 3 ACCEPT CONTRACT/ PREPARE FINAL CONSTRUCTION ESTIMATE AND FINAL REPORT

295.05 3 PROCESSED ESTIMATE AFTER ACCEPTANCE

295.10 3 PROPOSED FINAL CONTRACT ESTIMATE

295.15 3 AS‐BUILT PLANS

295.20 3 PROJECT HISTORY FILE

295.25 3 FINAL REPORT

295.30 3 PROCESSED FINAL ESTIMATE

295.35 3 CERTIFICATE OF ENVIRONMENTAL COMPLIANCE

295.40 3 ACCEPTANCE

295.45 3 POST‐CONSTRUCTION TRAFFIC OPERATIONS ACTIVITIES295.99 3 OTHER ACCEPT CONTRACT/ PREPARE FINAL CONSTRUCTION ESTIMATE AND FINAL REPORT

*Phase k = PID (STU); Phase 0 = PA&ED (EIR); Phase 1 = PS&E (PSE); Phase 2 = Right‐of‐Way Support (ROW, ROWC, UTL); Phase 3 =

Construction Support (CON, CSS) ‐‐ NOTE: letters in parentheses correspond to Authority phase designations.




SAMPLE RISK REGISTER FOR A $5M TO $100M (CONSTRUCTION VALUE) PROJECT

LEVEL 2 - RISK REGISTER Project Name: DIST- EA 08-1234Project

Manager

Status ID # Type Category Title Risk Statement Current status/assumptions Probability Cost Impact Cost Score Time Impact Time Score Rationale Strategy Response Actions Risk Owner Updated

Active 160 Threat Design Survey File

Inaccuracies or incomplete information

in the survey file could lead to rework of

the design.

3-Moderate 2 -Low 6 4 -Moderate 12 MitigateVerify that the survey file is accurate and

completeSam Owner 10/12/2012

Active 161 Threat Environmental Challenge to EIR

Potential lawsuits may challenge the

environmental report, delaying the start

of construction or threatening loss of

funding.

1-Very Low 4 -Moderate 4 8 -High 8 MitigateAddress concerns of stakeholders and

public during environmental processEIR Person 11/23/2012

Active 162 Threat R/W Delay of R/W Acquisition

Due to the large number of parcels and

businesses, may have to use the

condemnation process to acquire R/W,

which could delay start of construction

by up to one year, increasing

construction costs and extend the time

for COS.

3-Moderate 4 -Moderate 12 8 -High 24 Accept R/W Person 11/23/2012

Active 163 Threat Construction Buried Objects

Unanticipated buried man-made objects

uncovered during construction require

removal and disposal resulting in

additional costs.

3-Moderate 4 -Moderate 12 4 -Moderate 12 AcceptInclude a Supplemental Work item to

cover this risk.PM 11/24/2012

Active 164 Threat Design Supplemental EIR

A design change that is outside of the

parameters contemplated in the

Environmental Document triggers a

supplemental EIR which causes a delay

due to the public comment period.

3-Moderate 4 -Moderate 12 8 -High 24 Avoid

Monitor design changes against ED to

avoid reassessment of ED unless the

opportunity outweighs the threat

Design Manager 11/24/2012

Active 165 Threat Environmental Nesting birds

Nesting birds, protected from

harassment under the Migratory Bird

Treaty Act, may delay construction

during the nesting season.

2-Low 2 -Low 4 8 -High 16 Mitigate

Schedule contract work to avoid the

nesting season or remove nesting habitat

before starting work.

PM/RE 11/24/2012

Active 166 Threat R/W Additional R/W

Due to the complex nature of the

staging, additional right of way or

construction easements may be

required to complete the work as

contemplated, resulting in additional

cost to the project.

3-Moderate 8 -High 24 8 -High 24 MitigateRe-sequence the work to enable R/W

CertificationR/W Person 11/24/2012

Active 167 Threat Construction Hazardous Materials

Hazardous materials encountered

during construction will require an on-

site storage area and potential

additional costs to dispose

2-Low 2 -Low 4 1 -Very Low 2 Accept Ensure storage space will be available PM 11/24/2012

Rating --> Very Low Low Moderate High Very High

Cost Impact of Threat

(CO + COS)

Cost Impact of Opportunity

(CO + COS)Insignificant cost reduction <1% cost decrease

1-3% cost

decrease

3-5% cost

decrease

>5% cost

decrease

Schedule Impact of Threat Insignificant slippage <1 month slippage1-3 months

slippage

3-6 months

slippage

>6 months

slippage

Schedule Impact of

OpportunityInsignificant improvement <1 month improvement

1-2 months

improvement

2-3 months

improvement

>3 months

improveme

nt

Probability 1–9% 10–19% 20–39% 40–59% 60–99%

Impact Definitions

>20% cost

increaseInsignificant cost increase <5% cost increase

5-10% cost

increase

10-20% cost

increase

Risk AssessmentRisk Identification

Example Project PM Person

Risk Response

Page 1 of 1

APPENDIX 4.6 - SAMPLE RISK REGISTER


COMMISSIONERS

Janet Abelson, Chair

Kevin Romick, Vice Chair

Newell Arnerich

Tom Butt

David Durant

Federal Glover

Dave Hudson

Mike Metcalf

Karen Mitchoff

Julie Pierce

Robert Taylor

Randell H. Iwasaki, Executive Director

2999 Oak Road

Suite 100

Walnut Creek

CA 94597

PHONE: 925.256.4700

FAX: 925.256.4701

www.ccta.net

Date

Name

Address

Subject: Project Initiation Document (PID) Services for Project Name in City, CA

Dear __________,

The Contra Costa Transportation Authority (Authority) is managing the project delivery

of the addition of mixed flow lanes, high occupancy vehicle lanes and operational

improvements on State Route 4 between the northbound I-680 on ramp and the San

Marcos interchange in the Pittsburg Baypoint area.

The Authority plans to engage the services of an engineering firm to develop the PID

documentation. Based on the evaluation performed under the Authority RFP/RFQ 10-

14, a ranked consultant Eligibility List was established in January 2011. Your firm is in

the group of Tier 2 firms that is now eligible to contract with us for the project services.

However, since the Eligibility List was established, many teams have experienced staff

turnover and staff availability has likely changed. The Authority is now seeking an

update to your organization chart and references, and availability and resumes for key

staff proposed for this contract. Key staff includes the Project Manager and Project

Engineer. Please provide (in five pages or less) your approach to administer this project

and your experience in administering other Caltrans oversight projects.

The Authority is requesting this information from the teams on the Tier 2 Eligibility List.

We intend to schedule a one-hour limited question and answer period, with no formal

presentation, with both of the responding teams and will select the most qualified firm

from the submittal, question/answer process and reference check.

APPENDIX 4.7 - SAMPLE RFQ LETTER


Name

Corporation

Date

Page 2

We would appreciate receiving your written materials no later than _______________. The

Q&A meeting will be scheduled within the following two weeks. Please confirm with me via e-

mail ([email protected]) as soon as possible on your intent to respond to this request. We will

then schedule a specific date and time for the interview with your team.

Thank you in advance for your interest in working with the Authority on this important project.

Sincerely,

Susan H. Miller

Director, Projects

Attachment: Project Fact Sheet

APPENDIX 4.7 - SAMPLE RFQ LETTER


Project Title Evaluation of Submittal, Interview and Reference Checks

Project Initiation Document Consultant Services

Consultant

Criteria

Maximum

Points Submittal Score

Submittal – Approach to administer project 10

Submittal - Understanding of Caltrans PID development process 10

Submittal – Resumes - Experience with similar types of projects 10

Subtotal Score Consultant Submittal 30

Subtotal Score Interview Questions (see below for breakdown) 60

Local Preference Points (CCTA staff to complete) 7

Satisfaction of previous clients (CCTA staff to complete) 10

Total Score 107

Interview Questions (to be provided at the interview)

Maximum

Points

Score for

Interview

Questions

1. 10

2. 10

3. 10

4. 10

5. 10

6. 10

Total Score 60

Submittal Score Questions Score References/Local

Preference Scores

TOTAL SCORE

Total Scores

Reviewer Date

APPENDIX 4.8 - SAMPLE SCORING SHEET


Comments:

Project Title

Evaluation of Submittal, Interview and Reference Checks

Project Initiation Document Consultant Services

Consultant

APPENDIX 4.8 - SAMPLE SCORING SHEET


COMMISSIONERS



Newell Arnerich

Tom Butt

David Durant

Federal Glover

Dave Hudson

Mike Metcalf

Karen Mitchoff

Julie Pierce

Robert Taylor


2999 Oak Road

Suite 100

Walnut Creek

CA 94597

PHONE: 925.256.4700

FAX: 925.256.4701

www.ccta.net

Date

Name

Address

Subject: Project Initiation Document (PID) Services for Project Title in City, CA

Dear __________________,

Thank you for submitting your firm’s updated qualifications and participating in the

interviews for the operational improvements on State Route 4 between the

northbound I-680 on ramp and the San Marcos interchange in the Pittsburg Baypoint

area.

We are pleased to inform you that after serious consideration, the selection panel has

chosen your firm as the top-ranked firm for this project. We appreciate your

participation in the selection process and look forward to working with you on this

exciting project!

We will contact you in the near future to schedule a meeting to review the project and

to develop an appropriate scope to be included in your contract.

Sincerely,

Susan H. Miller

Director, Projects

APPENDIX 4.9 - SAMPLE INTENT TO AWARD LETTER


COMMISSIONERS



Newell Arnerich

Tom Butt

David Durant

Federal Glover

Dave Hudson

Mike Metcalf

Karen Mitchoff

Julie Pierce

Robert Taylor


2999 Oak Road

Suite 100

Walnut Creek

CA 94597

PHONE: 925.256.4700

FAX: 925.256.4701

www.ccta.net

Date

Name

Address

Subject: Project Initiation Document (PID) Services for Project Name in City, CA

Dear ___________,

Thank you for submitting your firm’s updated qualifications and participating in the

interviews for the operational improvements on State Route 4 between the

northbound I-680 on ramp and the San Marcos interchange in the Pittsburg Baypoint

area.

After serious consideration, the selection panel has chosen another firm as the top-

ranked firm for this project. We appreciate your participation in the selection process

and look forward to working with you in the future.

If you would like a debriefing on the process, please contact me at 925-256-4736.

Sincerely,

Susan H. Miller

Director, Projects

APPENDIX 4.10 - SAMPLE NO INTENT TO AWARD LETTER


To: _________________, Project Delivery Manager

From: _________________, Contract Manager

Date:

Subject: Contract Information Questionnaire

Completion of the attached questionnaire is the initial step to creating a contract. Also

included is the standard consultant contract for your reference.

Please complete the questionnaire and refer to the standard contract for information to guide

your responses. When complete, return it to me at ________________ ((insert e-address)).

From this information, a draft contract will be created.

The following is an overview of the contract preparation process.

• The Project Delivery Manager (PDM) develops the scope, schedule, and fee with the

Consultant PM.

• The PDM works with Authority staff lead on the staff report for APC, Planning, or Board.

• The PDM receives the Contract Information Questionnaire for completion, along with

the standard consultant contract.

• When complete, the PDM returns the questionnaire to the Contract Manager (CTM)

who directs the preparation of a draft contract.

• The CTM will send the contract, along with a Consultant Information Questionnaire, to

the Consultant Project Manager (PM) for completion.

• The Consultant PM will return the completed questionnaire and supply all supporting

documentation to the CTM.

• The CTM will discuss any requests for changes to the terms and conditions in the draft

contract with Director, Projects, and Deputy Director, Projects, to reach a resolution.

• Once all issues have been resolved, the CTM will direct the preparation of the final

contract for signatures.

APPENDIX 4.11 - CONTRACT QUESTIONAIRE


Contract Information Questionnaire, REV 1

Form revised 1/6/2014

CONTRACT INFORMATION QUESTIONNAIRE

Please complete and return to _______________________ ((insert CTM’s e-address)).

PDM Contact Information: Consultant PM Contact Information:

Name Name

Phone Phone

e-mail e-mail

The information provided below will be used to create a new contract.

1. What is the CCTA Contract Number?

2. What is the name of the consulting firm?

Name of Firm

3. Please supply a brief description of the scope of services and check the appropriate box

below. First Page and Exhibit A, Section 31.

__________________________________________________________________________

__________________________________________________________________________

☐ PSR ☐ PAED ☐ PS&E ☐ DSDC ☐ CM ☐ ______________

4. Please indicate term of contract: ________________ to December 31, 20__. First page and

Section II.

Start date is either the Notice to Proceed (NTP) date or the date of the Authority Board

meeting at which the contract is approved. End date is typically December 31st

of the year

the work is to be completed.



Contract Information Questionnaire, REV 1


5. Will State funding be used for any part of this contract? Exhibit A Sections 6.3 and 16.1 and

Exhibit D Sections 1 and 2.

☐ YES ☐ NO

6. Is the work being performed for the State Highway system? If so, Caltrans will be named as

an additional insured. Exhibit A, Sections 10.1.2.1, 10.1.2.2, 10.1.2.4 and Exhibit B.

☐ YES ☐ NO

7. Will any underground exploration be done by either the consultant or a subconsultant? If

so, Pollution Liability Insurance will be required. Exhibit A, Section 10.1.5.

☐ YES ☐ NO

8. Is the consultant required to rent a construction field office as part of this contract?

Exhibit A, Section 16.3.4.

☐ YES ☐ NO

9. Will key personnel be included in this contract? If so, list names and titles below, expanding

as necessary. Typically, this is the PM and key technical staff. Exhibit A, Section 18.5.

☐ YES ☐ NO

Name Position

10. CCTA has a Master Cooperative Agreement with Caltrans (90.00.04/CT Agreement 4-2221)

used when the project and services being performed are design (PS&E). Will this agreement

be used for this contract? Exhibit A, Section 24.4.

☐ YES ☐ NO



To: _________________, Consultant Project Manager

From: _________________, Contract Manager

cc: _________________, Project Delivery Manager

Date:

Subject: Consultant Information Questionnaire

I am the Contract Manager (CTM) and am working with _______________________, the

Project Delivery Manager (PDM), to prepare your contract. Please complete this questionnaire

and refer to the attached draft contract to guide your responses. When complete, return it to

me at __________________________ ((insert e-address)). From this information, the draft

contract will be completed.

The following is an overview of the contract preparation process.

• The CCTA PM develops the scope, schedule, and fee with the Consultant PM.

• The Consultant Information Questionnaire, along with the draft contract, is sent to the

Consultant PM for completion.

• The Consultant PM returns the completed questionnaire and supplies all of the

following supporting documentation to the CTM:

o Signed W9

o Certificates of Insurance for consultant and each subconsultant

o Copies of consultant’s and each of its subconsultants’ most current Certified

Public Accountant (CPA) indirect cost rate (ICR) audit report. Typically, firms that

do a lot of government work have this prepared by their outside accountant. If

any of your subconsultants do not have this, please have them supply the

backup for how the FAR multiplier provided was calculated.

o Scope of Services for Exhibit B

o Milestone Schedule for Exhibit C

o Hourly Salary Ranges for each Subconsultant whose contract value is over

$100,000 for Attachment 1 to Exhibit D (Form included at the end of this

document).

o Sample Monthly Progress Report, if different from sample in Attachment 3 to

Exhibit D

o Sample Consultant Invoice, if different from sample in Attachment 4 to Exhibit D

o Sample Budget Status Summary by Task, if different from sample in

Attachment 5 to Exhibit D

APPENDIX 4.12 - CONSULTANT QUESTIONAIRE


Consultant Information Questionnaire

Page ___ of _____

• If there are any requests for changes to the terms and conditions in the draft contract,

please send them to me in a separate communication. I will discuss with Director,

Projects, and/or Deputy Director, Projects, as appropriate, to reach a resolution.

• Once all issues have been resolved, I will have the final contract prepared for signatures.

I will keep the PDM informed as the contract process progresses.



Consultant Information Questionnaire, Rev 1 Page 1


CONSULTANT INFORMATION QUESTIONNAIRE

Please complete and return to _______________________ ((insert CTM’s e-address)).

Consultant PM Contact Information:

Name

Phone

e-address

The information provided below will be used to complete the draft contract.

1. Please supply the name and address of your firm.

Name of Contracting Entity

Street Address

City, State, Zip

2. Who will sign the Contract? Provide information below.

Name of Authorized Representative

Title





3. Please provide the name and address of your Authorized Representative.

Exhibit A, Section 8.5.

Name of Authorized Representative

Street Address

City, State, Zip

4. What is the amount of your deductible for Professional Liability Insurance covering errors

and omissions? Refer to Exhibit A, Section 10.1.4, of draft contract

$

5. Are ALL subconsultants able to meet the insurance coverage requirements? (Coverage

equal to the Consultant.) Refer to Exhibit A, Section 10.6.2, of draft contract

☐ YES ☐ NO

Please list all subconsultants and their respective coverage limits for the insurance types

requested below. This table will help determine whether each subconsultant meets the

insurance requirements.

Umbrella* General

Liability Automobile

Workers

Comp

Professional

Liability

Prime Contract

Requirements

$5M

CSL

$1M/$1M/$1M

or $2M CSL $1M

$3M per

claim

Subconsultant

Coverage Limits

(Please list

Subconsultants)





Umbrella* General

Liability Automobile

Workers

Comp

Professional

Liability

Press ‘tab’ to

create more

rows

*If the Subconsultant has an umbrella policy, it will typically provide excess coverage to the General

Liability and Auto policies.

6. Is there any work to which consultant retains ownership?” Refer to Exhibit A, Section 26.2,

and Exhibit E of draft subcontract

☐ YES ☐ NO

If yes, name of software:

7. Please provide a one page Contract Fee Summary for inclusion in the contract immediately

after your Scope of Services. Refer to Attachment 1 to Exhibit B of draft subcontract.

8. Please provide the components of your approved FAR rate. Each component should be

reflected as a multiplier of your Direct Salary Cost up to three decimal places (e.g., payroll

additive: .351). Refer to Exhibit D, Sections 3.1 and 3.2, of draft subcontract

Direct Salary Cost 1.000

Payroll Additives

Overhead Costs Multiplier

Fee*

*Fee is typically 10% unless it results in a Total Multiplier with Fee greater

than 3.000

9. Are there any additional direct costs? Refer to Exhibit D, Section 3.3, of draft subcontract

☐ YES ☐ NO





If yes, itemize and indicate reimbursement rate below.

ITEM REIMBURSEMENT RATE

Typically “at cost”

10. Please indicate the range of Direct Salary Rates for each classification below and indicate

the date through which they are effective. Refer to Exhibit D, Section 4.2, of draft contract

Position or Classification Range of Hourly Rates

4.2.1 ____________________ __________________

4.2.2 ____________________ __________________

4.2.3 ____________________ __________________

4.2.4 ____________________ __________________

4.2.5 ____________________ __________________

4.2.6 ____________________ __________________

4.2.7 ____________________ __________________

4.2.8 ____________________ __________________

Effective through , 20 .

11. Please complete the table below with information from each subconsultant to be included

in this contract. Include Multiplier, Fee, and Multiplier with Fee. Refer to Attachment 1 to

Exhibit D of draft contract.

Place “X” in appropriate

columns Use three decimal places

Subconsultant

Services to be

Performed

Contract

value ≥

$100K

Contract

value <

$100K

Direct

Labor and

Overhead

Multiplier

Fee

Total

Multiplie

r with

Fee





Place “X” in appropriate

columns Use three decimal places

Subconsultant

Services to be

Performed

Contract

value ≥

$100K

Contract

value <

$100K

Direct

Labor and

Overhead

Multiplier

Fee

Total

Multiplie

r with

Fee

Press ‘tab’ to

create more

rows

12. The following information must be completed for each subconsultant providing services

OVER $100,000. Refer to Attachment 1 to Exhibit D of draft contract

[Copy to add more, as necessary]

(Subconsultant 1 Name) Salary Rate Classifications

CLASSIFICATION SALARY RANGE

Press ‘tab’ to create more rows

Multiplier: __________

Fee: _____

Multiplier with Fee: _____

Salary Ranges Effective through: ___________ ___, 20__ thereafter, the ranges may be

adjusted annually in accordance with Section 4.2 of Exhibit D.



APPENDIX 4.13 - SAMPLE CONSULTANT AGREEMENT


Contra Costa Transportation Authority Consultant: Parsons Transportation Group, Inc. Contract No. 320 (NON-FEDERAL PROJECTS March 8, 2011 Revision)

CONTRA COSTA TRANSPORTATION AUTHORITY

CONTRACT NO. 320

CONSULTANT: PARSONS TRANSPORTATION GROUP, INC.

EXHIBIT A

GENERAL CONDITIONS

TABLE OF CONTENTS

SECTION # TITLE PAGE #

1. ENTIRE AGREEMENT ...........................................................................................................................1 2. DEFINITIONS .......................................................................................................................................1 3. TOTAL AGREEMENT VALUE ................................................................................................................2 4. INDEPENDENT CONSULTANT..............................................................................................................2 5. LAWS AND REGULATIONS ..................................................................................................................2 6. AUDITS, REPORTS, AND RETENTION OF RECORDS .............................................................................3 7. ASSIGNMENT AND SUBCONTRACTS ...................................................................................................3 8. AUTHORIZED REPRESENTATIVES AND NOTICES .................................................................................5 9. INDEMNITY .........................................................................................................................................5 10. INSURANCE .........................................................................................................................................6 11. TAXES ..................................................................................................................................................9 12. PAYMENT OF TAXES AND OTHER EXPENSES ................................................................................... 10 13. DISALLOWANCE ............................................................................................................................... 10 14. NONWAIVER .................................................................................................................................... 11 15. DEFAULT; REMEDIES ........................................................................................................................ 11 16. TERMINATION FOR CONVENIENCE ................................................................................................. 12 17. SURVIVAL ......................................................................................................................................... 14 18. PERFORMANCE OF THE SERVICES ................................................................................................... 15 19. PAYMENT DOES NOT IMPLY ACCEPTANCE OF WORK ..................................................................... 16 20. RESPONSIBILITY FOR EQUIPMENT ................................................................................................... 16 21. FORCE MAJEURE .............................................................................................................................. 16 22. CHANGES AND EXTRA WORK .......................................................................................................... 16 23. CONFIDENTIALITY AND PUBLICITY .................................................................................................. 17 24. PROHIBITED INTEREST ..................................................................................................................... 18 25. OWNERSHIP OF RESULTS ................................................................................................................. 19 26. SOFTWARE ....................................................................................................................................... 19 27. FUNDING REQUIREMENTS .............................................................................................................. 20 28. DISPUTES ......................................................................................................................................... 21 29. ADMINISTRATIVE REMEDY FOR AGREEMENT INTERPRETATION .................................................... 22 30. INSPECTION OF WORK ..................................................................................................................... 22 31. CLAIMS FILED BY AUTHORITY’S CONSTRUCTION CONTRACTOR ..................................................... 22 32. SUBMITTING FALSE CLAIMS; MONETARY PENALTIES ..................................................................... 23 33. NONDISCRIMINATION AND AFFIRMATIVE ACTION ......................................................................... 23



Contra Costa Transportation Authority Consultant: Parsons Transportation Group, Inc. Contract No. 320 (NON-FEDERAL PROJECTS March 8, 2011 Revision)

34. STATEMENT OF COMPLIANCE ......................................................................................................... 24 35. COMPLIANCE WITH AMERICANS WITH DISABILITIES ACT .............................................................. 24 36. DRUG-FREE WORKPLACE POLICY .................................................................................................... 24 37. REBATES, KICKBACKS OR OTHER UNLAWFUL CONSIDERATION ...................................................... 24 38. PROHIBITION OF EXPENDING AUTHORITY OR STATE FUNDS FOR LOBBYING ................................ 25 39. STATE PREVAILING WAGE RATES .................................................................................................... 25 40. MODIFICATION OF AGREEMENT ..................................................................................................... 25 41. AGREEMENT MADE IN CALIFORNIA; VENUE ................................................................................... 25 42. CAPTIONS ......................................................................................................................................... 26 43. ENTIRE AGREEMENT ........................................................................................................................ 26 44. COMPLIANCE WITH LAWS ............................................................................................................... 26 45. SEVERABILITY ................................................................................................................................... 26



Contra Costa Transportation Authority Exhibit B Consultant: Parsons Transportation Group, Inc. Scope of Services Contract No. 320 Page 1 of 1 (NON-FEDERAL PROJECTS March 8, 2011 Revision)


CONTRACT NO. 320


EXHIBIT B

SCOPE OF SERVICES

CONSULTANT agrees to perform said services all in accordance with the terms of its proposal

dated April 22, 2011 incorporated herein as Attachment 1 to Exhibit B.

When there is no response to a request for proposal or when the final negotiated scope is in any

way different from the response to a request for proposal, CONSULTANT agrees to perform

services all in accordance with the detailed description of services to be provided by

CONSULTANT in this Exhibit B.

Notwithstanding any other provision of this Agreement, CONSULTANT shall submit written

reports as provided in both this Exhibit B and Subsection 6.1, Exhibit A. AUTHORITY shall

determine format for the contents of such reports. The timely submission of all reports is a

necessary and material term and condition of this Agreement. The reports, including any

copies, shall be submitted on recycled paper and printed on double-sided pages to the

maximum extent possible. CONSULTANT shall submit, with each invoice, a brief report on the

work performed and charged to the invoice.

CONSULTANT shall perform all services in accordance to CALTRANS standards.



Contra Costa Transportation Authority Exhibit B

Parsons Transportation Group Inc. Scope of Services

Consultant Agreement No. 320 Page 29 of 34

DELIVERABLES

Deliverables and the number of copies to be delivered under this task order will be as noted in

the table below. In addition, work products will be provided in electronic format – delivered

either via email, CD, or through an ftp site, as appropriate.

Deliverable

Number of Copies

Draft Draft

Final Final

Task 1: Project Management

Project Management Plan/QA/QC Plan n/a n/a 1

Progress Reports n/a n/a 3

Progress Meeting Minutes n/a n/a 3

Invoices n/a n/a 3

Project Files n/a n/a 1

Task 2: Traffic Studies

FREQ Model Validation Technical Memorandum 5 5 5

Traffic Forecasting Methodology Tech Memo 10 10 10

Traffic Operations Report 10 10 10

HOV Report 7 7 7

Task 3: Preliminary Engineering

Project Survey Control Report n/a n/a 3

Aerial Photo Contact Prints, Index Sheet and Aero-

Triangulation Report n/a n/a 3

Microstation V8 DGN file of topographic mapping n/a n/a 1



Contra Costa Transportation Authority Exhibit C Consultant: Parsons Transportation Group, Inc. Milestone Schedule Contract No. 320 Page 1 of 1 (NON-FEDERAL PROJECTS March 8, 2001 Revision)


CONTRACT NO. 320


EXHIBIT C

MILESTONE SCHEDULE

CONSULTANT shall perform and complete the Services in connection with the

attached/following Milestone Schedule:

Project Milestones Date

Draft Project Report May 17, 2012

Admin Draft Environmental Document May 17, 2012

Circulate Draft IS/EA September 28, 2012

Final Project Report April 11, 2013

Final Environmental Document July 18, 2013



Contra Costa Transportation Authority Exhibit D Consultant: Parsons Transportation Group, Inc. Compensation, Invoicing and Payment Contract No. 320 Page 1 of 6 (NON-FEDERAL PROJECTS March 8, 2011 Revision)


CONTRACT NO. 320


EXHIBIT D

COMPENSATION, INVOICING AND PAYMENT

For the satisfactory performance and completion of the Services under this Agreement,

AUTHORITY will pay CONSULTANT compensation as set forth herein.

1. ELEMENTS OF COMPENSATION

Compensation for the Services will be comprised of the following elements: 1.1 DIRECT

LABOR COSTS, 1.2 FEE, and 1.3 ADDITIONAL DIRECT COSTS.

1.1 DIRECT LABOR COSTS

Direct Labor Costs shall be paid in an amount equal to the product of the Direct

Salary Costs and the Multiplier which are defined as follows:

1.1.1 Direct Salary Costs

Direct Salary Costs are the base salaries and wages actually paid to

CONSULTANT's personnel directly engaged in performance of the

Services under the Agreement. (The range of hourly rates paid to

CONSULTANT's personnel appears in Section 2 below.)

1.1.2 Multiplier

The Multiplier to be applied to the Direct Salary Costs to determine

Direct Labor Costs is the sum of the following components:

1.1.2.1 Direct Salary Cost 1.000

1.1.2.2 Payroll Additives 0.575

The decimal ratio of Payroll Additives to Direct Salary Costs. Payroll

Additives include all employee benefits, allowances for vacation, sick

leave, and holidays, and company portion of employee insurance and

social and retirement benefits, all federal and state payroll taxes,



Contra Costa Transportation Authority Attachment 2 to Exhibit D Consultant: Parsons Transportation Group, Inc. Sample Consultant Invoice Contract No. 320 Page 1 of 2 (NON-FEDERAL PROJECTS March 8, 2011 Revision)


CONTRACT NO. 320


ATTACHMENT 2 TO EXHIBIT D

SAMPLE CONSULTANT INVOICE



Contra Costa Transportation Authority Attachment 2 to Exhibit D Consultant: Parsons Transportation Group, Inc. Sample Consultant Invoice Contract No. 320 Page 2 of 2 (NON-FEDERAL PROJECTS March 8, 2011 Revision)

SAMPLE CONSULTANT INVOICE – Page 2



Contra Costa Transportation Authority Attachment 3 to Exhibit D Consultant: Parsons Transportation Group, Inc. Release and Certificate of Final Payment Contract No. 320 Page 1 of 2 (NON-FEDERAL PROJECTS March 8, 2011 Revision)


CONTRACT NO. 320


ATTACHMENT 3 TO EXHIBIT D

RELEASE AND CERTIFICATE OF FINAL PAYMENT

With reference to Contract No. ___________dated _________________, 20__ (“Agreement”),

and each and every amendment thereto, between ____________________________________,

(“CONSULTANT”) and CONTRA COSTA TRANSPORTATION AUTHORITY (“AUTHORITY) for

providing services pursuant to the Agreement in Contra Costa, CONSULTANT hereby certifies

and represents that it has made full payment to all persons and entities of all costs, charges and

expenses incurred by it or on its behalf for labor, services, equipment and materials supplied to

CONSULTANT by such persons and entities in connection with its performance of the work

under said Agreement.

CONSULTANT further certifies that to its best knowledge and belief, each of its subconsultants

and suppliers has made full payment of all costs, charges and expenses incurred by it or on its

behalf of work labor, services, materials and equipment supplied and/or used by it in connection

with CONSULTANT’s work under said Agreement.

In consideration of the receipt, which receipt is hereby acknowledged, of an aggregate amount

of $______________ for all services performed pursuant to the Agreement, including the

adjusting payment, CONSULTANT hereby unconditionally and fully releases and forever

discharges AUTHORITY and its officers, employees, agents, premises and property from all

claims, liens and obligations of every nature, presently known or unknown, arising out of or in

connection with the performance of said Agreement and all amendments thereto.

CONSULTANT expressly waives all rights or benefits which it now has, or in the future may have,

under the terms of Section 1542 of the Civil Code of the State of California, which provides as

follows:

A general release does not extend to claims which the creditor does not know or suspect to exist

in his favor at the time of executing the release, which if known by him or her must have

materially affected his or her settlement with the debtor.

As additional consideration for all payments mentioned above, including the final adjusting

payment, if any, CONSULTANT agrees to indemnify and hold harmless AUTHORITY from and

against all costs, losses, damages, claims, causes of action, judgments and expense, including

attorneys’ fees, arising out of or in connection with claims against AUTHORITY which arise out of

the performance of the work under the Agreement and which may be asserted by CONSULTANT



Contra Costa Transportation Authority Attachment 3 to Exhibit D Consultant: Parsons Transportation Group, Inc. Release and Certificate of Final Payment Contract No. 320 Page 2 of 2 (NON-FEDERAL PROJECTS March 8, 2011 Revision)

or any of its suppliers, subconsultants of any tier, or any of their representatives, officers, agents

or employees.

Nothing contained in this Release and Certificate of Final Payment shall have any effect upon,

nor be construed in any way to relieve CONSULTANT of its obligations under the provisions of

the above Agreement, as amended, which by their nature survive completion of the work

including, without limitation, warranties, guaranties and indemnities.

Executed this ___ day of ________________, 20__.

CONSULTANT

By

Name

Title



APPENDIX 4.14 - SAMPLE CONSULTANT AGREEMENT AMENDMENT


Agreement Set-Up Template

The BLUE shaded cells have 'DROP DOWN lists' provided for your convenience

Notes

(Admin Asst. , please include "NOTES" on the CT 'Notes"

tab.)

Project Manager: Invoice Quality Review Person:

Assigned Agreement No.: Associated Co-op

(if applicable)

Action: Purchase Order # (if amendment)

Amount (this Action): Amendment Reason:

Authority Board Date: Total Agreement Amount:

Effective Date ( NTP): (If

applicable, otherwise N/A)

REQUIRED - Expiration Date:

Project Number Expenditure Plan Category: IF MORE THAN ONE (1):

Project Name: Project, Phase or Funding source

Agreement Description: Please list the break down in the section below:

PLEASE fill in 'ALL' BOXES

CCTA - NEW CONTRACT / RESOLUTION / AGREEMENT SET-UP INFORMATION

1 of 2

Agreement Description: Please list the break down in the section below:

Phase: Fund Source:

Region:(if applicable)

Vendor/Agency Name :

Contact :

(to send P.O. to)

Remittance Address:

(If different than contact address)

Name Name

Address Address

City, ST & Zip City, ST & Zip

Phone

Template created by: NS Date: 6/25/13 Reviewed, Completed & Approved by PM: Date:

Reviewed & forwarded from: (Return to Admin Assistant)

Input to LOGOS by: Date:

VENDOR/ PROPONENT

(If preferred, provide 'copy' of page in Agreement WITH information circled)

1 of 2

version 1.0, August 2014 CCTA - PMC Guide

APPENDIX 4.15 - AGREEMENT SET-UP TEMPLATE & INSTRUCTIONS

Agreement Set-Up Template

Notes / Done etc. WHO WHATInitial

OngoingFM / Proj

Managers

PM(s) will notify Finance Mgr (FM) as soon as a NEW Project is identified. The FM and the

Funding Mgr will create the necessary G/L and Funding codes.

small change to

current process

Admin Clerk

with Admin

Assistant

After the Authority Meeting, Admin Clerk (AC) will sit with each Admin Assitant (AA) to

determine which items need to be input to LOGOS. AC will begin the TEMPLATE(S) and

1) send email to AA 'templates ready to QC & send to PM' OR

2) AC will email attachment directly to PM (Each Dept to determine best practice)

Project

Manager

PM will QC, completing any section(s) left blank, adding notes as applicable

(Due to AC by the End of the Month.- AC to email PM if not rec'd)

( Save completed Template over initial partial template.)

Admin

Assistant

NEW Contracts & Co-ops : AA can begin inputting into LOGOS.

(Will be able to complete all steps 'EXCEPT' attaching the 'EXECUTED' docs.)

Prepare file folder with label (FONT: Arial 12 Pts /BOLD)

(Note: File folder will eventually include Board Letter, Executed Agreement, completed Agreement set-up

Template, LOGOS Contract & Purchase Order reports(by cws), as well as future amendments, approved rate

changes and any other applicable legal documents)

Admin

Assistant

NEW RESOLUTION, AA can begin input into LOGOS right away, as these are not sent to

proponent for execution.

(Resolutions need a Smart Label Tab for front page, no folder will be need as these are filed with the

associated CO-OP.

- Label to include Resolution #, Auth Board Date & Co-op #.)

Admin

Assistant

ALL NEW Agreements/Project coding: Once executed documents are returned,using the the

"NOTES" function, send the Funding Mgr a note requesting review for Project Coding / funding

source. (Subject: NEW Agreement # XXX

pls review)

(using "NOTES" provides an audit trail for tracking progress.)

ConsultantProject coding: The Funding Mgr will review & input the necessary funding codes, Funding

Mgr will use the "NOTES" function when she is done to notify AA.

Admin

Assistant

Executed 'Revisons' & 'Amendments' are forwarded to Accounting Tech & you are done.

(These can only be entered when there are NO pending A/P invoices in LOGOS)

Admin

Assistant

When AA receives the 'Executed' documents for NEW agreements,

* ATTACH in LOGOS, * COMPLETE QC REVIEW, * Validate, *PRINT Report, & (have AT review

off-line) * 'Approve' via workflow ~ sending to FM for FINAL review and approval.

FM

OR

CFO

Once FM receives work flow notice, he will review & either:

1) Approve and forward to AT to create Purchase Order Or

2) Return to AA to make any necessary changes/corrections he may identify. Once FM

completes the FINAL approval, he will give to AT to prepare the Purchase Order.

Accounting

Technician

AT will Prepare, QC, PRINT report & Approve the NEW PO via work flow to FM for FINAL PO

approval.

FM

OR

CFO

FM will QC & Approve PO, PRINT original PO, saving a copy to the S Drive and return to AT

Accounting

Technician

(AT)

AT will prepare letter to vendor and mail Original PO to them, reqesting that they include the

PO number and the CT on invoices being submitted to CCTA for reimbursement. (copy of PO

& letter go into agreement folder) Folder is filed in the "Fire Safe cabinets"

2 of 2

version 1.0, August 2014 CCTA - PMC Guide

APPENDIX 4.15 - AGREEMENT SET-UP TEMPLATE & INSTRUCTIONS


APPENDIX 5 NOT USED



APPENDIX 6 CONTRACT STATUS REPORT TEMPLATE


Contract No: CT 372 Period End Date: 15-Jun-14Consultant: WMH Corp NTP Date: 16-May-13 BCWP (EV) 1,702,144$ BCWP (EV) 1,702,144$ BAC 5,569,963$ SPI CPI 1.) Improving SV 30,581$

Contact: Tim Lee Workdays from NTP: 282 BCWS 2,958,198$ ACWP 1,687,401$ EAC 5,529,150$ 0.58 1.01 2.) Improving CV 226,639$ CCTA PM: John Kenyon Target Completion Date: 31-Dec-15 SV (1,256,054)$ CV 14,743$ VAR 40,813$ Behind-Sched. Under Bud. 3.) Improving EAC 848,340$

Description: Environmental Reevaluation & Final Design Services for I-680 / Contract Duration: 686 4.) Improving SPI 0.10SR4 Interchange Improvements (Phase 3) Remaining Duration: 404 SV (P-1) (1,286,635)$ CV (P-1) (211,896)$ VAR (P-1) (807,527)$ 0.48 0.85 5.) Improving CPI 0.16

Period: FY14_P11 Invoice 11 (05/12/14 - 06/15/14) Contract Dur % Comp: 41.11% SV (P-2) (917,941)$ CV (P-2) (13,387)$ VAR (P-2) (370,647)$ 0.56 0.99Financial Period 5 SV (P-3) (710,008)$ CV (P-3) 83,090$ VAR (P-3) (125,956)$ 0.60 1.08

Project Development Work Tasks Status Original Extra Budget Billed this Billed to Budget BCWP BCWS Cost Physical Durational Trend Trend Trend PM PM

I‐680 / SR 4 Interchange Improvements (Phase 3)

Schedule Summary

Contract Status Report (CSR)

Financial Summary

Schedule Var. Cost Var. Performance Indices

Prior Period Sched. Var Prior Period Cost Var.

Contract Information

Var. At Completion

Variance Analysis

Prior Indices

FY 13/14 ‐ Period 11Assessment Notes

Prior Period Var.

j p Status O g a t a udget ed t s ed to udget C C S Cost ys ca u at o a e d e d e dDuration Approved Work At Comp. Period Date Remaining (EV) % % % Performance Performance Budget Variance ETC EAC

WBS Task Description Early Start Early Finish Duration Completed Budget Order (BAC) (AC) (ACWP) (BAC-ACWP) Complete Complete Complete ETC EAC VAC VarianceTask 001 General Project Management 7/17/13 3/20/15 438 238 $491,569 $0 $491,569 21,358$ 166,987$ 324,582$ 167,133$ 267,108$ 34% 34% 54% 324,151$ 491,138$ 431$ 350,000$ (25,418)$ Task 002 Project Implementation Planning 6/19/13 9/6/13 58 58 $122,589 $0 $122,589 -$ 122,586$ 3$ 122,589$ 122,589$ 100% 100% 100% -$ 122,586$ 3$ -$ 3$ Task 003 Environmental Reevaluation 7/22/13 6/20/14 240 235 $303,007 $0 $303,007 14,888$ 128,790$ 174,217$ 130,293$ 296,694$ 43% 43% 98% 170,722$ 299,512$ 3,495$ 174,200$ 17$ Task 004 35% PS&E 6/10/13 6/6/14 260 260 $1,663,377 $0 $1,663,377 197,888$ 1,202,192$ 461,185$ 1,214,265$ 1,663,377$ 72% 73% 100% 444,646$ 1,646,838$ 16,539$ 420,000$ 41,185$ Task 005 65% PS&E 4/3/14 9/11/14 116 52 $1,357,265 $0 $1,357,265 49,894$ 66,846$ 1,290,419$ 67,863$ 608,429$ 5% 5% 45% 1,270,074$ 1,336,920$ 20,345$ 1,290,400$ 19$ Task 006 95% PS&E 7/24/14 12/12/14 102 0 $843,194 $0 $843,194 -$ -$ 843,194$ -$ -$ 0% 0% 0% 843,194$ 843,194$ -$ 843,194$ -$ Task 007 100% PS&E 11/6/14 3/13/15 92 0 $512,227 $0 $512,227 -$ -$ 512,227$ -$ -$ 0% 0% 0% 512,227$ 512,227$ -$ 512,227$ -$ Task 008 DOE Approval 1/22/15 3/20/15 42 0 $160,328 $0 $160,328 -$ -$ 160,328$ -$ -$ 0% 0% 0% 160,328$ 160,328$ -$ 160,328$ -$ Task 009 HQOE Review 3/24/15 7/6/15 75 0 $116,407 $0 $116,407 -$ -$ 116,407$ -$ -$ 0% 0% 0% 116,407$ 116,407$ -$ 116,407$ -$

Total 282 $5,569,963 $0 $5,569,963 284,028$ 1,687,401$ 3,882,562$ 1,702,144$ 2,958,198$ 30.29% 30.56% 41.11% 3,841,749$ 5,529,150$ 40,813$ 3,866,756$ 15,806$

Status Update Status1.) Anticipate re-baseline of project schedule upon issue resolution with Caltrans on critical risk issues. 1.) Grayson Creek Bridge Disposition Open2.) There are several critical issues needing resolution. 2.) Seismic Retrofit of Br. Structures (tbd) Open

3.) ACOE Sec 408 (Extra $60K) Open4.) R/W Solano Way Bldg relocation Open

DescriptionCritical Risk Issues for Resolution Variance CommentsContract Evaluation Summary

2.) Actual costs are approx. equal to work performed/earned3.) Trend variance at completion within 1% of contract budget ($40K)

1.) Project is substantially behind schedule

Look Ahead1.) Prepare traffic sensitivity testing for Phase 3 Interim and Ultimate improvements. Total 1.) Caltrans funding scenario for Grayson Cr. Br. Replacment.2.) Obtain Caltrans concurrence on geometric design and nonstandard features. 1.) Supplemental Biology Environ. Scope $118,000 2.) Co-Op for Caltrans services for ROW and Utility work3.) Obtain Caltrans concurrence on project split. 2.) ISA Checklist $3,200 3.) Caltrans PCR for Child EA4.) Meet with Caltrans on providing R/W Support and R/W Capital services. 3.) Supplemental PR TBD

4.) Project split design effort TBDTotal $121,200

Difficulties Encountered for Current Period and Reasons1.) Continued discussions with Caltrans on environmental biology scope. Additional investigation my be required. No. Description Date Status Total2.) Evaluated alternatives related to Grayson Creek Bridge (widening vs. replacement). Proposed Phase 3 Interium Project scope (W/O Grayson Br.). 1 Additional Traffic Data Collection - East to Bailey Rd. 9/1/2013 Pending $9,0763.) Pacheco UC and I-680/SR4 Sep have been added to the bridge widening scope because of non-std shldrs. 2 Additional Traffic Data Collection - BART Strike 12/10/2013 Pending $4,660

3 Location Hydraulic Study Scope Change 1/30/2014 Pending $19,5784 Traffic Analysis for Interim Project definition 4/25/2014 Pending $54,000

400,000$ 312,686$ 78% $87,314

Pending Change Requests Follow‐ups

Extra Work Orders Received / Contingency Account

Description

Extra Work OrdersRemaining ContingencyApproved Contract Contingency

CT 372_2014 P05 (FY13.14-P11) Contract Status Report_v1.xlsx Page 1

APPENDIX 6.1 - CONTRACT STATUS REPORT TEMPLATE


Capital Outlay Estimate

May 2013 Estimate - Capital CostsRoadway Items 21,752,000$ 57.9%Structure Items 14,237,000$ 37.9%

TRO 1,584,000$ Total 37,573,000$

2009 Estimate - Capital CostsRoadway Items 23,028,000$ 64.5%Structure Items 12,676,000$ 35.5%

Total 35,704,000$

May 2013 June - July Aug Sept Oct Nov Dec Jan 2014 Feb Mar Apr May June July August September October November DecemberPeriod Cost -$ 61,477$ 53,427$ 31,461$ 129,162$ 198,168$ 135,279$ 222,596$ 168,666$ 204,628$ 198,509$ 284,028$ BCWP (EV) -$ 61,286$ 107,894$ 166,282$ 280,631$ 483,575$ 636,711$ 787,961$ 1,083,325$ 1,191,476$ 1,191,476$ 1,702,144$ ACWP -$ 61,477$ 114,904$ 146,365$ 275,526$ 473,694$ 608,974$ 831,569$ 1,000,235$ 1,204,863$ 1,403,372$ 1,687,401$ BCWS $ 352 868$ 570 789$ 757 006$ 1 029 261$ 1 240 040$ 1 371 776$ 1 591 337$ 1 793 333$ 2 109 417$ 2 958 198$ 2 958 198$

Performance

0.00

0.50

1.00

1.50

May June ‐ July Aug Sept Oct Nov Dec Jan 2014 Feb Mar Apr May Jun Jul Aug

Performance Index Chart

SPI CPI

BCWS -$ 352,868$ 570,789$ 757,006$ 1,029,261$ 1,240,040$ 1,371,776$ 1,591,337$ 1,793,333$ 2,109,417$ 2,958,198$ 2,958,198$

$0.00

$500,000.00

$1,000,000.00

$1,500,000.00

$2,000,000.00

$2,500,000.00

$3,000,000.00

$3,500,000.00

May 2013 June ‐ July Aug Sept Oct Nov Dec Jan 2014 Feb Mar Apr May June

S‐Curve Analysis

BCWP (EV) ACWP BCWS

CT 372_2014 P05 (FY13.14-P11) Contract Status Report_v1.xlsx Page 2

APPENDIX 6.1 - CONTRACT STATUS REPORT TEMPLATE



APPENDIX 7 BASELINE CHANGE REQUEST


PROJECT BASELINE CHANGE REQUEST (BCR)

1. Project Title:

2. Project Number: 3. Date: 4. Date Approval Needed:

5. Originator: 6. Priority: [ ] Immediate Action [ ] Routine Processing [ ] Information Notification

7. Title of Change: Description:

8. Other Related Change Requests: 9. Who Directed the Change? [ ] Caltrans

[ ] CCTA [ ] Utility Owner [ ] Other:

10. Baseline Impact:[ ] Cost

[ ] Scope [ ]Schedule [ ] Funding Allocation

11. Benefits of / Reason(s) for Change:

12. Impact on Cost: Affected WBS Element: Change Amount: $ Affected WBS Element: Change Amount: $ Affected WBS Element: Change Amount: $ Total Cost Impact: $ Is a cost re‐baseline justified: [ ] Yes [ ] No Can the change be absorbed through Budget reallocation? [ ] Yes [ ] No

13. Impact on Work Scope:

14. Impact on Schedule: Is a schedule re‐baseline justified? [ ] Yes [ ] No Can the change be absorbed through current schedule float? [ ] Yes [ ] No Can performance be improved to preserve milestone commitments? [ ] Yes [ ] No

APPENDIX 7.1 - BASELINE CHANGE REQUEST FORM


Baseline Change Request Form Page 2

15. Impact on Authorized Funding: Funding Change: Affected Source: Amount: $ Affected Source: Amount: $ Affected Source: Amount: $ Total Project Funding: $ Can the current project phase be completed with this change request? [ ] Yes [ ] No Does the current programmed source funding allocation require change? [ ] Yes [ ] No Is additional funding required? [ ] Yes [ ] No Date needed: Comments or Action Required?:

16. Technical Baseline Documentation: Does this change impact a technical requirement(s) contained in the project technical baseline documentation and/or project approval documents? [ ] Yes [ ] No

List of Technical documents affected (PID, PA/ED, PS&E) and any corrective actions:

17. Project Risk associated with implementing this change? [ ] Yes [ ] NoDescription:

18. Impact if change is not made:

19. Is a technical review required? [ ] Yes [ ] No List item(s):

20. Does the change require a contract amendment? [ ] Yes [ ] No (Attach Scope, Fee and Schedule)Comments:

21. Disposition of Change: [ ] Approved [ ] Disapproved [ ] Approved with comments Remarks or Comments:

22. Notifications: Project Manager: Date:

Funding Manager: Date:

Programming Manager: Date:

Director, Projects: Date:

Deputy Executive Director, Project: Date:

APPENDIX 7.1 - BASELINE CHANGE REQUEST FORM



APPENDIX 8 ECOSYS PROCEDURES AND GUIDES Process to Upload Monthly Actuals

Admin Guide

User Guide


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EcoSys EPC PROCEDURES TO UPLOAD MONTHLY LOGOS ACTUALS January 2, 2014

Part I – Run EcoSys Report

Connect to CCTA with VPN.

Connect to CCTA‐DEV using remote desktop.

Use Internet Explorer to open Report Manager: http://ccta‐nw/Reports/Pages/Folder.aspx

Select Custom Reports.

Select EcoSys Live.

Enter begin and end date. Example is 09/01/2013 – 09/30/2013 for September 2013.

Select View Report (on far right side of screen).

Choose Select a Format ‐ pull down menu and choose Excel.

Select Export function – click on the word and save report to the local desktop.

Copy the report from the remote desktop where it was saved.

Minimize remote desktop and save the excel report to your hard drive.

From here you will be working on the report from your own desktop.

APPENDIX 8.1 - ECOSYS PROCESS TO IMPORT ACTUAL COSTS


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Part II – Filter the data

Open the new report.

Delete the first line that says EcoSys.

Sort by Org5 Code (select Data Menu, click on any cell on with a title and select Sort as numbers only).



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NOTE: Select all the cells and pull the cells closer together to see more of the data.

Copy the Org5Code transaction rows with no project to a different excel worksheet.

o Scroll to the section where Org5 codes are blank and select all those rows.

o Cut and paste those cells into a new spreadsheet and name the worksheet NoProjectCode. These will not be used.



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Now sort the data on Contract # (row H).

Select all rows with no Contract# (blanks), cut and paste rows to the new workbook on the second tab. Label the tab NoContract.

Open the spreadsheet for NoContract and verify which of those are journal entries for pay / benefits. (They must have a project number.) Copy those

entries back to the original cost worksheet. This seems redundant; however, there are journals that are not professional services transactions.

Here are valid journal entry examples:



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Return to the actuals spreadsheet and sort by Org3 Code for updates.

If the Org1Code and Org3Code are reversed, switch them around. Org3 should be the Program like CIP5 (not a number like 100 or 210).

Org3codes with HAA1, HAA3 or TRAN codes need to be either removed or changed.

Change the Org3Code to MCP for C11061 and C11062 projects.



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If you have an Org5Code of C1117 change the Org3Code to CIP6 and the Org5Code to 6001.

If the Org5code is C1405C remove it and save to another worksheet named Removed Transactions (these should be saved for historical record).

If the Org3Code is Tran9, and Org5Code is C1407C, change Org3Code to CIP3 and Org5Code to 3001.

If the Org3Code is Tran9, and Org5Code of C1406C change Org3Code to CIP3 and Org5Code to 3003.

Look for blank Project Code lines (row N). A code may need to be added if the transaction is valid. Add a code by looking at the other cells and matching

the format.



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Part III – Format the data

Insert a column next to Project Code – give it a title of Fund.

Select Data Filter and filter on Project Code. Select all codes with 2 letter fund source

Enter the formula in the new Fund line ‐ next to the project code: =right(N2,2) ‐ where N2 is the column for the project code. It will pull the fund source

to the new cell.

Note: you might also just want to enter the fund and use the copy down feature.



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Now select all the Project Codes with 3 letter fund sources and use the formula =right(N2,3) and fill down to all cells with 3 letter funding sources.

Then select those with 4 letters etc until all funding sources populate the Fund column.

NOTE: You should save your spreadsheet on a regular basis so you do not lose your work!

Copy all values in the Fund column and paste them back into the same column (you are overwriting the formula with the actual value) by selecting

PASTE SPECIAL and then select VALUES. This is necessary for any cells using a formula.



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Add a column next to Org6Code (column C) and title it Project Path ID.

Move the new Fund column next to the Project Path ID column.

Add a column next to Org6Code for Phase #

Filter on the Org6Code (which is the phase) and then add the phase number in the new Phase # column to match the phase. For example, if Org6Code is

CON then the Phase # is 7. Do this until all the cells are entered.



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In the Project Path ID use a formula to put the Program (Org3Code) Project (Org6Code) and Phase # together. The formula is =E2&"."&F2&"."&G2.

Use fill‐down to populate the formula in all the Project Path ID cells

After all the Project Path ID cells are entered, copy everything in the column and paste back in the same place using Paste Special – Values.

Check all the cells in the Contract # column. Find and replace all the periods with a dash. For example, if there is a contract like 90.16.04 it should now

read 90‐16‐04. This is required for the upload.

Change the G/L Date to format mm/dd/yyyy (the system defaults to using dashes).

Find all the cells with no contract number (journal entry professional services) and enter “NC ‐ Professional Services”

Insert two new columns next to Contract #. Label them Contract and Contract#.

Under Contract enter the word “Contract.” and fill down to all rows. Notice the period after Contract should be included.

Under the new Contract# column enter the formula =L2&K2 to put Contract and the contract number together. It should be like Contract.CT349



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Copy the new Contract# values, and paste them in the same place using Paste Special, Values.

Delete unnecessary columns for the upload. They are Org3Code, Org5Code , Org6code, Phase #, ContractID, Contract# (the original one with only the

contract number, like CT349), Contract, ContractTitle, Description and Status.

That leaves 11 columns. See below. You may check a template file for confirmation.

Match the titles from the Template to your upload file. If they do not match exactly, the upload will fail.

The final step to ready the file for upload is to verify each column type. All columns should be configured as Text, except Date columns need to be

configured as Date and the Amount column needs to be formatted as Number. The column headings can be either Text or General.

Save the file to a new name adding ToUpload at the end to indicate this is the actual upload file – ex: EcoSys_Live_Sep_2013 ToUpload.xlsx.



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Part IV – Upload the data into EPC

Login to EcoSys EPC

Open Admin –Imports – Actuals Importer

Select Import button on the right side of the screen

Browse to the correct file

Select OK

View the data – if there are any issues like the example below is missing Contract# ‐ select the Refresh button to back out the import.

Fix data in the excel file and upload it again. Once everything looks correct then select the Import button.



EcoSys EPC

CCTA

System Admin Reference Guide

Created by: Albert Gomez

EcoSys Senior Consultant

January 7, 2014

APPENDIX 8.2 - EcoSys EPC SYSTEM ADMIN GUIDE


EcoSys EPC – System Admin Guide

Contra Costa Transportation Authority

2

Created by: Albert Gomez – EcoSys Senior Consultant

TABLE OF CONTENTS Getting Started .............................................................................................................................................................. 5

LOGGING IN ............................................................................................................................................................... 5

MAIN SCREEN NAVIGATION ...................................................................................................................................... 6

Menu Bar ............................................................................................................................................................... 6

Tool Box ................................................................................................................................................................. 6

SPREADSHEET NAVIGATION ...................................................................................................................................... 7

Sheet Dropdown .................................................................................................................................................... 7

Edit Dropdown ....................................................................................................................................................... 8

Display Dropdown ................................................................................................................................................. 8

Rows Dropdown .................................................................................................................................................... 9

Edit Cells using Right-Click ..................................................................................................................................... 9

Pagination ............................................................................................................................................................ 10

Parameters .......................................................................................................................................................... 10

Key EcoSys Terms - General ..................................................................................................................................... 12

System Administration ................................................................................................................................................ 13

Admin Menu ............................................................................................................................................................ 13

Configure Menus ..................................................................................................................................................... 14

Setup of Configurable Menus .............................................................................................................................. 14

Create Configurable Menus ................................................................................................................................. 14

Users and Security ................................................................................................................................................... 17

Security Groups ................................................................................................................................................... 17

Security and Access Privileges ............................................................................................................................. 17

Creating Security Groups ..................................................................................................................................... 18

Creating Cost Object Security Group ................................................................................................................... 18

Creating Organization Security Groups ............................................................................................................... 20

Create Version Security Groups ........................................................................................................................... 21

Create a New User ................................................................................................................................................... 23

Enterprise Data ............................................................................................................................................................ 27

Overview .................................................................................................................................................................. 27

Versions ................................................................................................................................................................... 27





3


Create a Version .................................................................................................................................................. 28

Modify a Version .................................................................................................................................................. 28

Cost Objects ............................................................................................................................................................. 29

Create Cost Objects ............................................................................................................................................. 29

Modify Cost Object Attributes ............................................................................................................................. 30

Categories ................................................................................................................................................................ 32

Create Categories and Values .............................................................................................................................. 32

Actions ..................................................................................................................................................................... 33

Create Action ....................................................................................................................................................... 33

Action Batches ......................................................................................................................................................... 36

Creating Action Batches ....................................................................................................................................... 36

Spreadsheets ............................................................................................................................................................... 38

Create Global Configurable Spreadsheets ............................................................................................................... 38

Configure Spreadsheets ........................................................................................................................................... 39

Create New Spreadsheets Based on Existing Spreadsheets ................................................................................ 42

Modify Configurable Spreadsheets ..................................................................................................................... 42

Reports ........................................................................................................................................................................ 49

Report Column Fields .............................................................................................................................................. 49

Edit Reports ............................................................................................................................................................. 50

Generate Existing Reports and Charts ................................................................................................................. 50

Create Reports and Charts ................................................................................................................................... 50

Create New Reports Based on Existing Reports .................................................................................................. 53

Modify and Customize Existing Reports and Charts ............................................................................................ 53





4


Objectives

This guide is part of the main reference material for Contra Costa Transportation Authority (CCTA) support staff

and/or high level System Administrative users. It provides information on administrative tasks associated with the

configuration and management of user security, and data elements required for the management of the “Major”

Programs / Projects. The System Administration menu is only available to users with System Administration access

privileges.

This guide is basically a “how to” for configuring and using the Administration features within the EcoSys system. It

attempts to provide a clear explanation of the features available, simple configuration steps, best practices for the

management of EcoSys users, and tasks associated with CCTA’s processes.





5


GETTING STARTED

LOGGING IN

1. EcoSys is a Web-based application. To access the

application, launch a Web browser.

2. Enter URL where EcoSys application is hosted.

3. Enter a valid Username and Password

4. Click Log In

5. Log In will take the user to the Home page of the EcoSys

application (menus and dashboards may look different

depending on the user's role settings and access privileges).





6


MAIN SCREEN NAVIGATION

Menu Bar

The primary navigation tool in EcoSys is the Main Menu Bar at the top of the screen. User can access all of the

screens in EcoSys depending on the user’s access privileges.

Note: Functionality of available Menus will be outlined further at each section of procedures.

Tool Box

User username of the user logged in to the application

Current Period The minor period or month which is the current

reporting period (any minor periods prior to the

current period have been closed out).

Home Icon The user may always return to the Home page by clicking on this icon

Session Filter

Icon

Opens a separate window that allows user to filter Projects, Organization, or Versions.

User Settings Opens a separate window that allows user to setup user’s profile settings.

System

Information

Icon

The user may view the System Information for EcoSys by clicking on this. When calling

technical support, the user can quickly determine which version of the software they

are using and provide the support representative system configuration information that

is found on this screen.

Help Icon Opens a separate Help System window which consists of information about the

particular screen in EcoSys, useful information about EcoSys, and a glossary

Logout Icon The user may logout of the application by clicking on this arrow icon. EcoSys will also

automatically log out following a session timeout which is established during the system

configuration to ensure security.





7


SPREADSHEET NAVIGATION

Spreadsheets visually resemble what’s seen in MS Excel. Spreadsheets are leveraged within every cost control

process in EPC. Navigating the spreadsheet is fundamental to using EPC.

A configurable spreadsheet is a global or user-defined screen that resembles and consists of the general

functionality of a spreadsheet, but also provides many update and view options for the EcoSys EPC user. After a

spreadsheet has been configured, the screen may be utilized to update vital financial information using a

customized view or generate and print a report directly from the spreadsheet data.

The following section describes the EcoSys spreadsheet general navigation and functions that will help you

navigate and query spreadsheets.

Sh

ee

t D

rop

do

wn

The Sheet dropdown consists of four options for the spreadsheet’s editor:

1. Click Save to save all updates to the spreadsheet cells.

2. Select Refresh to reload the entire spreadsheet after selecting any

parameters or making changes to the data.

3. Select Report to display the spreadsheet as a report. From here you can

use the Export to function (top right of the report screen) to download the

spreadsheet as an Excel file.

(The generated report can be exported to Excel, PDF, CSV, RTL, or XML

format).

4. Select Export to Excel to create an Excel spreadsheet of the current

spreadsheet.

5. Select Export to Text to export the spreadsheet directly to a Text file.





8


E

dit

Dro

pd

ow

n

The Edit dropdown consists of the following options for the spreadsheet’s

editor:

1. Cut or Copy any cell value and Paste into a different cell.

2. Select Copy to External or Paste from External to copy or paste cell values

between EcoSys and an external application, such as Word, Notepad, or

Excel.

3. Select Fill Down, Fill Up, Fill Right, or Fill Left to auto-populate the cells

beneath, above, and to the right or left of the selected cell with the same

value.

4. Select Clear Values to remove any data from a particular cell.

Dis

pla

y D

rop

do

wn

The Display dropdown has a Show Filter option which allows the user to enter filter values for any of the

columns displayed in the spreadsheet.

1. Select Show Filter from the Display dropdown. Filter fields will

be displayed in the top row of the spreadsheet.

2. Enter a value or part of a value for one or more columns in the

fields provided to restrict the rows of data displayed. The

spreadsheet rows displayed will automatically update

according to the criteria entered in the cells.

3. Deselect Show Filter from the Display dropdown to remove the filter and return to the complete list of

line items.

4. Once you have finished using the Filter then remove any filter criteria so that all records are once again

available.

5. Additionally spreadsheets can be zoomed in and out and reset by using the view

controls on the top right of the spreadsheet. Use “-” to zoom out, use “+” to

zoom in, and the “o” rests the zoom level back to the default setting.





9


R

ow

s D

rop

do

wn

The Rows dropdown consists of a number of options applicable to the rows in the spreadsheet.

1. Select Edit Row Details to edit the entire line item in a separate

Popup. Depending on the data type, this option will allow for changes

to different fields in the same window, such as details of a transaction

or cost object.

2. Select Duplicate to create an exact copy of the selected row with all

fields completed with the same information.

3. Select Insert to insert a row of data.

4. Select Insert Multiple to insert multiple rows of data within a

particular line item.

5. Select Insert Under to add an additional line item under the selected group or hierarchy level.

6. Select Split to divide the row into two rows, evenly splitting any costs and units associated with the

original line item. Both rows would retain the original row’s categories and attributes.

7. Select Delete to remove an entire row from the spreadsheet. Click OK to confirm the deletion.

Ed

it C

ell

s u

sin

g R

igh

t-C

lick

After selecting a particular spreadsheet cell, the users can right-click the mouse to perform the following

actions:


2. Select Edit Row Details to edit the entire line item in a separate

Popup. Depending on the type of data being edited, this option

will allow for changes to different data fields in the same window,

such as details of a transaction or cost object.


4. Select Insert Under to add an additional line item under the

selected group or hierarchy level.

5. Select Delete to remove an entire row from the spreadsheet. Click

OK to confirm the deletion.

6. Select Clear Values to remove any data from the selected cell.

7. Highlight a range of cells, and then select Fill Down or Fill Right to

auto-populate the cells beneath or to the right of the selected cell

with the same value.





10


P

ag

ina

tio

n

Each spreadsheet is limited to a maximum number of rows that have been configured by the System

Administrator. This setting could be a very high number, such as thousands of records, making it unpractical

to view this many items on one page. The user is able to control how many rows or records they wish to

view on each page by modifying the settings at the bottom of each spreadsheet.

� Warning: The more rows displayed, the longer it will take the system to populate screen.

1. Select the Show All checkbox to see all available rows in the spreadsheet on one page.

2. Enter a specific number in the Page Size field to establish the maximum number of rows to be displayed

on each page.

3. If the spreadsheet rows span multiple pages, click First, Prev, Next, or Last to navigate between the

pages and see the desired records.

� Note: Each page indicates which records are currently showing in the spreadsheet, for example: Records 1-20 of 23 or Records 3-23 of 23. Use the scroll bars to move up and down or across the rows.

Pa

ram

ete

rs

Once the spreadsheet is displayed, the user has the option to filter data records from any existing

parameter to narrow in on the applicable data. Samples of configured parameters are:

• Project:

• PDM:

• Program:

• Fund Source:

Click on the parameter link found in the green area of the screen, and make the appropriate selection.

Click Refresh to reload the data.





11


In addition to the configured groupings, a spreadsheet is usually organized in a way that is most suitable for the

required updates. Each column and row that is read-only will have a gray background, and the cells will not be

editable. Any other cell can be edited by typing directly into the field or clicking on the link to find and select the

applicable value for the specific item. In this way, the user is able to change or add a category on a transaction. The

possibilities are only limited to the rules placed upon by the spreadsheet’s author.





12


KEY ECOSYS TERMS - GENERAL

• SPREADSHEET - A configurable grid view in EcoSys with a similar look and feel to an Excel

spreadsheet. EcoSys spreadsheets provide standardized views using an organization’s business rules

and terminology.

• COST OBJECT - A Cost Object is the generic EcoSys term for a Project, an element within a Project’s

hierarchical Cost/Work Breakdown Structure, or a non-project element used to capture proposed,

budgeted and actual costs such as a work package, proposed project, or department level cost

center. For the CCTA environment, Cost Objects represent Programs, Projects, and Phases.

• VERSION - A version is a saved snapshot of cost data, whether revenue, cost, allocations, actuals, or

what-if scenarios. Versions can be global or user defined and specific only to that user. EcoSys allows

versions to be compared and reported against each other in many different ways.

• MAJOR PERIOD - The time period utilized in EcoSys when selecting a date range for spreadsheets and

reports. For CCTA, a major period is a fiscal year.

• MINOR PERIOD - Sub-time periods within a major period used for planning, reporting, and closeout

purposes. For CCTA, Minor Periods are calendar months.

• ACTIONS - Automated processes that incorporate business rules, i.e. Copy Cost Data between

Versions or Create Transaction Records.

• TRANSACTIONS – Transactions represent the lowest level of cost data stored within the EcoSys

system.

• TRANSACTION CATEGORIES – Transaction Categories are codes that can be assigned to transactions

for classification and aggregation.





13


SYSTEM ADMINISTRATION

ADMIN MENU

The Admin menu is only available to users with System Administration access privileges. Many global

settings which affect all the CCTA Business Processes are established and administered via the Admin

menu.

The Admin menu includes the following submenus:

Config (only available to “System Administrator Plus Users)

− Assign certain menu layouts to users based on Roles

and Responsibilities within the organization that

allow creation, modification of major elements in

the configuration of EPC.

Maintain (only available to “System Administrator Plus

Users)

− Authorized users can create, delete, and/or edit

category values as well as attributes to projects.

Imports (only available to “System Administrator Plus

Users)

− Configured screens that allow import of data

associated to projects including attributes,

agreements and LOGOS Actuals.

System Admin (only available to “System Administrator Plus Users)

- The System Admin menu is only available to users with Administrative access privileges. Many

global settings which affect the entire EPC application are established here.

Month End (only available to “System Administrator Plus Users)

− After all Logos Actuals have been imported, validated and month ready to be close, this section

allows authorized users to adjust ETC for all contracts and then close minor period.

Batch Job Log (only available to “System Administrator Plus Users)

The Display Log screen allows the System Administrator to view the progress of various operations

that occur in the application.





14


CONFIGURE MENUS

Setup of Configurable Menus

EcoSys EPC allows configuring an unlimited number of menus and assigning them to users, thereby customizing the

user’s needs of the application in terms of which screens they have access to, and what those screens are called.

Native screens, user-defined reports, user-defined spreadsheets, user-defined actions/action batches and external

URLs are among the items that can be configured for a given menu item. Menus may also have sub-menus, icons

and a configurable caption.

Each user has:

• One Main Menu

Determines what menus, sub-menus and menu items they see/have access to. Users also

have the ability to add their own menu items to their main menu, which will only appear

for themselves.

• One Security Profile

Each security profile contains of list of privileges, which govern the functions the user can

perform; along with the list of privileges contained in the user’s license, the security

profile overrides the menu so if the user has a menu item that navigates to a screen that

their list of privileges does not allow, that menu item will not be displayed to the user.

Create Configurable Menus

1. From the Main Menu, select Admin, then Config, then Menus.

2. Click on Edit and then Create New.

Enter a Name for the Menu and select

a Menu Type.

3. The Top Menu selection will create menus on the main menu bar in a horizontal manner (the parent

menu). The Sub Menu selection creates menus that show up vertically in a drop down list. When done

with the selections, click on Save or Save and Add More to add more menus.





15


4. To assign Menus to the Sub Menus, select

the Sub Menu. On the Right pane, click on

the green plus sign (+) to add a new menu

item.

5. To assign a menu item, select the drop down list for Type. The selections

available are:

6. Select Sub Menu and a Menu

drop down list is displayed.

Drop down the Menu list and

pick a menu. To delete any

menu selection, click on the

menu and click on the Red “X”.

7. To add to the menu, repeat the steps from

4 to 6. To add icons, check the icon box

whenever available. To move menus up or

down the list, select the UP or DOWN

arrows.





16


8. To Change the Caption of the Menu, check

the Override box to be able to modify

captions.

9. Click on Save.

10. To assign the Sub

Menu to a Top Menu,

select the Top Menu

and assign the Sub

Menu using steps 4 to

9 as necessary.

11. Click on Save and then Apply.

12. The Menu will be displayed with its sub Menu. The configurable menus can be nested within each other

as needed to make the layout as user friendly as possible.





17


USERS AND SECURITY

Access to EcoSys security requires that anyone authorized to use the system must have a Role-based security

profile. Additional privileges may be attached to a user security profile as required. A user security profile may

have more than one role attached with suitable access to the functionality to perform their duties.

CCTA users are assigned access to Cost Objects, Organizations, or Versions which belong to specific Security

Groups. When a new user is created, the System Administrator will set up Cost Object, Organization, and Version

access for the user by assigning the user one or more Security Groups. These access privileges can be modified at

any time by a System Administrator with User Access.

� Before Security Groups can be assigned, they must first be created.

Security Groups

These settings define roles and security for CCTA EcoSys users.

All users with the proper permissions assigned in their Cost Object, Version, and Organization security groups will

be able to edit data in the provided spreadsheets.

Security and Access Privileges

Different kinds of CCTA users will have different kind of access and privileges to maintain projects and financial

controls. The table below shows the types of privileges a user has with the specific access rights assigned.

License Privilege

None Cannot log in

Read Only Read-only access to User Data, Viewer screens under Organizations, Cost

Objects, Spreadsheets, and the Reports Menu

Planning Access to User Data, Organizations, Cost Objects, Spreadsheets, and Reports

menus

Organization Planning and

Approvals

Access to User Data, Organizations, Cost Objects, Spreadsheets, and Reports

menus with ability to approve, reject, and closeout certain data.

Project Planning and

Approvals

Access to User Data, Cost Objects, Spreadsheets, and Reports menus with ability

to approve, reject, and closeout certain data.

Financial Administrator Access to User Data, Organizations, Cost Objects, Spreadsheets, Reports, and

Financial Administrator menus

Enterprise Data

Administrator

Access to User Data, Organizations, Cost Objects, Spreadsheets, Reports,

Financial Administration, and Enterprise Data menus

Integration Administrator Access to User Data, Organizations, Cost Objects, Spreadsheets, Reports,

Financial Administration, Enterprise Data, and Integration menus

Systems Administrator

Access to all menus, but no access to the Users and Security, CO / ORG Security

Groups, Rate Tables, Currencies, and Exchange Rate Tables screens under the

System Administration menu

Systems Administrator Plus

Rate Table

Access to all menus, but no access to the Users and Security and CO / ORG

Security Groups screens under the System Administration menu

Systems Administrator Plus

User

Access to all menus and all screens





18


Creating Security Groups

CCTA new users are assigned access to Cost Objects, Organizations, or Versions which belong to specific Security

Groups. A System Administrator Plus User will be able to create Security Groups.

• Security Groups for Organizations must be created by the System Administrator Plus User prior to

assigning Organization Access to new users

• Security Groups for Cost Objects must be created by the System Administrator Plus User prior to

assigning Cost Object access to new users

• Security Groups for Versions must be created by the System Administrator Plus User prior to assigning

Version Access to new users.

Creating Cost Object Security Group

1. Click on System Admin in the main menu bar and choose Cost Object Security Groups from the drop-down.

2. Click on Edit in the left pane, and then click on

Create New.

3. Enter an ID and Name for the Security Group in the fields provided.

4. Click on the Default checkbox if this Security Group is the new default, otherwise leave the checkbox blank.

5. Click Save to save the new Security Group or Save

and Add More to create more security groups.





19


Assign and Remove Cost Objects

The System Administrator must now assign Cost Objects to the Security Group to make those Cost Objects part of

the group, which will later be assigned to users as their Cost Object Access.

1. In the Assignment tab click Assign Cost Object, then

select the desired Cost Object from the Pop-up and click

Assign.

2. Repeat for all desired Cost Objects and click Close.

3. When finished click Save, otherwise click Cancel.

Sometimes it may be necessary to remove particular Cost Objects from a specific Security Group because they no

longer belong to it or because they belong to a different Security Group. To remove the Cost Objects that no

longer apply to a particular Security Group:

1. Click on the Remove checkbox next to the applicable item.

2. Repeat for all desired Cost Objects.


When Save is selected, the Cost Object will be deleted from the selected User Security Group and will no longer

be displayed on the screen.

Delete Cost Object Security Groups

1. Find and highlight the security group

in the left pane of the Cost Object

Security Groups screen.

2. Click on the Edit button in the left

pane.

3. Click on Delete Selected.

4. Confirm the delete prompt by clicking

Ok, otherwise click Cancel.

The Security Group will be deleted along with its Cost Object assignments and any Cost Object Access assignments

of this Group defined for EcoSys users.





20


Creating Organization Security Groups

This functionality enables EcoSys to be accessed by outside parties such as subcontractors while limiting these

users to information only relevant to their Organization. Before Organization Security Groups can be assigned, they

must first be created manually.

Create Organization security Groups

1. Click on System Admin in the main menu

bar and choose Organization Security

Group from the drop-down.

2. Click on Edit in the left pane, and then click

on Create New.

3. Enter an ID and Long Name for the Security Group in the fields provided.


5. Click Save to save the new security group or Save and Add More to create more Security Groups.

Assign and Remove Organizations

The System Administrator must now assign Organizations to the Security Group to make those Organizations part

of the Group, which will later be assigned to Users as their Organization Access.

1. In the Assignment tab, click Assign

Organization, then select the desired

Organization from the Pop-up and click

Assign.

2. Repeat for all desired Organizations and click

Close.

3. When finished click Save, otherwise click

Cancel.

Sometimes it may be necessary to remove particular Organizations from a specific Security Group because they no

longer belong to it or because they belong to a different Security Group. To remove the Organizations that no

longer applies to a particular Security Group:


2. Repeat for all desired Organizations.






21


Delete Organization security Groups

1. Find and highlight the Security Group in the left pane of the

Organization Security Groups screen.

2. Click on the Edit button in the left pane.


4. Confirm the delete prompt by clicking Ok, otherwise click Cancel.

The Security Group will be deleted along with its Organization assignments and any Organization Access

assignments of this Group defined for EcoSys users.

Create Version Security Groups

Each phase of the project financials is stored as a Version. New Versions may be added to enable new business

practices but any existing Versions should not be removed as they will contain historical data.

� Any attempt to remove Versions that contain data will trigger warning messages requesting that the data be removed from the Versions prior to its own removal.

Before Version Security Groups can be assigned, they must first be created manually.

Create Version Security Groups

1. Click on System Admin in the main menu bar and

choose Version Security Group from the drop-

down.

2. Click on Edit in the left pane, and then click on

Create New.

3. Enter an ID and Long Name for the Security Group

in the fields provided.


5. Click Save to save the new Security Group or Save and Add More to create more Security Groups.





22


Assign and Remove Versions

The System Administrator must now assign Versions to the Security Group to make those Versions part of the

group, which will later be assigned to Users as their Version Access.

1. In the Assignment tab click Assign

Version, then select the desired

Version from the Pop-up and click

Assign.

2. Repeat for all desired Version and

click Close.

3. When finished click Save, otherwise

click Cancel.

Sometimes it may be necessary to remove particular Versions from a specific Security Group because they no

longer belong to it or because they belong to a different Security Group. To remove the Version that no longer

applies to a particular Security Group:


2. Repeat for all desired Versions.


Delete Version Security Groups

1. Find and highlight the Security Group in the left

pane of the Version Security Groups screen.



4. Confirm the delete prompt by clicking Ok,

otherwise click Cancel.

The Security Group will be deleted along with its Version assignments and any Version Access assignments of this

Group defined for EcoSys users.





23


CREATE A NEW USER

General

1. From the main menu bar select System Admin

then Users and Security.

2. Click the Edit button, and then click Create

New.

3. Enter a First Name, Last Name, Login Name,

Email, Password in the fields provided. The

User’s Middle Initial is not mandatory.

4. Enter the Password again in the Confirm

Password field.

5. Set the Authentication Mode to Native by

choosing from the drop-down.

6. When finished click Save or Save and Add More

to create more users.

After the New User has been created, the User details tabs will be displayed. Any of the information provided

above can be modified in the General and Security tabs.

Security

1. After a New User has been created, it will be added

to the Users list.

2. Select the New User. Ensure that the Active box is

ticked on the General tab.

3. Next select the Security Tab. The User Name will

automatically be displayed.

4. If using the “Native” Authentication Mode, enter

the generic password (Newpassword@10) in the

Password and Confirm Password fields.

5. Set the Password never expires flag (tick box) to un-

checked. If the flag (tick box) is checked for a

particular User, that User’s Password will ignore the

global expiration settings and never expire.

6. If using the “LDAP” Authentication Mode, the

password field is automatically filled from the Active

Directory.

7. Select a Licensing option from the drop-down, if applicable. The CCTA default

selection is None. Options available include:

8. When finished click Save to save all settings, otherwise click Cancel.





24


Organization Access

If the newly created User should have access to all Organizations in EcoSys:

1. Click on the Organization Super User checkbox.

2. If only certain Organizations will be editable by the New User, click Assign Security Group, then select the

desired Organization Security Group from the Pop-up and click Assign.

3. Select Assign Security Group and from the Pop-up window select CCTA and click Assign. Once the Security

Group is assigned select Close to close the window.


Cost Object Access

If the newly created User should have access to all Cost Objects in EcoSys,

1. Click on the Cost Object Super User checkbox. For Client ABC this should only be used for designated Super

Users.

2. If only certain Cost Objects will be editable by the new User, click Assign Security Group, then select the

desired Security Group from the Pop-up and click Assign.

3. For Client ABC, from the Pop-up window select the Cost Object Security Group created with the newly created

User’s User Name or Role.






25


Version Access

If the newly created User should have access to all Versions in EcoSys,

1. Click on the Version Super User checkbox. For Client ABC this should only be used for Admin.

2. If only certain Versions will be used by the new user, click Assign Security Group, then select the desired

Security Group from the Pop-up and click Assign.


Native Password Reset

1. From the main EcoSys menu

bar select System Admin

then Users and Security.

2. Next, select a User from the

list on the left on the screen.

The user Security Profile tabs

will be displayed.

3. Select the Security tab; delete the existing Password, and Confirm Password in their respective fields.

4. Enter new Password into the Password and Confirm Password fields.


User Password Change

Once a User has been created, they can change their own Password from the one that the System Administrator

has set for them.

1. Select from the Tool Box select User Settings.

2. Next, select the Password tab.

3. Under the Current Password field enter the current password,

then in the New Password field the new password, and again

enter the new password in the Confirm New Password field.






26


Modify User Attributes and Access

A System Administrator is able to modify Attributes and Access Privileges for existing users in the EcoSys system.

1. From the main menu bar select Admin, System Admin, then Users and Security.

2. Next, select a User from the list on the left on the screen. The user Security Profile tabs will be displayed.

Select the required tab to modify the selected user attributes and access security rights.

General Tab

1. Edit any of the following fields: First Name, Last Name, Email, and Initial.

2. Remove the checkmark from the Active flag to deactivate the User.

3. When finished click Save, otherwise click Cancel to discard your changes.

Security Tab

1. Edit the User Name, Password, Authentication Mode, and/or Password Never Expires setting.

2. Adjust the User's licensing privileges for the Budget Manager and/or Project Manager module.


Organization Tab

1. If the User should or should not have access to all Organizations in EcoSys, modify the Organization Super

User checkbox.

2. If only certain Organizations will be editable by the User, click Assign Security Group, then select the

desired Security Group from the Pop-up and click Assign.

3. Repeat for all desired Organization Security Groups and click Close.


To Remove Security Group

To remove the Security Groups that no longer apply to the User’s access do the following.


2. Repeat for all desired Security Groups.

3. When finished click Save, otherwise click Cancel

4. Above steps to be used for Organization, Cost Object and Version security access





27


ENTERPRISE DATA

OVERVIEW

The Enterprise Data menu is utilized to set up the framework for the organization's financial and budgeting

processes. Data objects such as versions, cost categories, and organizations are created here in order to reflect the

organizational structures around the budgeting and financial processes. Additional data objects such as categories,

cost objects, and resources may also be manually created in Enterprise Data dictionaries or imported into EcoSys

from an external system. Once the data exists in the application, it resides in the Enterprise Data menu where it

can be modified at any time by an enterprise data or system administrator.

The Enterprise Data menu for CCTA consists of the following Dictionary screens:

• Versions

• Organizations

• Cost Objects

• Cost Accounts

• Categories

VERSIONS A version is a saved snapshot of financial data. It is an accumulation of financial data that when viewed collectively

results in a distinct financial picture for a variable such as a point in time or a group of assumptions. Versions of

budgets, forecasts, actuals, etc...., can be stored in EcoSys and utilized as part of the enterprise's business process

and financial cycles.

Various financial views in EcoSys are organized by versions. In most organizations, versions will be defined globally

and spreadsheet types, such as budgets, forecasts, or actuals will be assigned to each version. Once the versions

have assigned spreadsheet types, they become available on the corresponding EcoSys screens. The user then

chooses a Start and End major period in order to view the data for the version accordingly. Data outside of the set

date range will not be available for the particular version. Versions may also be locked with a major period of with

the closeout of actuals which usually occurs each month. With every closed month, data that is associated with a

locked version will no longer be editable in the closed period.

EcoSys allows for the creation of an unlimited number of versions, but most companies will initially create only the

global versions required for their financial processes. Additional versions can be added at any time, but it is

recommended that users create their own user-defined version to use as spreadsheets for “what-if” scenarios.

Once satisfied with any modifications, the finalized data can be copied by the system administrator into the global

versions.

NOTE: IF VALUES DO NOT EXIST FOR A SPECIFIC VERSION IN A PARTICULAR ECOSYS SPREADSHEET OR REPORT,

THE SYSTEM WILL AUTOMATICALLY DISPLAY VALUES FOR THE SYSTEM VERSION FOR THE SPREADSHEET TYPE.





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Create a Version

1. From the Main Menu Bar, choose Enterprise Data, then Versions from the drop-down.

2. Click on the Edit link.

3. Click the Create New button.

4. Enter an "ID" and "Name" for the version in the fields provided.

5. Select a Version Type by clicking the ellipsis button and choosing a type from the Popup.

6. Keep the Active checkbox selected if the version is to be activated upon creation.

7. Click the Save and Add More link to create more Versions or click the Save link if finished.

� Alert: Once Global Versions have financial data tied to them, they cannot be deleted, while User-defined versions can be deleted at any time.

Modify a Version

General Information

1. In the General tab, modify the "ID", "Name" in the fields provided or "Version Type" by clicking on the

ellipsis button and selecting one from the Popup.

2. Remove the Active checkbox if the version is no longer Active.

3. Click the Save link to save any changes, otherwise click Cancel.

Add Spreadsheet Types

In the Apply To tab:

1. To add spreadsheet types to the version, click on the Add Spreadsheet Type link on the right.

2. Choose a spreadsheet type from the drop-down in the first column.

3. Click on the checkbox for System Version if this version will be the default for the chosen spreadsheet

type.

4. Repeat the above steps to add more spreadsheet types to the same version.


Remove Spreadsheet Types

1. To remove a spreadsheet type from a version, click on the Remove checkbox on the far right of the table

row. The item will appear crossed out.






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COST OBJECTS

Cost Objects can be any object within an enterprise that is held accountable for funds (allocations) received from

Organizations. A Cost Object can be a project with a defined start and end date, an ongoing operation that an

enterprise support like a help desk, a program, equipment pool, resource pool, or other types of entities that are

funded. A Cost Object can receive funding from one or more Organizations.

Cost Objects may be mapped to similar objects in other systems. By mapping Cost Objects to external systems,

EcoSys can consolidate budgets, forecasts, and actuals being generated in multiple systems to provide integrated

performance measurement. The Project Manager module is used for managing requests and forecasts for all Cost

Objects, not just projects.

Create Cost Objects

1. In the main menu bar, choose Admin, Config, and then

Cost Objects from the drop down.

2. Click on the Edit button in the left pane next to the Cost

Object Search.

3. To create a new cost object, click the Create New button.

4. Enter an ID and Name for the new cost object in the fields

provided.

5. Select cost object Type from the drop down.

Tip: The Cost Object type of a child Cost Object does not have to

be the same as the parent Cost Object type.

6. If applicable, choose an Owner Organization by clicking on

the ellipsis to find and select a value from the organizations

in the Popup. Click Ok, otherwise click Cancel.

7. Click the Save and Add More link to create more cost

objects or click Save if finished. Alternatively, click Cancel

to discard any changes.

Once the new cost object has been saved, the General tab and

other detail tabs will be displayed in the screen.





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Modify Cost Object Attributes

1. In the main menu bar, choose Admin, Config, and then Cost Objects from the drop down.

2. Utilize the Cost Object or Cost Object Category Search, Cost Object Hierarchy, or Recent Items to find and

select an existing cost object to be modified.

Edit General Information

In the General tab:

1. Modify the ID or Name in the fields provided.

2. Change the cost object Status to Planning, Open, or Closed in the drop down list. The Status reflects the stages

of the cost object's life cycle:

• When a Cost Object is first created, it has a Planning status.

• A project manager would change the status of a Cost Object to Open as soon as the Cost Object starts to

incur actual charges.

• When the Cost Object's duration ends and it ceases to incur actual charges, the project manager would

change the status to Closed and most spreadsheets for the Cost Object would become read-only.

Status Description

Planning All forecasting and dictionary functions are editable for the cost object but no actual

transactions may be assigned.

Open All functions are editable for the cost object and actual transactions may be assigned.

Closed Only dictionary functions are editable for the cost object.

3. Select a Cost Object Type, by clicking on the ellipsis and selecting the type from the Popup. Cost Object Types

are: Project, Program, Operation, Resource Pool, Equipment Pool, and are assigned for the purpose of

categorization and reporting.

4. Select from options for where to Import transactions’ charge codes from:

• Cost Object Chargebacks Only





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• Charge Code Mappings if Possible

• Charge Code Mappings Only

5. Select Cost Object Currency by clicking on the ellipsis and selecting election from the Popup menu.

6. Select an Owner Organization by clicking on the ellipsis and selecting from the Popup menu.

7. Click the Save link in the top right corner of the tab to save any changes, otherwise click Cancel.





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CATEGORIES

Create Categories and Values

1. From the Main Menu, Select Admin, then Enterprise Data,

then Categories.

2. A screen with the different data types that can be

categorized is displayed.

3. To create a Category, click on the Categories link

aside the data type. For this document, Cost Object

Categories will be explained. Click on Edit and the

Create New in the left hand pane. Enter the ID and

Name of the Category. When done, click on Save or

Save and Add More to add more Categories.

4. The Category dictionary will be displayed.

5. Click on Category Values in the right hand side of screen. Select Category

Hierarchy in the layout view.

6. Select the Category and then click on Edit and Create

New Child. The screen on the right displays the ID and

Name filed that need to be filled. Also notice the Parent

category is displayed on the right.

7. On completion of ID and Name field, click on Save or

Save and Add More to add more values to the

category.





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ACTIONS

Actions are Copy, Create, Spread, Update, or Delete functions which are configured by the user and utilized to

make changes to various data objects in the application. The configuration allows for setting up filters and

parameters in a way that specifically targets the necessary data that will be modified in the tool. Data can be

created, copied, spread over time, updated with new values, or deleted from the system, depending on the type of

Action that is created.

Create Action

1. Click on Admin, in the main menu bar, then Financial Admin, and

Actions from the dropdown.

2. Click on the Edit button in left hand pane and then click on Create

New.

3. Type an ID and Name for the Action. Choose a Subject Area for the Action from

the dropdown. A subject area defines what data objects will be used in the

Action.

4. Click Save to save the Action in the list or Save and Add More to create additional

Actions.

5. After saving, the Actions specifications tabs will load on the right.

The General tab contains

some of the specifications of

the Action which may be

modified:

• ID and Name

• Action Type: Type of

Action that is being

performed: Copy,

Create, Delete or Update

For certain Actions, a Default Version may be selected for the data that will be used in the Action.

In the Fields tab, new fields may be added to the Action, existing fields may be removed.





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1. Click the Field ellipsis to choose a column field from the popup for the first default column. For subsequent

columns, click the Add New Column icon (green plus sign) and then continue until satisfied with all chosen

columns. Any column can also be copied or deleted from the list by using the icons above the Columns

section.

2. Some column field also consists of

column filters which can be

modified at any time and adjusted

to the specific data the user wishes

to generate. Highlight the column

to view the options found under the

Column Filter tab.

Each column will have different column filters, depending on what data is represented by the column. Cost fields

will always have a Major and Minor period filter as well as a Period Filter Type so that the values can be narrowed

down to a specific time period.

� Alert: All cost fields must have a version selected or the Action will not allow the user to save.

In the Row Filters tab, each existing column may be assigned a Row Filter based on the data that is available in FM.

3. To assign the filter, highlight the

column, choose the Operator from the

dropdown, and specify a Value for the

filter in the field provided.

If using multiple filters, specify the logic to

be used (And/Or) by clicking on the

appropriate radio button.





35


4. If the Action Type selected

on the General tab is

Update, the Update Logic

tab will be selectable. If

Copy or Delete is selected,

the Update Logic tab is

grayed out and not

selectable

5. The Update Logic tab gives the user

different options to update data in the

Action.

6. If all specifications for the Action are set,

click on Save above the tabs to save the

Action or click Save to save any changes

to the Action.

7. To Run the Action, click on the Run Action link. A Run

Update Action box is displayed. Click on the Preview

button to see what is currently within the database for

the data elements selected and the filters used on the

Action.

8. A Preview Page is displayed showing the rows that will

be modified by the Action. Click on OK at the bottom to

run the Action.

9. The Run Update Action box is displayed again. Click on

Run to run the Action.





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10. A Warning will be displayed to make sure

user is aware of the implications of the

Action. Click on OK if satisfied with the

Preview.

ACTION BATCHES

EcoSys EPC allows for creating Action Batches, or groups of actions organized to fit the organization's needs. These

groupings of actions can be generated together as a batch job or scheduled to run together at a specific time,

performing the necessary updates to the data consecutively, and making it easy for a user to view the output.

Creating Action Batches

1. In the main menu bar, click on Admin, then Config, then select

Action Batches from the drop down.

2. Click the Edit button, then click Create New.

3. Enter an ID and Name for the action batch.

4. Click Save if finished, or Save and Add More to create

additional action batches.

After the action batch has been created and saved, the action batch detail tabs will appear on the

right. Alternatively, if updating the details for an existing action batch, find and select the action batch in the left

pane.

1. Update the ID or Name of the Action Batch in

the fields provided.

2. Enter a Description for the Action Batch which

will help users understand what the action

batch will change in the system when

generated.

3. Click Save to save all changes, otherwise click

Cancel.





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4. In the Actions tab, click on the Add Action link. An action table will be displayed.

5. In the Action column, click the 'none selected' link and choose

the action from the Popup.

6. Continue to add actions to the batch by repeating steps 2 and 3.

7. Click OK when finished, otherwise click Cancel.

8. Enter the correct Sequence Numbers for each of the actions added to the batch to ensure they are generated

in the proper order.

9. To remove an action from the table, if necessary, click the Remove checkbox. The action will appear crossed

out.

10. Click Save when finished, otherwise click Cancel.





38


SPREADSHEETS The Spreadsheets screen allows users with Financial Administration access to create, format and assign rules for

different types of spreadsheets that may be available in EcoSys. The spreadsheets that the user is able to create

are applicable to different subject areas of the application and thus would appear under different menus in the

tool. If placed in the Main Menu bar, the configured spreadsheets may be generated directly from the

Spreadsheets menu.

The spreadsheets may be configured to consist of customizable columns and rows, which represent the data

stored in EcoSys. Any data that can be reported on via the EcoSys Reporting Engine can also be represented in

spreadsheets. The difference is that the data in spreadsheets is “live” and can be edited by other users that may

have access to the spreadsheet, while reports represent a snapshot of that date at a specific point in time.

Furthermore, the spreadsheets that are created in this screen can be specifically formatted to the user’s

preference. Some columns or rows may be set to read-only while others are editable, some columns or rows may

be highlighted or have a different background than others to distinguish different types of data found in the

spreadsheet. Some data, such as time periods, or specific versions associated with the spreadsheet may be locked

down, focusing other users on only the necessary updates that they need to make to maintain their financial data.

On the whole, the Spreadsheets screen is a very powerful and robust area of functionality in EcoSys, which allows

for the creation of custom screens that may be ideal for the users who will make their necessary EcoSys updates.

CREATE GLOBAL CONFIGURABLE SPREADSHEETS

1. From the Main Menu Bar, choose Financial Admin, then Spreadsheets from the dropdown.


3. Click the Create New button.

4. Enter an "ID" and "Name" for the new Global spreadsheet in the fields provided.

5. Select a Subject Area from the dropdown.

The available types are:

• Actual Transaction

• Actual-Forecast Transaction

• Cost Object

• Cost Account

• Category

• Exchange Rate

• Forecast Transaction

• Organization

• Rate

• Resource

• Task

• Transaction Summary

• User

6. Keep the Active checkbox selected if the spreadsheet is to be activated upon creation.

7. Click the Save link when finished, or click the Save and Add More link to create additional Global

spreadsheets.





39


NOTE: GLOBAL SPREADSHEETS CAN BE ACCESSED AND EDITED BY ALL USERS WHO HAVE THE SECURITY RIGHTS

TO VIEW THEM AND EDIT THEM. USER SPREADSHEETS ARE ONLY AVAILABLE TO THE USERS WHO CREATED THEM

VIA THE USER DATA MENU.

Now that the spreadsheet has been created, columns, filters, and other settings must be added and customized so

that the spreadsheet view can be utilized for viewing and editing financial data in the future. For information on

configuring spreadsheet details, please refer to the Modify Custom Spreadsheets topic.

T I P : TH E N E W L Y C R E A T E D S P R E A D S H E E T C A N B E A C C E S S E D F O R E D I T I N G V I A T H E SP R E A D S H E E T S M E N U ( I F

T H E S P R E A D S H E E T W A S P L A C E D I N T H E M E N U ) O R T H E C O S T OB J E C T S O R OR G A N I Z A T I O N M E N U S I N T H E M A I N

M E N U B A R .

� ALERT: USER-DEFINED SPREADSHEETS CAN BE DELETED AT ANY TIME, WHILE GLOBAL SPREADSHEETS THAT HAVE FINANCIAL DATA TIED TO THEM, CANNOT BE DELETED.

CONFIGURE SPREADSHEETS

General Tab

The General tab contains some of the specifications of the spreadsheet:

• Subject Area

• Spreadsheet ID

• Spreadsheet Name

• Active flag

• Notes for the spreadsheet can be added in the available Notes section.

• List Mode: Hierarchy will allow items to be displayed indicating whether they are root or child level data

objects and the List will display a flat list of data objects

NOTE: IF THE SPREADSHEET WILL HAVE GROUPINGS AND FILTERS, CHOOSE LIST FROM LIST MODE DROP DOWN.

HIERARCHY MODE DOES NOT SUPPORT GROUPINGS AND FILTERS

• For some subject areas, a Default Version can be specified for the spreadsheet by choosing a value from

the lookup under the Spreadsheet Context heading. This default version will be utilized for any cost fields

if no version is selected in the column filters.

1. Click on the ellipsis button for the Default Version field.

2. Choose the Global vs. User, Version Type, or Version Category Hierarchy view from the drop-down.

3. Find and select a version from the available options.

4. Click Ok when finished, otherwise click Cancel.

Spreadsheet Columns

In the Columns tab, the user selects which columns or 'fields’ will appear in the spreadsheet. New columns may be

added to the spreadsheet, existing columns may be removed, and it is possible to add formula columns which will

appear as read-only in the spreadsheet. .





40


Add a New Column

1. Click the Add New Column icon (green plus sign) and then click the Field ellipsis to choose a column field from

the Popup. Continue until satisfied with all chosen columns.

2. The Name (column header), Width, as well as other Display Settings and Options for each column may be

changed by using the fields provided.

3. Copy or Delete any column from the list by highlighting the column and clicking on the icons (double page and

red X) above the Columns section.

Tip: For a list of the columns available for the different Subject Areas, please see Report

Column Fields. Report column fields for particular subject areas directly correspond to the

column fields of the same subject areas.

NOTE: IT IS POSSIBLE TO MAKE THE COLUMN VISIBLE OR INVISIBLE (THEREFORE ONLY USED IN FILTERS OR

PARAMETERS) AND ALSO CHOOSE A BACKGROUND COLOR FOR VISIBLE COLUMNS.

Customize Columns

1. To change a column heading, highlight the chosen column field and type a new heading name in the Name

field. NOTE: THE NAME IS A USER-DEFINED TITLE FOR A FIELD. IF THE FIELD OF THE COLUMN IS CHANGED AFTER

HAVING: CREATED, COPIED AND/OR SAVED THE COLUMN PREVIOUSLY, THE NAME WILL NOT ADJUST

AUTOMATICALLY. THE USER WILL NEED TO MODIFY THE NAME MANUALLY.

2. Click on column name and then use the up and down arrows to rearrange the order of the columns.

3. Select the column field and use the Display Settings box to...

• Modify the column width by entering a new value in the Width field.

• Click on the Background Color box to choose a color from the color palate that appears.

• Click the Visible checkbox to remove the checkmark and make a column invisible.

4. Select the column field and use the Display Options box to...

• Make a specific column read-only, by clicking on the Read-only checkbox.

• Set the Decimal Count (0, 1, 2,...) to display the appropriate number of decimals for numbers that will

display in the spreadsheet. (for numeric fields only)

• Click the Show Total checkbox to display column totals for number and cost column fields.

• Set the Divide Values By (1,10,100, ...100,000,000) option to the applicable setting for the column. (for

numeric fields only)

• Click on the Show Icon checkbox to show the data object's icon in the column.

• Click on the Hide Currency Symbol checkbox to remove the currency symbol from a cost column field.

• Click on the Use Column Filter Currency checkbox to utilize the column's filtered currency on any cost

column.

• Click on the Group By checkbox to group the rows in the spreadsheet by the specific field values for the

column.

• The Current Minor Period Values option only applies to Actual/ Working Forecast fields and allows the

user to specify whether in the current month the values represented in the field should be:

• Actuals

• Forecasts

• Actuals + Forecasts

5. Each cost column field can also have a set currency by selecting on option from the Currency Options:





41


• Use Enterprise Currency Costs (default) to show all costs regardless of native currency, using the

organizational default.

• Use Cost Object Currency Costs to show all costs in the currency defined for the cost object associated

with the cost.

• Use Column Filter Transaction Currency to show all costs in the currency that is defined for the column in

the Column Filters tab.

• Convert Enterprise Currency Costs to Display Currency & Exchange Rate Table will convert the enterprise

currency to the selected currency and calculate based on the selected rate table for that currency.

� Alert: Group By is unavailable if the column field is set to Read-only.

Each column field may also consist of column filters which can be modified at any time and catered to the specific

data the user wishes to view and update in the spreadsheet. In the Column Filters tab, highlight the column to

view the filter options.

For information on how to apply filters and further customize the spreadsheets, please see the Modify Custom

Spreadsheets topic.

Spreadsheets Menu

Spreadsheets may be added to or removed from the Spreadsheets drop down in the main menu bar. This

Spreadsheets dropdown only appears if at least one spreadsheet was added to the menu. Only Global

spreadsheets can be placed into the Global Menu, while both Global and User spreadsheets can be placed in the

User Menu.

Tip: The global spreadsheets appear above the user spreadsheets in the menu dropdown and

are separated by a dividing line.

1. Find and highlight the spreadsheet name in the left pane

2. In the General tab, click on the Add to User Menu / Remove or Add to Global Menu /Remove links in the top

section of the tab.

The spreadsheet will be placed in the specific menu from where it can be accessed and updated in the future. The

spreadsheet can also be removed from the menu at any time. If removed, it can only be accessed via the

Organization or Cost Objects menus (depending on the subject area).

NOTE: ONLY USERS WHO HAVE ACCESS TO CREATE/MODIFY GLOBAL SPREADSHEETS MAY PLACE THEM IN THE

GLOBAL MENU. ALL USERS CAN PLACE BOTH GLOBAL AND USER REPORTS INTO THEIR OWN USER MENU.

After the spreadsheets have been placed in the Global and/or User Menus, they can be accessed by clicking on the

spreadsheet name directly from the Spreadsheets drop down in the main menu bar.





42


Copy Spreadsheets

EcoSys allows copies of existing global and/or user spreadsheets to be created at any time. Only users with

create/modify rights for Global spreadsheets can create Global copies of their User spreadsheets as well as User

copies of any Global spreadsheet.

1. Find and highlight the spreadsheet name in the left pane.

2. In the General tab, click on Copy to Global or Copy to User links in the top section of the tab.

If copying from User to User or from Global to Global, a copy of the spreadsheet will appear in the left pane with a

number appended at the end of the Spreadsheet Name. If copying from User to Global or Global to User, the

spreadsheet copy will appear in the applicable screen: Spreadsheets under User Data (User Spreadsheets) or

Spreadsheets under Financial Admin (Global Spreadsheets).

Create New Spreadsheets Based on Existing Spreadsheets

A new spreadsheet can be created based on an existing one by copying the existing spreadsheet along with all of

its defined specifications.

1. Find and highlight the spreadsheet in the left pane.

2. In the General tab, click on the Copy to User or Copy to Global link (depending on user privileges).

3. Find the spreadsheet copy in the applicable screen, click on the copy of the original spreadsheet in the list in

the left pane. The spreadsheet tabs will appear on the right.

4. Change the spreadsheet Name and ID in the General tab and make any necessary column, filter, highlight, or

formatting modifications.

5. Assign any applicable parameters or categories to the spreadsheet.

6. When finished, click Save, otherwise click Cancel.

Modify Configurable Spreadsheets

Once the spreadsheets have been created, columns, filters, and other settings must be added and customized so

that the spreadsheet view can be utilized for viewing and editing financial data in the future. This configuration

must be done prior to using the spreadsheet, but may also be modified at any time thereafter. If any user or global

spreadsheet columns, rows, filters, formatting settings, etc... need to be modified please refer to the applicable

section below.

Find and Select the Spreadsheet

User Spreadsheets

1. Click on User Data in the main menu bar and choose Spreadsheets from the drop down.

Follow with Step # 2 below.

Global Spreadsheets

1. Click on Financial Admin in the main menu bar and choose Spreadsheets from the drop down.

� Alert: Not all users will have access to modify the configuration of Global Spreadsheets.





43


2. In the left pane, utilize the Spreadsheet Search, Subject Area, or Spreadsheet Category Hierarchy to locate

the spreadsheet to be modified or customized. The spreadsheet may also be displayed in the Recent Items

section of the left pane, if it was recently modified.

• Spreadsheet Search - Type the name or part of the spreadsheet name in the search field and click Go,

then select a spreadsheet from the results list

• Subject Area - Expand the subject area of the spreadsheet to be modified, then find and select the

spreadsheet from the list

• Spreadsheet Category Hierarchy - If the spreadsheet to be modified has a category assignment, expand

the category of the spreadsheet, then find and select the spreadsheet within that category tree

3. Click on the spreadsheet name to view the detail tabs.

4. Changes can be made to any of the available tabs: General, Columns, Column Filters, Highlight, Row Filters,

Options, Parameters, and Categories. Detailed information about each tab is provided below.

5. When finished click Save in the top right corner, otherwise click Cancel.

General Information

The following information can be modified or added to the spreadsheet in the General tab.

• Spreadsheet ID

• Spreadsheet Name

• Active flag

• Notes

• Spreadsheet Context options: Default version to be uses for the data in the spreadsheet (if applicable to

the spreadsheet type).


objects and the List will display a flat list of data objects.

NOTE: IF THE SPREADSHEET WILL HAVE GROUPINGS AND FILTERS, CHOOSE "LIST" FROM THE LIST MODE DROP

DOWN. HIERARCHY MODE DOES NOT SUPPORT GROUPINGS AND FILTERS.

Columns

For information on adding new columns, please refer to the Spreadsheet Columns heading in the Customize

Spreadsheets topic.

Customize Columns

1. In the Columns tab, to change a column heading, highlight the chosen column field and type a new heading

name in the Name field. NOTE: THE NAME IS A USER-DEFINED TITLE FOR A FIELD. IF THE FIELD OF THE COLUMN IS CHANGED AFTER

HAVING: CREATED, COPIED AND/OR SAVED THE COLUMN PREVIOUSLY, THE NAME WILL NOT ADJUST

AUTOMATICALLY. THE USER WILL NEED TO MODIFY THE NAME MANUALLY.


3. Select the column field and use the Display Settings box to...

• Modify the Width.

• Change the Background Color.

• Make a column Visible or invisible.


• Make a specific column Read-only.

• Set the Decimal Count (0, 1, 2,...)

• Show Total





44


• Set the Divide Values By (1,10,100, ...100,000,000)

• Show Icon

• Hide Currency Symbol

• Use Column Filter Currency

• Set the Group By column.

5. For cost and units type columns, use the Edit Settings option to select a spread type for costs and units which

span multiple periods. The available spread types are: In first minor period, Spread linearly, Spread with bell

curve, Spread front loaded, Spread back loaded. This will determine where the values appear in the

spreadsheet.

Tip: When using a bell curve as the spread type, the distribution of the bull curve can be

configured via the Server Settings File.

� Alert: Group By is unavailable if the column field is set to Read-only.

Column Filters

The Columns Filters tab is equipped with column filters for each column field in a spreadsheet, which can be

modified at any time and catered to the specific data the user wishes to view and update.

1. Select a specific column to view the options found under the Column Filter heading. Most attribute fields will

not have column filters and some cost fields will have several additional column filters available. Depending on

the column selected, the filters include:

• Major Period

• Minor Period

• Version

• Funding Type

• Cost Account

• Phase

• Chargeback Organization

• Organization

• Resource

• Resource Category Value

• Cost Object

• Cost Object Category Value

• Task Category Value

• Transaction Currency

2. There is also a Major Period Filter Type drop down menu and Offset field which specifies how the values in

the report are related to the selected major period.

• Current Major Period (default)

• Life Totals

• Life to Date - up to (but not including) the current major period

• Life Remaining

• Explicit Major Period - if set as the option, a specific major period must be selected from the Major Period

dropdown.

• Minor Period Range – select minor period range within the major period





45


• Date Range - allows the selection of a specific date range which may span multiple weeks, months or

years

3. There is also a Minor Period Filter Type drop down menu and Offset field which specifies how the values in

the report are related to the selected minor period.

• Totals - for minor period

• Period to Date - up to (but not including) the current minor period

• Remaining

• Current Minor Period

• First Minor Period

• Explicit Minor Period - if set as the option, a specific Minor Period must be selected from the Minor Period

dropdown.

• Through Current Phase - up to and including current phase (spanning minor periods)

4. The Offset field specifies how many periods to offset the major or minor period setting so that the resulting

value for the column displays the correct data for the desired month or fiscal year. For example, the minor

period offset (+1) might be used along with the Current Minor Period filter type. A field with this setting will

always display the values for the month that comes after the current minor period, regardless of when the

report is generated.

Tip: Using Offsets is very beneficial when creating spreadsheets that are viewed periodically

and need to capture the correct data without the need to modify the spreadsheet's column

filters for major or minor period each time. It is also possible to use negative offsets, for

example: Current Major Pd (Offset -1) which would take the current fiscal year and show

data for the previous year.

Highlight

The Highlight tab allows the user to highlight particular spreadsheet cells or rows based on specific criteria. The

Highlight feature activates a special mechanism in spreadsheets, which will highlight any cell or row that contains a

value which meets the configured criteria. For example, a user is able to set a condition for a Working Forecast

column in which any cell value that is over $500,000 will be highlighted in a specific color of preference. We do so

by setting the operator and condition, as well as the desired color. The cells and rows can also be set to read-only.

1. In the Highlight tab, select a specific column for which to assign highlight criteria.

2. Select a specific Operator from the dropdown. The available operators vary by the type of column field

selected.

Attribute and Category fields:

• Assigned

• Assigned Under (for hierarchy fields only)

• Not Assigned

• Equals

• Not Equals

• Contains

• Does Not Contain

• Contains List Item

• Does Not Contain List Item

Cost, Number, and Date fields:

• Equals





46


• >

• <

• Between

• Not Equals

3. In the Value field, enter or find and select the specific value to compare the data to.

4. Click on the Clear button to reset the column's criteria.

5. Click on the Change row color to: button to select a color for the entire row of the cells that meet the

specified highlight criteria in the spreadsheet.

6. Click on the checkbox to make row read-only if any cell in that row meets the specified highlight criteria in the

spreadsheet.

7. Click on the Change cell color to: button to select a color for only the cells that meet the specified highlight

criteria in the spreadsheet.

8. Click on the checkbox to make cell read-only if a cell meets the specified highlight criteria in the spreadsheet.

Tip: The user is able to both change the color and make the cell or row read-only

simultaneously.

NOTE: AN ASTERISK WILL APPEAR NEXT TO FIELD NAMES THAT HAVE A HIGHLIGHT ASSIGNED.

Row Filters

In the Row Filters tab, each existing column in the spreadsheet may be assigned a specific filter based on the data

that is available in EcoSys. The filters assigned will determine which rows will be displayed in the spreadsheet. For

example, the user may wish to show certain cost objects in a Cost Object spreadsheet, based on categories, names,

or forecasts greater than a specific value. The user may filter on those particular columns to return a list of cost

object rows that meet the criteria.

1. Select the relevant column from the Column section.

2. To assign the filter, highlight the column, and choose the Operator from the drop down. The most common

row filter operators are:

• Assigned

• Not Assigned

• Assigned Under

• Equals

• Not Equals

• >

• <

• Between

• Contains

• Does Not Contains



3. Specify a Value for the filter in the field provided. Enter the value as text or a number, or choose from

available data.

4. If using multiple filters, specify the logic to be used (And/Or) by clicking on the appropriate radio button.





47


NOTE: THE LOGIC ONLY AFFECTS THE COLUMNS THAT HAVE A FILTER SPECIFIED, AND ONLY ONE OF THE LOGIC

OPTIONS CAN BE USED AT A TIME (AND/OR). IF HOWEVER, THE SAME COLUMN FIELD IS FILTERED ON MORE THAN

ONCE, THE SPREADSHEET WILL AUTOMATICALLY ASSUME THAT THE LOGIC FOR ONLY THIS FIELDS IS "OR",

REGARDLESS OF THE LOGIC SPECIFIED WITH THE RADIO BUTTON.

5. To clear the setting, click on the Clear button.


� Alert: For a hierarchy of rows, when a parent data object is filtered out, the children of that parent will automatically be filtered out. If one or more of the child data objects is filtered out, the parent will remain in the spreadsheet and will continue to display the total roll-up value in roll-up cost fields for the parent, regardless of how many children are displayed.

NOTE: AN ASTERISK WILL APPEAR NEXT TO FIELD NAMES THAT HAVE A FILTER ASSIGNED.

Additional Options

The Options tab provides some additional options for customizing the spreadsheet. Click on the specific checkbox

or button of choice to apply the options.

Display

• Group row color can be set to a specific color. If there is a grouping in the spreadsheet, the grouping row

can be a different color.

• Color read-only cells is an option that allows the user to set the cell color for any cells that will be read

only in the spreadsheet.

• Read-only color allows one to select a color and displays the color selected.

Advanced

• Refresh all rows on save setting will refresh turn on the automatic refresh of all rows after a user clicks

the Save link in the spreadsheet. This will eliminate the need to click Refresh, but the repetitive refresh

may not be necessary.

Edit

• Can insert new rows checkbox allows users to insert new rows when editing the spreadsheet.

• Can delete rows checkbox allows users to delete rows when editing the spreadsheet.

• Can edit row details checkbox allows users to edit the information in each row of the spreadsheet.

Parameters

In the Parameters tab, the user has the ability to create Run Time Parameters for any field available in the

spreadsheet. The Run Time Parameters allow the users to filter the data in the spreadsheet, each time the

spreadsheet is refreshed with a different parameter value. Anyone viewing the spreadsheet will be prompted to

select a parameter value before displaying the spreadsheet. For any spreadsheet that consists of data parameters,

the parameter filters will appear at the top of the spreadsheet screen.

1. To create parameters, click on the myNewParameter field

2. Choose a Manual Entry or Lookup Parameter Type by clicking on the specific radio button

3. Select the Data Type from the dropdown. The data type determines the field subject area from which a field

will be chosen as a parameter.

4. The parameter can be set as a required field by clicking on the Required checkbox.

5. To add or delete a parameter, use the green and red icons above the Parameters section.






48


� Alert: Remember that creating a Parameter also requires its assignment to an existing column or filter in the spreadsheet definition. Similarly, when deleting a parameter, it must first be removed from its assigned column or filter.

Parameters with a Manual Entry Parameter Type could be useful for a Spreadsheet Title, for example. Any time the

spreadsheet is displayed, the user would be prompted to enter a title. If a Manual Entry parameter is created, it

must specify the type of entry to be a String or Number.

Tip: The parameter Name can be changed to a different name; one more apparent to the

users of the report, but there cannot be any spaces in the newly entered Name.

Spreadsheet Categories

The Categories tab allows the user to assign categories to the existing spreadsheet. These spreadsheet categories

assist in the organization of the spreadsheet dictionary and lookups. A company using EcoSys could be utilizing

many spreadsheets within the application; however, the spreadsheets are not usually viewed or updated by the

same person, but instead by various people within different departments. Spreadsheet categories can organize

groups of spreadsheets by department, user, or any other category configured by the administrator.

1. In the Categories tab, click the Assign Category link.

2. Use the Category Search or Category Hierarchy to find a category and select a category value for the

spreadsheet.

3. Once selected, click Assign, then Close.

4. To remove a category, click on the Remove checkbox.


NOTE: SPREADSHEET CATEGORIES MUST HAVE BEEN PREVIOUSLY CREATED IN ORDER TO BE AVAILABLE FOR

ASSIGNMENT IN THIS TAB.





49


REPORTS EcoSys consists of a robust and dynamic reporting engine that allows users to report on various types of data that

exist in the application. Reports show a snapshot of the financial situation at a particular moment in time and are a

powerful tool for analysis as well as for review and maintaining financial control. Reports may be generated in a

table format with many options for field placement, as well as bar and line graphs, ideal for meetings and

presentations.

Managers may choose to report on activities related to Cost Objects, Organizations, and Actual Transactions while

System Administrators can produce reports on how data is being mapped and imported from external systems.

Financial Administrators may use the special Audit reporting capabilities to review lists of activities performed by

different users in EcoSys in order to track approvals and the submitting and publishing of budgets and forecasts.

The above examples represent only a small portion of the reporting functionality that EcoSys offers. Combined

with column and row filters, grouping, and extensive formatting options, any user is capable of producing

attractive reports and graphs in a matter of minutes.

All reports in EcoSys are customizable by the user generating the report:

• User selects the columns for the report

• User may change the names of the columns and column width

• User may group data according to different criteria for clearer presentation

• User may filter the columns and rows to exclude irrelevant data or narrow in on specific data

• User may create calculations within the report or reusable formulas that can be applied to multiple

reports

• User may format the report with fonts, styles, background color, etc...

• User may generate reports with specific sub-reports to provide data from another subject area in the

same report

The reports that can be generated fall into distinct Subject Areas.

NOTE: FOR DETAILED INFORMATION ON THE SUBJECT AREAS AND A LIST OF COLUMN FIELDS FOR EACH, PLEASE

REFER TO THE REPORT COLUMN FIELDS TOPIC.

In addition to creating and customizing individual reports (standalone or with sub-reports), it is also possible to

place reports into groups or batches and then generate these groups of reports simultaneously. Financial Manager

also allows for report specifications to be imported to and/or exported from the application to assist technical

users with reports configuration. The ability to create bar and line graphs is another robust functionality of the

reporting engine providing users with a graphical representation of the data found in EcoSys. Users may also

create comprehensive formulas that are centralized in the system and can be applied in any number of reports.

The formulas support many different types of calculations including logical expressions. Lastly, batch job logs

display logs of batch operations that have been initiated within the system.





50


EDIT REPORTS

Generate Existing Reports and Charts

From Reports Menu

1. Click on Reports in the menu bar and choose a report from the available list that appears in the drop down.

The report will generate automatically.

From Reports Dictionary

1. Although only the most frequently generated reports will be available in the drop down, the user may wish to

run a different report. In this case, click on Reports in the menu bar and choose Edit Reports from the drop

down.

2. Utilize the Report Search, Subject Area, Global vs. User mode, or Report Category Hierarchy to locate the

report to be generated.

• Report Search - Type the name or part of the report name in the search field and click Go, then select a

report from the results list

• Subject Area - Expand the subject area of the report to be generated, then find and select the report

within the subject area tree

• Report Category Hierarchy - If the report to be generated has a category assignment, expand the category

of the report, then find and select the report within that category tree.

• Global vs. User mode- Expand the Global or User tree to find and select the global or user defined report.

3. Click on the report name to view the report detail tabs.

4. Before generating the report, the report specifications may be modified in the tabs. (See the Create New

Reports Based on Existing Reports heading in the Create Reports topic for instructions).

5. If all specifications are satisfactory, click on the Run Report link to generate the report.

Once the report has generated, the user can export the report to a PDF, Excel, CSV, RTF or XML file, and the report

can then be printed.

Create Reports and Charts

1. From the menu bar select Reports, then Edit Reports.

2. Click Edit, then click on Create New.

3. From the Report Type, choose Global or User. Global reports become available to all users who have access

to EcoSys. User reports are only available to the user who creates them

4. Different types of reports with various fields and filters can be configured. Select the Subject Area of the

desired report from the drop down menu. A subject area defines what data objects will appear in the report

rows and how the data objects will relate to the columns. The list of available subject areas is found in the

Report Column Fields topic.

5. Select the Report Format from the dropdown: Tabular or Bar/Line Chart.

6. Enter a name for the report in the Report Name filed. This name is what will be used to identify the report in

EcoSys.

7. Enter a title for the report in the Title field. This title will appear above the report when it is generated.

8. To save the report, click Save. To save this report and create additional reports, click Save and Add More.

The saved report will appear in the navigation tree on the left and can be selected as needed. The details of the

report found within the various tabs will appear to the right.

General Tab

The General tab contains some of the specifications of the report:

• Subject Area





51


• Report Name

• Title

• A Sub-title can be added for the report which would only show up in the generated or printed output


objects and the List will display a flat list of data objects

• A Description for the report can be added in the available Description box

NOTE: IF THE REPORT WILL HAVE GROUPINGS AND FILTERS, CHOOSE LIST FROM LIST MODE DROP DOWN.

HIERARCHY MODE DOES NOT SUPPORT GROUPINGS AND FILTERS

• For some report subject areas, a Default Version can be specified for the report by choosing a value from the

lookup under the Report Context heading. This default version will be utilized for any cost fields if no version is

selected in the column filters.

1. Click on the ellipsis button for the Default Version field.

2. Choose the Global vs. User or Version Type view from the drop-down.

3. Choose a version from the available options within the version tree.


• For Category subject area reports only, the user must choose a data object's Category before running the

report.

1. Click on the ellipsis button for the Category field.

2. Choose a category from the available options.


• For Charts only, a Bar Chart Start and End Period must be selected to define the time periods for the chart

information.

1. Click on the ellipsis button for the Bar Chart Start or End Period field.

2. Choose a minor period from the available options.

Report Columns

In the Columns tab, the user selects which columns or 'fields’ will appear in the report. New columns may be

added to the report, existing columns may be removed, and it is possible to add calculated calculation columns or

constants columns to the report. While the report's subject area defines the detail rows or line items in the report,

the columns are what actually defines the structure, giving the user the ability to group by any specific column or

multiple columns, and filter for specific information on any desired field.

Add a New Column

1. Click the Add New Column icon (green plus sign) and then click the Field ellipsis to choose a column field from

the Popup. Continue until satisfied with all chosen columns.

2. The Caption and Width of report columns may be changed by using the fields provided.

3. Charts also require a Label for the data displayed in the graph. Enter a label for each column to be displayed.

4. Copy or Delete any column from the list by highlighting the column and clicking on the icons (double page for

copy and red X for delete) above the Columns section.

Tip: For a list of the columns available for the different Subject Areas, please see Report

Column Fields.

Add a Calculation Column and Calculation Fields (Tabular Reports Only)

� Alert: Calculations should only be utilized in a report for any report specific information. Any calculation that will be reused in other reports or a more complex calculation or expression





52


should be created in the Edit Formulas screen and then added to reports via the Formula fields grouping.

1. To add a calculation column, first click the Add New Calculation Column icon (formula bracket).

2. Type a Caption for the field and modify the Width, Background Color, and Visible flag if necessary.

Tip: The Visible flag make it possible for the column or calculation column to be set to visible

or invisible (therefore only used in filters or parameters).

3. Choose the Calculation Data Type (Numeric or Date) from the drop-down.

4. Choose a Column Format from the drop-down. The Column Format (Currency, Number, and Percent) specifies

the format of the result of the calculation.

5. Proceed by adding calculated fields for the calculation column. To do this, click on the Add new Calculation

Field to the selected Calculation icon (columns icon).

6. Click on the Field ellipsis to select the field. (Skip this step if the calculation field is a constant)

7. Choose the operator (Add, Subtract By, Subtract From, Multiply, Divide By, Divide From) to be used for the

calculation from the Operator drop down.

8. Choose the Type (Field which is the default type, or Constant) for the calculation field by clicking on a specific

radio button. If Constant is chosen, a constant Value must be entered in the field that appears.

Tip: Changing the Field Name is helpful in keeping the calculation fields in the report

organized.

NOTE: ONCE THE CALCULATION FOR THE CALCULATION COLUMN IS COMPLETE, THE CALCULATION SUMMARY

WILL APPEAR AT THE BOTTOM OF THE TAB. HIGHLIGHT THE CALCULATION COLUMN TO VIEW AND VERIFY THE

CALCULATION SUMMARY.

Add a Constant Column (Tabular Reports Only)

1. To add a Constant Column, click the Add New Constant Column icon (blue plus sign) above the Columns

section.

2. Type a Caption for the field and modify the Width if necessary.

3. Enter the Constant Value in the field provided. This can be an extra heading, name, or note that can be added

to the report as a column.

For information on how to further customize the newly added columns and the remainder of report features,

please see the Modify and Customize Existing Reports topic.

Reports Menu

Reports may be added to or removed from the Reports drop-down in the main menu bar. Only Global reports can

be placed into the Global Menu, while both Global and User reports can be placed in the User Menu.

1. Find and highlight the report name in the left pane

2. Click on the Add to User Menu / Remove or Add to Global Menu / Remove links in the top of the General tab.

The report will be placed in the specific menu for ease of generating the report in the future.

NOTE: ONLY USERS WHO HAVE ACCESS TO CREATE/MODIFY GLOBAL REPORTS MAY PLACE THEM IN THE GLOBAL

MENU. ALL USERS CAN PLACE BOTH GLOBAL AND USER REPORTS INTO THEIR OWN USER MENU.

After the reports have been placed in the Global and/or User Menus, they can be generated by clicking on the

report name directly from the Reports drop down in the main menu bar.





53


Tip: Global reports appear above the User reports in the drop down.

Copy Reports

Copies of existing reports can be created for both the Global and User reports. A User copy of any Global report

can be created by any user, while only users with create/modify rights for Global reports can create Global copies

of their own User reports.

1. Find and highlight the report name in the left pane.

2. Click on Copy to Global or Copy to User links in the top of the General tab.

A copy of the report will appear in the left pane with a number appended at the end of the Report Name. All user

reports will have a "U" in parenthesis at the end of the name.

Create New Reports Based on Existing Reports

A new report can be created based on an existing one by copying the existing report along with all of its defined

specifications.

1. Find and highlight the report in the left pane.

2. Click on the Copy to Global or Copy to User link (depending on user privileges). A copy of the report will

appear in the left pane with a number appended at the end of the Report Name.

3. Click on the copy of the original report in the list in the left pane. The report’s tabs will appear on the right.

4. Change the report name in the General tab and make any necessary column, filter, grouping, sorting or

formatting modifications.

5. When finished, click Save, otherwise click Cancel.

Modify and Customize Existing Reports and Charts

1. Click on Reports in the main menu bar and choose Edit Reports from the drop-down.





54


2. Utilize the Report Search, Subject Area, Global vs. User mode, or Report Category Hierarchy to locate the

report to be modified or customized.

• Report Search - Type the name or part of the report name in the search field and click Go, then select a

report from the results list

• Subject Area - Expand the subject area of the report to be generated, then find and select the report

within the subject area tree

• Report Category Hierarchy - If the report to be generated has a category assignment, expand the

category of that report, then find and select the report within that category tree

• Global vs. User mode - Expand the Global or User tree to find and select the global or user defined

report.

3. Click on the report name to view the report detail tabs.

4. Changes can be made to any of the available tabs: General, Columns, Column Filters, Row Filters, Group, Sort,

Format, Print Settings, Options, Parameters, Categories, Sub-reports. Detailed information about each tab is

provided below.

5. When finished click Save on the top right corner, otherwise click Cancel.

General Information

The following information can be modified or added to the report in the General tab.

• Report Name

• Title

• Sub-title

• Description

• List Mode: Hierarchy will

display a data hierarchy for

the subject area (if

applicable) and the List will

display a flat list of data

objects

• Default Version can be

specified for the report

data (if applicable to the report's subject area).

• A data object's Category must be specified (for Category subject area reports only).

• For Charts only, a Bar Chart Start and End Period must be selected to define the time periods for the chart

information.

NOTE: IF THE TABULAR REPORT WILL HAVE GROUPINGS AND FILTERS, CHOOSE "LIST" FROM THE LIST MODE

DROP DOWN. HIERARCHY MODE DOES NOT SUPPORT GROUPINGS AND ROW FILTERS.

Columns

For information on adding new columns, new constant columns, and/or new calculation columns, please refer to

the Columns heading in the Create Reports topic.

The Columns tab also allows for the organization of the columns to the user’s preference.


2. To change a column heading, highlight the chosen column field and enter a new heading name in the Caption

field.





55


3. To change a field label, highlight the chosen column field and enter a new value in the Label field.

4. For Charts only, the Chart Field Format must be selected as either Bar or Line graph.

5. Select the column field and use the Display Settings as necessary:

• The column width can be modified by entering a new value in the Width field.

• Each column can have a different

background color. Click on the

Background Color box to choose a

color from the color palate that

appears.

• Columns can be hidden from view

in the report by removing the

checkmark from the Visible

checkbox.

• For Bar graphical reports, a Stacked

Bar Palette can be set to one of the

following option by selecting one

from the dropdown: Multi-Color Palette or Selected Color Palette.


a. Hide the column's caption by clicking on the Hide caption checkbox.

b. Set the Decimal Count (0, 1, 2,...) for any numeric column.

c. Show Total for a specific column.

d. Set the Divide Values By (1,10,100, ...100,000,000) for a specific column.

e. Hide Currency Symbol of a specific cost column.

f. Wrap Column Headers and Values to automatically wrap the text that appears in columns whose width

may be too small.

g. Click on the Rollup Hierarchy checkbox to rollup all costs associated with the selected field to the parents

in an existing hierarchy. If the report is in "List Mode", the costs will still show as rollup summaries to each

level in the hierarchy that exists but is

not displayed.

h. The Current Minor Period Values option

only applies to Actual/ Working

Forecast fields and allows the user to

specify whether in the current month

the values represented in the field

should be:

• Actuals

• Forecasts

• Actuals + Forecasts

7. For additional display options, click the

checkbox under Font Style & Color. This will

allow for changing the font size, type and

color as well as the text alignment (left,

center, right) of the data in the specific column.

8. Each cost column field can also have a set currency by selecting on option from the Currency Options:

• Use Enterprise Currency Costs (default) to show all costs regardless of native currency, using the

organizational default.

• Use Cost Object Currency Costs to show all costs in the currency defined for the cost object associated

with the cost.

• Use Column Filter Transaction Currency to show all costs in the currency that is defined for the column in

the Column Filters tab.





56


• Convert Enterprise Currency Costs to Display Currency & Exchange Rate Table will convert the enterprise

currency to the selected currency and calculate based on the selected rate table for that currency.

NOTE: THE CAPTION IS A USER-DEFINED TITLE FOR A FIELD. IF THE FIELD OF THE COLUMN IS CHANGED AFTER

HAVING: CREATED, COPIED AND/OR SAVED THE COLUMN PREVIOUSLY, THE CAPTION WILL NOT ADJUST

AUTOMATICALLY. THE USER WILL NEED TO MODIFY THE CAPTION MANUALLY.

NOTE: IF WORKING IN LIST MODE, AT LEAST ONE COLUMN MUST HAVE THE 'TOTAL' CHECK BOX SELECTED FOR A

GRAND TOTAL TO BE DISPLAYED IN THE REPORT.

Columns Filters

The Columns Filters tab is equipped with column filters for each column field in a report, which can be modified at

any time and catered to the specific data the user wishes to generate.

1. For Charts only, highlight a column and select

the Chart Column Value Filter by clicking on

the radio button for one of the available

options:

• Single Period Values

• Life Total to Period Values (cumulative)

• Life Remaining from Period Values

(reverse cumulative)

2. For Charts only, highlight a column and select

the Chart Column Display Range by clicking on

the radio button and checkbox for one of the

available options:

• Display All Periods

• Display To Date Periods only with option

to Include Current Period

• Display Remaining Periods only with

option to Include Current Period

3. Highlight the column to view the options found under the Column Filter heading. Several additional Column

Filters will become available when a cost field (not attribute, list, formula, or constant field) has been selected.

Depending on the column selected, the filters include:

• Major Period (Tabular Reports only)

• Minor Period (Tabular Reports only)

• Version

• Funding Type

• Cost Account

• Phase

• Chargeback Organization

• Organization

• Resource

• Resource Category Value

• Cost Object

• Cost Object Category Value

• Task Category Value

• Transaction Currency

• Dynamic Category (Category Override)*





57


*This column filter allows for the selection of a different category value than the category value selected for the

column. The will default to 'none', however on selecting the ellipses, a list of available category values for the

field's subject area will be available.

4. For Tabular Reports, there is also a Major Period Filter Type drop-down menu and Offset field which specifies

how the values in the report are related to the selected major period.

• Current Major Period (default)

• Life Totals

• Life to Date - up to (but not including) the current major period

• Life Remaining

• Explicit Major Period - if set as the option, a specific major period must be selected from the Major Period

dropdown.

• Minor Period Range – select minor period range within the major period

• Date Range - allows the selection of a specific date range which may span multiple weeks, months or

years

5. For Tabular Reports, there is also a Minor Period Filter Type drop-down menu and Offset field which specifies

how the values in the report are related to the selected minor period.

• Totals - for minor period

• Period to Date - up to (but not including) the current minor period

• Remaining

• Current Minor Period

• First Minor Period

• Explicit Minor Period - if set as the option, a specific Minor Period must be selected from the Minor Period

dropdown.

• Through Current Phase - up to and including current phase (spanning minor periods)

The Offset field specifies how many periods to offset the major or minor period setting so that the resulting value

for the column displays the correct data for the desired month or fiscal year. For example, the minor period offset

(+1) might be used along with the Current Minor Period filter type. A field with this setting will always display the

values for the month that comes after the current minor period, regardless of when the report is generated.

Tip: Using Offsets is very beneficial when creating reports that are generated every month /

year and need to capture the correct data for major or minor periods without the need to

modify the major or minor period column filters each month or each year.

Row Filters

In the Row Filters tab, each existing column in the

report may be assigned a specific filter based on

the data that is available in EcoSys. The filters

assigned will determine which rows or data

objects will be displayed in the report. For

example, the user may wish to show certain cost

objects in a Cost Object report, based on

categories, names, and forecasts greater than a

specific value. The user may filter on those

particular columns to return a list of cost object

rows that meet the criteria.

1. Select the relevant column from the Columns

section.





58


2. Select a specific Operator from the dropdown. The available operators vary by the type of column field

selected.

Attribute and Category fields:

• Assigned

• Assigned Under (for hierarchy fields only)

• Not Assigned

• Equals

• Not Equals

• Contains

• Does Not Contain



Cost, Number, and Date fields:

• Equals

• >

• <

• Between

• Not Equals

3. In the Value field, enter or find and select the specific value to compare the data to.

4. If using multiple filters, specify the logic to be used (And/Or) by clicking on the appropriate radio button.

NOTE: THE LOGIC ONLY AFFECTS THE COLUMNS THAT HAVE A FILTER SPECIFIED, AND ONLY ONE OF THE LOGIC

OPTIONS CAN BE USED AT A TIME (AND/OR). IF HOWEVER, THE SAME COLUMN FIELD IS FILTERED ON MORE THAN

ONCE, THE ECOSYS REPORTING TOOL WILL AUTOMATICALLY ASSUME THAT THE LOGIC FOR THESE FIELDS IS "OR"

REGARDLESS OF THE LOGIC SPECIFIED WITH THE RADIO BUTTON.

5. To clear the setting, click on the Clear button.


� Alert: For a hierarchy of rows, when a parent data object is filtered out, the children of that parent will automatically be filtered out. If one or more of the child data objects is filtered out, the parent will remain in the report and will continue to display the total roll-up value for the parent cost object's cost rollup fields, regardless of how many children are displayed.

NOTE: AN ASTERISK WILL APPEAR NEXT TO FIELD NAMES THAT HAVE A ROW FILTER ASSIGNED.

Group (Tabular Reports only)

The Group tab allows the user to click the Group By checkbox for any specific column or multiple columns which

will become the grouping sections of the report. If utilizing multiple groupings, the priority is determined by the

order in which the columns appear in the

report.

1. Highlight the column of choice and click on

the checkbox for Group By.

2. Group By text can be formatted to use a

specific font, style, size, and color. Click on

the Font and Color buttons under Group by

Text Format heading.

3. It is also possible to show the object type

name under the Group By Label and to

enter a value label for items that return





59


under a Group By heading with no value name because they don not belong to any existing value. Enter a "no

value label" in the fields provided.


� Alert: If a column is set to be invisible, the column cannot be used for grouping and the user will be prompted to change the setting.

NOTE: AN ASTERISK WILL APPEAR NEXT TO FIELD NAMES THAT HAVE A GROUP BY ASSIGNED.

Sort (Tabular Reports only)

The Sort tab allows the user to further organize the data in the

report by sorting the columns by dates or values, as well as

names by alphabetical order.

1. Highlight the column and click the radio button to sort by

Ascending or Descending order.

2. Organize the sorting priority by using the up and down

arrows.


NOTE: AN ASTERISK WILL APPEAR NEXT TO FIELD NAMES THAT HAVE A SORT ASSIGNED.

Tip: Choosing "None" will remove the sorting from a specific column.

Format (Tabular Reports only)

The Format tab allows the user to choose a font, style, size, and text color for various Text Areas available in the

report and to specify the Alignment of each text area.

The text areas that can be formatted are: Title, Sub-title,

Column Header, Detail Row, Page Header, Page Footer.

1. The Font and Size for each text area can be selected

by clicking on the font button and choosing from the

available fonts in the Popup that appears.

2. The Color for each text area can be selected by

clicking on the ellipsis button and choosing a color

from the palate.

3. The Alignment of the text area can be set to Left,

Center, or Right by clicking on one of the radio

buttons.

NOTE: CLICK ON THE "USE COLUMN BACKGROUND COLOR FOR HEADERS" CHECKBOX NEXT TO COLUMN HEADER

TO KEEP THE HEADER BACKGROUNDS CONSISTENT WITH THE BACKGROUND COLOR THAT MAY HAVE BEEN

SELECTED FOR ANY COLUMNS.





60


Print Settings (Tabular Reports only)

The Print Settings tab allows the user to set up the Page Orientation and Page Format for printed materials or PDF

version of reports.

1. Choose Portrait or Landscape from the Page Orientation

drop-down and select an option from the Page Format

drop-down to align the report. The available page

formats are: Letter, Legal, A1, A2, A3, A4, A5, B4, B5, C5,

Executive, Folio, Tabloid, Tabloid Extra, and Custom. If

selecting a Custom page format, the user will manually

type in the page measurements for the report.

2. The user can also set the top, bottom, left, and right

page Margins for the report.


Options

The Options tab provides some additional options for customizing the report. Click on the specific checkbox or

radio button of choice to apply extra options for the report. Remember to click Save when finished, otherwise click

Cancel.

Page Header and Page Footer (Tabular Reports only)

• Show Current Minor Period

• Show Current Date

• Show User

• Show Page #

• Show Row Filters

• Show Custom Text (If turned on, enter the custom text in the field provided)

Totals and Details (Tabular Reports only)

• Show Grand Totals

• ...On Bottom

• Hide Detail Rows

NOTE: IF WORKING IN LIST MODE, AT LEAST ONE COLUMN MUST HAVE THE 'TOTAL' CHECK BOX SELECTED IN THE

COLUMNS TAB FOR A GRAND TOTAL TO BE DISPLAYED IN THE REPORT.

Field Placement (Tabular Reports only)

• Absolute field placement

• Keep caption with field...

• ...at left

• ...at right

• ...at top

Tip: When using advanced field placement, users may wish not to keep captions with fields

next to each field value, and instead label the fields with Constant Columns.

� Alert: If Absolute field placement is turned on, the user must return to the Columns tab and customize the field placement coordinates. Please refer to the Absolute Field Placement topic for more information.





61


Effective Period Marker (Charts only)

• Show Effective Period Marker

• Line Style: Solid, Dotted, Short Dashes,

Long Dashes, Dot Dashes

• Line Width: 1, 2, etc...

• Marker Color

Current Period Marker (Charts only)

• Show Current Period Marker

• Line Style: Solid, Dotted, Short Dashes,

Long Dashes, Dot Dashes

• Line Width: 1, 2, etc...

• Marker Color

Memory

• Optimize memory usage (recommended if pulling various data from different spreadsheets)

• Cache spreadsheet data (recommended if pulling various data from same spreadsheet)

Parameters

In the Parameters tab, the user has the ability to

create Run Time Parameters for any available

field in the report. The Run Time Parameters

allow the users to filter specific data in the report

without recreating the report numerous times.

Each time the report is generated, it is refreshed

with a different parameter value. Anyone who

runs the report will be prompted to choose a

parameter before previewing the report.

1. To create parameters, click on the

myNewParameter field or click on the green

plus sign icon to add a new parameter.

2. Choose a Manual Entry or Lookup Parameter

Type by clicking on the specific radio button.

3. Select the Data Type from the drop down. The data type determines the subject

area from which a field will be chosen as a parameter.

4. The parameter can be set as a required field by clicking on the Required

checkbox.

5. To add or delete a parameter, use the icons above the Parameters section.


� Alert: Remember that creating a Parameter also requires its assignment to an existing column or filter in the report. Similarly, when deleting a parameter, it must first be removed from its assigned column or filter.

Parameters with a Manual Entry Parameter Type could be useful for a Report Title, for example. Any time the

report is generated, the user would be prompted to enter a title for the report. If a Manual Entry parameter is

created, it must specify the type of entry to be a String or Number.





62


Tip: The parameter Name can be changed to a different name, one more apparent to the

users of the report, but there cannot be any spaces in the newly entered Name.

For detailed information about parameters, please read the Runtime Parameters topic.

NOTE: RUN TIME PARAMETERS ARE ALSO REQUIRED WHEN GENERATING SUB-REPORTS. FOR MORE

INFORMATION, PLEASE REFER TO THE GENERATE SUB-REPORTS TOPIC OR READ ABOUT THE SUB-REPORTS TAB

BELOW.



EcoSys EPC

CCTA

User Procedures Reference Guide

Created by: Albert Gomez

EcoSys Senior Consultant

February 11, 2014

APPENDIX 8.3 - EcoSys EPC USER PROCEDURES GUIDE


EcoSys EPC – User Procedures Guide


2


TABLE OF CONTENTS Getting Started ................................................................................................................................... 4

LOGGING IN.................................................................................................................................... 4

MAIN SCREEN NAVIGATION ............................................................................................................. 5

Menu Bar ..................................................................................................................................... 5

Tool Box ...................................................................................................................................... 5

SPREADSHEET NAVIGATION ............................................................................................................ 6

Sheet Dropdown .......................................................................................................................... 6

Edit Dropdown ............................................................................................................................. 6

Display Dropdown ........................................................................................................................ 7

Rows Dropdown ........................................................................................................................... 7

Edit Cells using Right-Click ............................................................................................................ 8

Pagination ................................................................................................................................... 8

Parameters .................................................................................................................................. 9

Key EcoSys Terms - General ........................................................................................................... 10

Project Financials .............................................................................................................................. 11

Main DASHBOARD ......................................................................................................................... 11

Navigating the Main Dashboard ................................................................................................... 12

Project Financial Screen ................................................................................................................. 20

Navigating the Project Financials Tab .......................................................................................... 21

Navigating the PDM Funding Assignment Tab .............................................................................. 24





3


Objectives

This guide is part of the main reference material for Contra Costa Transportation Authority (CCTA)

support staff and/or system users on how to navigate and procedures to use configured features within

the EcoSys EPC application.

EcoSys EPC is a web-based software application which has been configured for CCTA to support project-

level cost management and performance reporting using CCTA data structures.

The purpose of the Procedures Guide is to provide the information necessary for the users to effectively

use the EcoSys EPC system in supporting the project financial forecasting and reporting processes.





4


GETTING STARTED

LOGGING IN

1. EcoSys is a Web-based application. To access the

application, launch a Web browser.

2. Enter URL where EcoSys application is hosted.

3. Enter a valid Username and Password

4. Click Log In

5. Log In will take the user to the Home page of the

EcoSys application (menus and dashboards may look

different depending on the user's role settings and

access privileges).





5


MAIN SCREEN NAVIGATION

Menu Bar

The primary navigation tool in EcoSys is the Main Menu Bar at the top of the screen. User can access all

of the screens in EcoSys depending on the user’s access privileges.

Tool Box

User Name of the user logged in to the application

Current

Period

The minor period or month which is the current

reporting period (any minor periods prior to the current

period have been closed out).

Home Icon The user may always return to the Home page by clicking on this icon

Session

Filter Icon

Opens a separate window that allows user to filter Projects, Organization, or

Versions.

User

Settings Opens a separate window that allows user to setup user’s profile settings.

System

Information

Icon

The user may view the System Information for EcoSys by clicking on this. When

calling technical support, the user can quickly determine which version of the

software they are using and provide the support representative system

configuration information that is found on this screen.

Help Icon Opens a separate Help System window which consists of information about the

particular screen in EcoSys, useful information about EcoSys, and a glossary

Logout Icon The user may logout of the application by clicking on this arrow icon. EcoSys will

also automatically log out following a session timeout which is established during

the system configuration to ensure security.





6


SPREADSHEET NAVIGATION

Spreadsheets visually resemble what’s seen in MS Excel. Spreadsheets are leveraged within every cost

control process in EPC. Navigating the spreadsheet is fundamental to using EPC.

A configurable spreadsheet is a global or user-defined screen that resembles and consists of the general

functionality of a spreadsheet, but also provides many update and view options for the EcoSys EPC user.

After a spreadsheet has been configured, the screen may be utilized to update vital financial information

using a customized view or generate and print a report directly from the spreadsheet data.

The following section describes the EcoSys spreadsheet general navigation and functions that will help

you navigate and query spreadsheets.

Sh

ee

t D

rop

do

wn

The Sheet dropdown consists of four options for the spreadsheet’s editor:

1. Click Save to save all updates to the spreadsheet cells.

2. Select Refresh to reload the entire spreadsheet after selecting any parameters or making changes to the data.

3. Select Report to display the spreadsheet as a report. From here you can use the Export to function (top right of the report screen)

to download the spreadsheet as an Excel file.

(The generated report can be exported to Excel, PDF, CSV, RTL, or

XML format).

4. Select Export to Excel to create an Excel spreadsheet of the current spreadsheet.

5. Select Export to Text to export the spreadsheet directly to a Text file.

Ed

it D

rop

do

wn

The Edit dropdown consists of the following options for the

spreadsheet’s editor:


2. Select Copy to External or Paste from External to copy or paste

cell values between EcoSys and an external application, such as Word, Notepad, or Excel.

3. Select Fill Down, Fill Up, Fill Right, or Fill Left to auto-populate the cells beneath, above, and to the right or left of the selected cell

with the same value.

4. Select Clear Values to remove any data from a particular cell.





7


Dis

pla

y D

rop

do

wn

The Display dropdown has a Show Filter option which allows the user to enter filter values for any of the columns displayed in the spreadsheet.

1. Select Show Filter from the Display dropdown. Filter fields will be displayed in the top row of the

spreadsheet.

2. Enter a value or part of a value for one or more columns in the fields provided to restrict the rows of data

displayed. The spreadsheet rows displayed will automatically update according to the criteria entered in the cells.

3. Deselect Show Filter from the Display dropdown to remove the filter and return to the

complete list of line items.

4. Once you have finished using the Filter then remove any filter criteria so

that all records are once again available.

5. Additionally spreadsheets can be zoomed in and out and reset by using

the view controls on the top right of the spreadsheet. Use “-” to zoom out, use “+” to zoom in, and the “o” rests the zoom level back to the default setting.

Ro

ws

Dro

pd

ow

n

The Rows dropdown consists of a number of options applicable to the rows in the spreadsheet.

1. Select Edit Row Details to edit the entire line item in a separate Popup. Depending on the data type, this option will

allow for changes to different fields in the same window, such as details of a transaction or cost object.

2. Select Duplicate to create an exact copy of the selected row

with all fields completed with the same information.


4. Select Insert Multiple to insert multiple rows of data within a particular line item.

5. Select Insert Under to add an additional line item under the selected group or hierarchy

level.

6. Select Split to divide the row into two rows, evenly splitting any costs and units associated

with the original line item. Both rows would retain the original row’s categories and attributes.

7. Select Delete to remove an entire row from the spreadsheet. Click OK to confirm the

deletion.





8


Ed

it C

ell

s u

sin

g R

igh

t-C

lick

After selecting a particular spreadsheet cell, the users can right-click the mouse to perform the

following actions:


2. Select Edit Row Details to edit the entire line item in a

separate Popup. Depending on the type of data being edited, this option will allow for changes to different data fields in

the same window, such as details of a transaction or cost object.


4. Select Insert Under to add an additional line item under the selected group or hierarchy level.

5. Select Delete to remove an entire row from the spreadsheet. Click OK to confirm the deletion.

6. Select Clear Values to remove any data from the selected cell.

7. Highlight a range of cells, and then select Fill Down or Fill

Right to auto-populate the cells beneath or to the right of the selected cell with the same value.

Pa

gin

ati

on

Each spreadsheet is limited to a maximum number of rows that have been configured by the

System Administrator. This setting could be a very high number, such as thousands of records, making it unpractical to view this many items on one page. The user is able to control how many

rows or records they wish to view on each page by modifying the settings at the bottom of each

spreadsheet.

� Warning: The more rows displayed, the longer it will take the system to populate screen.

1. Select the Show All checkbox to see all available rows in the spreadsheet on one page.

2. Enter a specific number in the Page Size field to establish the maximum number of rows to be

displayed on each page.

3. If the spreadsheet rows span multiple pages, click First, Prev, Next, or Last to navigate

between the pages and see the desired records.

� Note: Each page indicates which records are currently showing in the spreadsheet, for example: Records 1-20 of 23 or Records 3-23 of 23. Use the scroll bars to move up and down or across the rows.





9


P

ara

me

ters

Once the spreadsheet is displayed, the user has the option to filter data records from any existing parameter to narrow in on the applicable data. Samples of configured parameters are:

• Project:

• PDM:

• Program:

• Fund Source:

Click on the parameter link found in the green area of the screen, and make the appropriate

selection.

Click Refresh to reload the data.

In addition to the configured groupings, a spreadsheet is usually organized in a way that is most suitable

for the required updates. Each column and row that is read-only will have a gray background, and the

cells will not be editable. Any other cell can be edited by typing directly into the field or clicking on the

link to find and select the applicable value for the specific item. In this way, the user is able to change or

add a category on a transaction. The possibilities are only limited to the rules placed upon by the

spreadsheet’s functional requirements.





10


KEY ECOSYS TERMS - GENERAL

• SPREADSHEET - A configurable grid view in EcoSys with a similar look and feel to an Excel

spreadsheet. EcoSys spreadsheets provide standardized views using an organization’s

business rules and terminology.

• COST OBJECT - A Cost Object is the generic EcoSys term for a Project, an element within a

Project’s hierarchical Cost/Work Breakdown Structure, or a non-project element used to

capture proposed, budgeted and actual costs such as a work package, proposed project, or

department level cost center. For the CCTA environment, Cost Objects represent Programs,

Projects, and Phases.

• VERSION - A version is a saved snapshot of cost data, whether revenue, cost, allocations,

actuals, or what-if scenarios. Versions can be global or user defined and specific only to that

user. EcoSys allows versions to be compared and reported against each other in many

different ways.

• MAJOR PERIOD - The time period utilized in EcoSys when selecting a date range for

spreadsheets and reports. For CCTA, a major period is a fiscal year.

• MINOR PERIOD - Sub-time periods within a major period used for planning, reporting, and

closeout purposes. For CCTA, Minor Periods are calendar months.

• ACTIONS - Automated processes that incorporate business rules, i.e. Copy Cost Data

between Versions or Create Transaction Records.

• TRANSACTIONS – Transactions represent the lowest level of cost data stored within the

EcoSys system.

• TRANSACTION CATEGORIES – Transaction Categories are codes that can be assigned to

transactions for classification and aggregation.





11


PROJECT FINANCIALS

MAIN DASHBOARD

The Main Dashboard is a configured Screen Layout. Screen Layouts allow for the ability to use multiple

EcoSys EPC elements such as Spreadsheets, Forms, Reports, as well as external links, and present them

together in an integrated manner.

The Main Screen has been configured to allow users to view and drill down project relevant information

and presented in different tabs. This screen will display automatically after login in to EcoSys.

To display Main Screen from any other screen, click the Home Icon in the Tool Box.





12


Navigating the Main Dashboard

The Main Dashboard includes 2 panels that allow users to easily drilldown on a desire program and/or

project. Panel 1 is located in the top part of the screen and it allows users to select program and/or

project. Panel 2 is located in the lower section of the screen and will display general and financial

information from Program/Project selected in Panel 1.

Panel 1 groups project by program and acts as a project index table. Within each program you will find

projects that have been assigned to that specific group. To view projects within a program, click on the

plus (+) sign to expand list of projects under that program.

Information contain in Panel 1 includes Program ID, Program Name, Project ID, Project Name,

Program/Project Status, and PDM assigned to that project.

� Note: Each column can be filtered to facilitate project search. Please refer to Display Dropdown in page 8 for more details.

To start, select a project within a program. You can click any place within the row. Project information

will be displayed in the lower panel.

Panel 1

Panel 2





13


To facilitate reviewing of project data, panel 2 is configured to display financial information in separate

tabs for selected project. Each Tab allows user to review defined data and/or select links to other

elements within the application.

Project Overview Tab

This tab provides project’s description and allows users to upload/review project related documents. Left

window provides ID, Name, Description, PDM assigned, and status of Original Estimate for selected

project. The right window, allows users to upload and view documents associated to selected project.

There is no limit in the number of documents that can be uploaded. Document ID and Description allow

users to enter unique identifiers for each uploaded document for future reference.

To open an existing document:

1. Click on the blue link. Document will appear in the format it was uploaded.





14


To upload a document:

1. Select a Row at the desire level.

2. From the Rows menu, select Insert.

3. Enter Document ID and Description.

4. Select the Save link or click the check symbol

on the top right corner to store created row.

5. Hover mouse over Document cell and click on

document icon.

6. Click on Upload.

7. Browse for document to upload.

8. Click OK.

9. Click Save.

10. Select the Save link to store uploaded

document.

Project Plan Tab

This screen provides submitted project’s phases baseline estimates, schedules and source of estimate for

each phase.





15


Project Snap Shot Tab

This screen provides a summary of project’s general financial information at phase level and links to

charts and detail Project Financial Screen.

General Financial information includes:

• Baseline Cost Estimate – latest submitted cost estimate,

• Fund Budget – Life to date funding allocated to phase,

• Executed Agreements – Current agreements captured in Logos,

• Planned FAs – Potential contractual agreements identified as Future Agreements

• Actuals – Expense records imported from Logos against agreements and summarized to phase

level.

• % Spent – Percent expended from Executed Agreements.

Links area provides graphical screens of schedule and financial data captured in EPC for project selected.

To open, click on the blue text. A new window will appear displaying graphic. Graphics include:

Gantt Chart – This chart captures submitted start and end date for each phase of the project.





16


Financial Chart – This chart captures Life-To-Date Actuals by month and remaining projected

expenditures (ETC) of the project. Logos actuals is captured by green line and ETC by blue line.

Current FY Actuals vs. ETC Variance – This chart captures Life-To-Date Actuals by fiscal year against

submitted ETC by fiscal year. For current fiscal year, variance represents total Actuals submitted to last

month closed period of current fiscal year against total ETC submitted for the current fiscal year.





17


� Due to complexity of financial data captured in Project Financial Screen, a full sections is dedicated to illustrate procedures to navigate between different screens. (Refer to page 19)

Status Reports Tab

This tab provides links to specific financial reports. The current configuration includes two reports. The

first one is the Project Financial Status, an EPC standard report and the Project Plan Summary Report, an

Excel report. It is call an Excel report because data is sent to an excel template that includes an advance

format to present data.

The Project Financial Status is a snap shot of project Baseline Estimate, Funded Budget, Agreements,

Actuals and percent spent at the Phase level.

To open, click on link Project Financial Status, EPC will open a new window or tab depending on your

Internet Explorer settings displaying the report.

If you would like to export report to a format that can be printed:

1. Click Export on the right top corner,

2. Click arrow down and select export format,

3. Click Go,

4. Report will be displayed in format selected.





18


The second report is the Project Plan Summary Report.

This report has been configured to capture all relevant data from EPC and sent to a preconfigured Excel

template. The report template will automatically consolidate data and will present in the format requested

by CCTA.

To open, click link Project Plan Summary Report,

Project will be presented as raw data ready to export to excel.

On the right top corner, click on button Run in Excel,

A new window will allow you to Open or Save report on your computer. Click Open,

Excel will open and present report for selected project.





19






20


PROJECT FINANCIAL SCREEN

The Project Financial Screen is a configured Screen Layout. Screen Layouts allow for the ability to use

multiple EcoSys EPC elements such as Spreadsheets, Forms, Reports, as well as external links, and

present them together in an integrated manner.

The Project Financial Screen has been configured to allow users to view and drill down project relevant

financial information. As user selects links (text in blue) in the top panel, information will be presented in

more detail in the lower panel.

To display the Project Financial Screen, click the link in the Project Snap Shot tab.

� The Project Financial screens is set to open financial data for selected project in Main Dashboard.

This screen includes two tabs: the Project Financials and the PDM Funding Agreement. Each will be

illustrated in more detail in this section.





21


Navigating the Project Financials Tab

The project financial tab allows users to view summarized and detailed project, phase, and agreement

financial data captured in EPC. Users can view Project and Phase Baseline Estimate; Agreement’s data

including: Agreement ID, Amount of Agreement, Agreement expenditures to date, ETC by year, and EAC.

Base Estimate Column

The Baseline Estimate column, as described in previous section, comes from submitted Estimated

Baseline Cost at Phase level. The estimate is capture under its own column and does not have any

relation to any other columns in the row.

Agreement ID and Budget Columns

All remaining columns are related to Agreement displayed within the same row. The Budget column is the

total amount allocated to that agreement. By clicking an agreement under Agreement ID column, the

system will display a screen on the lower panel that shows detail information of contract line items

captured in EPC.

In this sample, by clicking on agreement CT354, the system displays all agreement attributes associated

to contract CT354 under Phase 3-PSE for Project 5005.





22


Displayed information includes:

• Line Item(s) assigned in the contract,

• Funding Source(s) assigned to cover expenses against agreement,

• Amount(s) allocated from Funding Source,

• Agreement Type(s), it identifies if the line item attributes are part of an original contract amount,

an amendment, and/or a Future Agreement.

• Start Date(s) and End Date(s) of that specific contract Line Item,

• The WBS ID of Project and Phase that line item has been assigned to,

• Any uploaded documents related to Line Item, and

• Vendor Name

These attributes are set to read only and are entered and maintained by authorized security users.

AN AGREEMENT COULD HAVE MULTIPLE LINE ITEMS ASSOCIATED TO MULTIPLE PROJECTS AND PHASES. SYSTEM IS

CONFIGURED TO DISPLAY ONLY THE LINE ITEM(S) ASSOCIATED TO SELECTED AGREEMENT UNDER THE PROJECT AND PHASE

ASSIGNED.

Actuals-To-Date Column

This column shows total amount of expenditures against selected row Agreement. All transactional

records identified as Actuals are imported as finance department closes the month from CCTA’s financial

system Logos.

Click amount under Actuals-To-Date column for a desire row Agreement. EPC displays a screen in the

lower panel that shows: Fund Source assigned to cover expenses, total amount of actuals by fiscal year,

and Life-To-Date Actuals.

� The amount selected must have a related Agreement displayed in the row. By clicking amount at Phase level, system will display an error message.





23


To drilldown to a month detail in regards to expense records from a desired fiscal year, click on the

amount under Fiscal Year. EPC will display total expenses by month for selected fiscal year.

For detail information of expense records captured for selected month, click amount under desire month.

EPC will display all expense records imported from Logos only for month selected. As reference, all

imported data fields from Logos are displayed.

All fields in all Actuals screen drilldowns are read only.

ETC Columns

The ETC columns show submitted annual projected cost of contract for the remaining life of the contract.

To update a fiscal year ETC:

1. Click the amount under ETC Fiscal Year against a desire agreement, the system will display a new

window in the lower panel.

2. Selected fiscal year will be displayed with projected cost by month.





24


To update monthly ETC:

1. Click on desire month to update,

2. Enter new amount

3. Click the check mark on the right side of the panel to save.

The EAC variance will allow users to identify if amounts entered by month exceed or are lower than total

cost of agreement.

EAC Column

This column is a calculated field that takes Actuals to date plus remaining ETC.

Navigating the PDM Funding Assignment Tab

This screen has been configured to allow users to project funding allocation against Estimate To

Complete at Phase level.

Click a Phase on the top panel, the system will display a screen in the lower panel that will allow users to

view and update projected funding assignments.

In this sample, by clicking Phase 8-Construction Services in the upper panel, the lower panel displays line

items that identify Fund Source(s) and projections submitted against estimate to complete at Phase level.

• The “Fund Source” column list Fund Source(s) assigned to cover the cost of the project.

• The “Programmed Funding” column identifies the total amount allocated from assigned fund

source.

• The “Expended To Date” column captures total expenditures to date against fund source.





25


• The “Fund Balance” column is a calculated field that allows users to identified balance between

total programmed minus expended to date.

• The “FY## Funding” columns allow users to enter projected funding for each fiscal year.

• The “Remaining Funds” column, allows users to identify residual amounts to assign.

In addition to been able to see ETC at Phase level, top panel screen has been configured to allow users

to see detail information in regards to what agreements are included in each Phase.

Click on the plus sign on left site of the screen.

Top screen will expend to allow users to see all agreements under each Phase.




APPENDIX 9 QUARTERLY PROJECT REVIEW Sample Compass Report

Instructions for Completing the ETC

QPSR Template

EcoSys Sample Reports

Sample Project Control Plan, Detail Report

Sample Project Control Plan, Summary Report

Sample Project Funding Plan Summary Report

Sample Project Financial Plan Detail

Sample Project Financial Plan Detail Excel Report

Sample Project Main Screen

Sample Update Estimate to Complete

Sample Assign Funding by Year


Project Agreement Baselilne Start Date

Baseline End Date Baseline Estimate Contract Amount Prior FYs

Expended-to-DateCurrent FY14

Expended-to-DateTotal Expended-To-

Date ETC FY 2014 ETC FY 2015 ETC FY 2016 ETC FY 2017 ETC FY 2018+ ETC Total EAC Contract Variance

64,223,094 56,580,000 1,025,966 1,617,952 2,643,918 4,152,240 8,526,842 24,534,610 24,365,484 0 61,579,176 64,223,094 -7,643,0940 - Project Management 08/10/2012 06/22/2015 310,000 310,000 91,684 53,587 145,270 34,431 130,298 0 0 164,730 310,000 0

CT349 0 225,324 65,437 29,479 94,916 19,431 110,977 0 0 0 130,408 225,324 0NC - CCTA Staff 0 84,676 26,246 24,108 50,355 15,000 19,321 0 0 0 34,321 84,676 0

2 - Environmental Documentation 800,000 800,000 0 0 0 0 800,000 0 0 0 800,000 800,000 0FA5005 - Environmental 0 800,000 0 0 0 0 800,000 0 0 0 800,000 800,000 0

3 - PSE 07/18/2012 06/22/2015 3,728,000 3,728,000 934,283 1,526,034 2,460,316 551,140 716,544 0 0 0 1,267,684 3,728,000 0CT354 0 3,728,000 934,283 1,526,034 2,460,316 551,140 716,544 0 0 0 1,267,684 3,728,000 0

4 - ROW Capital 01/01/2014 06/30/2015 200,000 200,000 0 0 0 0 200,000 0 0 0 200,000 200,000 0FA5005 - ROWC 0 200,000 0 0 0 0 200,000 0 0 0 200,000 200,000 0

5 - ROW Services 01/01/2014 01/01/2014 100,000 100,000 0 0 0 0 100,000 0 0 0 100,000 100,000 0FA5005 - Right of Way Services 0 100,000 0 0 0 0 100,000 0 0 0 100,000 100,000 0

6 - Utilities 01/01/2013 06/30/2015 10,185,000 10,185,000 0 38,331 38,331 3,566,669 6,580,000 0 0 0 10,146,669 10,185,000 0CT369 0 3,530,000 0 38,331 38,331 3,491,669 0 0 0 0 3,491,669 3,530,000 0FA5005 - Kinder Morgan Construction 0 4,650,000 0 0 0 0 4,650,000 0 0 0 4,650,000 4,650,000 0FA5005 - Misc Utility 0 1,005,000 0 0 0 0 1,005,000 0 0 0 1,005,000 1,005,000 0FA5005 - PG&E Construction 0 925,000 0 0 0 0 925,000 0 0 0 925,000 925,000 0FA5005 - PG&E Design 0 75,000 0 0 0 75,000 0 0 0 0 75,000 75,000 0

7 - Construction 06/01/2015 06/01/2017 42,517,484 37,757,000 0 0 0 0 0 21,302,000 21,215,484 0 42,517,484 42,517,484 -4,760,484FA5005 - Construction 0 36,455,000 0 0 0 0 0 20,000,000 21,215,484 0 41,215,484 41,215,484 -4,760,484FA5005 - Construction CCWD Appurtenance 0 1,302,000 0 0 0 0 0 1,302,000 0 0 1,302,000 1,302,000 0

8 - Construction Services 01/01/2015 06/01/2017 6,382,610 3,500,000 0 0 0 0 0 3,232,610 3,150,000 0 6,382,610 6,382,610 -2,882,610FA5005 - CM Services 0 3,500,000 0 0 0 0 0 3,000,000 3,000,000 0 6,000,000 6,000,000 -2,500,000FA5005 - Design Service During Construct 0 0 0 0 0 0 0 232,610 150,000 0 382,610 382,610 -382,610

Project: 5005 Balfour Road Interchange Ph 1

COMPASS REPORT

5005 - Balfour Road Interchange, Ph. 1

CONTRACT COST DATA

Data Last Updated March 31, 2014 6/25/2014

APPENDIX 9.1 - SAMPLE COMPASS REPORT


Project / Phase Fund Source Programmed Budget

Expended To Date Funding Balance FY14 Funding FY15 Funding FY16 Funding FY17 Funding FY18+ Funding Total ETC EAC

Programmed Variance

(Budget-EAC)56580000 2,643,918 53,936,082 4,152,240 8,526,843 24,534,610 24,365,484 0 61,579,177 64,223,095 -7,643,095

310000 145,270 164,730 34,431 130,299 0 0 0 164,730 310,000 0ECCRFFA 228600 145,270 83,329 34,431 48,899 0 0 0 83,330 228,600 0MSJ 81400 0 81,400 0 81,400 0 0 0 81,400 81,400 0

800000 0 800,000 0 800,000 0 0 0 800,000 800,000 0MSJ 800000 0 800,000 0 800,000 0 0 0 800,000 800,000 0

3728000 2,460,316 1,267,683 551,140 716,544 0 0 0 1,267,684 3,728,000 0CCWD 278000 0 278,000 139,000 139,000 0 0 0 278,000 278,000 0ECCRFFA 3349000 2,460,316 888,684 412,140 476,544 0 0 0 888,684 3,349,000 0MSJ 101000 0 101,000 0 101,000 0 0 0 101,000 101,000 0

200000 0 200,000 0 200,000 0 0 0 200,000 200,000 0MSJ 200000 0 200,000 0 200,000 0 0 0 200,000 200,000 0

100000 0 100,000 0 100,000 0 0 0 100,000 100,000 0MSJ 100000 0 100,000 0 100,000 0 0 0 100,000 100,000 0

10185000 38,331 10,146,669 3,566,669 6,580,000 0 0 0 10,146,669 10,185,000 0ECCRFFA 4422400 38,331 4,384,068 3,491,669 892,400 0 0 0 4,384,069 4,422,400 0MSJ 5762600 0 5,762,600 75,000 5,687,600 0 0 0 5,762,600 5,762,600 0

37757000 0 37,757,000 0 0 21,302,000 21,215,484 0 42,517,484 42,517,484 -4,760,484CCWD 1302000 0 1,302,000 0 0 1,302,000 0 0 1,302,000 1,302,000 0DEFICIT 0 0 0 0 0 0 4,760,484 0 4,760,484 4,760,484 -4,760,484ECCRFFA 9000000 0 9,000,000 0 0 4,500,000 4,500,000 0 9,000,000 9,000,000 0MSJ 27455000 0 27,455,000 0 0 15,500,000 11,955,000 0 27,455,000 27,455,000 0

3500000 0 3,500,000 0 0 3,232,610 3,150,000 0 6,382,610 6,382,610 -2,882,610DEFICIT 0 0 0 0 0 232,610 2,650,000 0 2,882,610 2,882,610 -2,882,610MSJ 3500000 0 3,500,000 0 0 3,000,000 500,000 0 3,500,000 3,500,000 0

Source Funding Roll-up Fund Source Programmed Budget

Expended To Date Funding Balance FY 14 ETC FY 15 ETC FY 16 ETC FY 17 ETC FY 18+ ETC ETC Total Total Source

Funding EAC

Programmed Variance

(Budget-EAC)TOTAL 56,580,000 2,643,918 53,936,082 4,152,240 8,526,843 24,534,610 24,365,484 0 61,579,177 64,223,095 -7,643,095

CCWD 1,580,000 0 1,580,000 139,000 139,000 1,302,000 0 0 1,580,000 1,580,000 0ECCRFFA 17,000,000 2,643,918 14,356,082 3,938,240 1,417,842 4,500,000 4,500,000 0 14,356,082 17,000,000 0MSJ 38,000,000 0 38,000,000 75,000 6,970,000 18,500,000 12,455,000 0 38,000,000 38,000,000 0DEFICIT 0 0 0 0 0 232,610 7,410,484 0 7,643,094 7,643,094 -7,643,094

3 - PSE

COMPASS REPORT

Project: 5005 Balfour Road Interchange Ph 1

5005 - Balfour Road Interchange, Ph. 10 - Project Management

2 - Environmental Documentation

SOURCE FUNDING

4 - ROW Capital

5 - ROW Services

6 - Utilities

7 - Construction

8 - Construction Services

Data Last Updated March 31, 2014 6/25/2014

APPENDIX 9.1 - SAMPLE COMPASS REPORT


SAMPLE – UPDATE ESTIMATE TO COMPLETE

NOTES:

EAC Variance – This is the difference between the Budget and FY Estimates. It quickly shows how much budget is left to enter in your estimates. It will show negative if the estimate exceeds the budget.

FA – Indicates a future agreement that has not been executed in Logos. It allows you to enter ETC against future agreements.

Step 1 – Expand all Phases by selecting

the + sign next to the project.

Step 2 – Select the FY ETC to update.

This number is calculated and expands

the lower section which is where the ETC

amounts are entered – spread by month.

Step 3 – Enter the ETC amount by

month. (Hint ‐ You may select multiple

cells using shift + click, right‐click and

copy right. This means you can enter

one month’s amount, select all the rest

of the months and copy to the right.)

Step 4 – Save your entry by selecting the

save icon or save button

Step 5 – Return to Upper Section and

select the Refresh Icon or select the

Refresh button to reflect your

update.

Repeat steps 1‐5 to continue to enter

more ETC ‘s.

Step 6 – When finished select the PDM

Funding Assignment tab to forecast Fund

Sources by year.

Step 1

Step 2

Step 3 Step 4

Step 5

Step 6

APPENDIX 9.2 - INSTRUCTIONS FOR COMPLETING ETC


Quarterly Project Status Report 2015 Q1 CTP Region: West County | Central County | East County | Lamorinda | Tri-Valley Project: I-680 / State Route 4 Interchange Improvements – SR 4 Widening (Phase 3) Phase: Final Design Type: Freeway

Map of Project:

Schedule Summary

Milestone Actual[ Forecast ]

Start of Project 1999 Project Study Report Approval 2001 PA/ED Approval 2009 Design Approval – ROW Certified [2016] Construction Notice to Proceed [2016] Project Complete [2018]

Baseline Estimate Summary ($ 000’s) Cost Item AmountProject Management $ 540Project Study Report $ 582Project Report and Env Document $ 2,775Final Design $ 6,020ROW/Utilities Capital $ 300ROW Support $ 200Construction Support $ 7,601Construction Capital $ 46,276

Total $ 64,294

Total $ 57,620

Funding Summary ($ 000’s) Funding Source AmountFederal - CMAQ $State – STIP/RIP $ 17,210State - CMIA $State- IIP $Measure C $ 17,211Measure J $ 3,800

Project Scope Summary:

The Project will widen SR 4 in the median to provide a third general purpose lane and shoulder in each direction from Morello Avenue to SR 242, a distance of about 4 miles. The improvements would add capacity in both directions on SR 4 including within the I-680/ SR 4 Interchange. Work includes widening of bridges within project limits.

Project Benefit: The primary eastbound operational benefit of the Project is to

substantially improve travel time for HOVs; by extending the HOV lane and allowing them to bypass much of the eastbound queue.

The primary westbound operational effect of the Project is to shift the bottleneck that currently exists between SR 242 and Solano Way to the west, and to shorten the queue caused by that bottleneck.

Through the I-680/SR 4 interchange area, the primary effect of the Project is to improve safety by providing an additional lane to accommodate weaving maneuvers.

Project Status and Continuing Activities:

The Grayson Creek Bridge cannot be widened and will have to be replaced costing roughly $10 million and could add 18-24 months to the project schedule.

Caltrans will be providing R/W Support & Capital Services.

Project Issues/Areas of Concern: The scope of the project has expanded with a commensurate

increase in costs. The project team is assessing options to achieve a minimum project that provides transportation benefits.

Design coordination with the existing Public Storage facility continues, but impacts to the facility are still to be determined and relocation or damages may result in increased cost to the project.

Caltrans is requesting that the structures at both Pacheco Blvd and I-680 overcrossings be widened in the eastbound direction, to achieve standard shoulder width.

APPENDIX 9.3 - QPSR TEMPLATE


SAMPLE ‐ PROJECT CONTROL PLAN, DETAIL REPORT

APPENDIX 9.4 - EcoSys SAMPLE REPORTS


SAMPLE – PROJECT CONTROL PLAN, SUMMARY REPORT



SAMPLE ‐ FUNDING PLAN SUMMARY REPORT



SAMPLE – PROJECT FINANCIAL PLAN DETAIL REPORT



SAMPLE – PROJECT FINANCIAL PLAN DETAIL – EXCEL REPORT



SAMPLE ‐ PROJECT MAIN SCREEN

NOTES:

When you first login to EcoSys the CCTA Project Main Screen will appear.

There are two distinct sections on the screen, an UPPDER and LOWER area. Selecting a project in the UPPER area will then open that project information in the LOWER area.

See text boxes at right for the steps you need to proceed.

Areas to select will be circled in red and step numbers will appear in boxes.

Step 1 – Open the program group by

expanding the + sign next to the

program.

Step 2 – Select your project (5005) which

opens the lower screen depicting the

project phases (1‐8).

Step 3 – Select the Project Snap Shot tab.

Step 4 – Select Project Financial Screen

link.

Please note other tabs for

‐ Project Overview

‐ Project Plan

‐ Status Reports.

Step 1

Step 2

Step 3

Step 4

Step #



SAMPLE – ASSIGN FUNDING BY YEAR

NOTES:

Funds are programmed by the Fund Manager.

Funding Balance is the difference between Programmed Funding and Expended to Date.

Step 1 – Expand all Phases by selecting

the + sign next to the project.

Step 2 – Select the Phase (PSE) which

opens Programmed Funding by Fund

Source at the bottom. (Funds are

forecast by phase, not by contract.

Contract information appears for

reference only.)

Step 3 ‐ Check the Funding Balance

Step 4 – Spread the Funding Balance

across the FY cells.

Note – Negative Remaining Funds will

not be displayed under Remaining Funds.

If the forecast is greater than the

programmed amount, Remaining Funds

will appear blank.

Step 5 ‐ Save your changes.

Step 6 – Refresh the upper screen

information.

Step 1

Step 2

Step 3 Step 4

Step 5

Step 6




APPENDIX 10 NOT USED


Project Management and Controls Guide

Documents

Transcript of Project Management and Controls Guide