CAPITAL OUTLAY SUPPORT TRACKING REPORT FISCAL...

CAPITAL OUTLAY SUPPORT TRACKING REPORT

FISCAL YEAR (FY) 2012/13

INSTRUCTIONS

Questions regarding Cost Report instructions may be directed to: Susan Powell

Telephone: (916) 654-6081

FY 12/13 COST Report Instructions

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OVERALL PREPARATION AND SUBMITTAL REQUIREMENTS When completing the Capital Outlay Support Tracking (COST) Report:

• DO NOT change the format of the report. • DO NOT insert extra or hidden columns or rows in the submitted report. • DO NOT delete any columns or rows in the submitted report. • ONLY use color text on Budget Change Proposal (BCP) and Finance Letter (FL)

information. • DO NOT include budget year resources for BCPs and FLs. • DO NOT include cents. Dollar amounts must be rounded to the nearest dollar. • Decimal amounts are two significant places, i.e. 83 percent should be shown as

0.83, 5 percent should be shown as 0.05, etc.) • Each month name document that identifies the district and present month, i.e.

the July 31, 2012 report from District 44, submitted prior to the close of business on August 10, 2012, should be named 44TR0812.

• COST Report is due on the 10th of each month by the close of business 5:00 p.m., and no later.

• CAREFULLY REVIEW your COST Report BEFORE emailing the completed report to [email protected].


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GENERAL INFORMATION: The COST Report is an Excel spreadsheet updated monthly in which each district reports current year, and budget year planned expenditures by consultants, contractors, local agencies and other state and federal agencies who are working on the 20.10 Program, Capital Outlay Support (COS). This report includes 032, 037, 132, 232, 332, 432, 532, 632, 732, and 832 object code contracts. Object codes 232 and 832 contracts/agreements are reported in terms of both hours and dollars. This report should reflect each district’s workload in contracting out (Personnel Year Equivalents (PYEs) as is reflected in the Work Breakdown Structure (WBS) in Expert Project Manager (XPM). It is very important to note that the information provided from your January 10th COST Report is used by the COS Program to build the PYE portion of the Finance Letter (object codes 232 and 832 contracts) for the subsequent budget year. Fund splits must reflect the budget year needs in the January 10th submittal. NOTE that 232 is workload base, and 332 includes OE, but does not include PYEs. The COST Report is also used to monitor and project current year and future year expenditures by district and fund type. This includes work that has been done, but invoices that have not yet been received or processed. The accounting system Enterprise Resource Planning Financial InfraStructure (E-FIS) will help provide up-to-date information regarding the amounts actually committed for work, but does not include work that has been done and the invoices have not yet been received or processed. The COST Report data provides the program with the ability to base budget decisions on “real-time” data that comes directly from the district’s contract managers and administrative staff. The emphasis on allocations is stressed to keep the data up-to-date and accurate. Management may need to make changes to allocations at any time. These changes are based upon the information being submitted in the monthly COST Report.


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To ensure each district gets the funds needed to complete their workload, it is imperative that each contract be represented in COL 43, Narrative Description, clearly and accurately with all the information that might come into question by the Department of Finance (DOF). All contracts, amendments, cooperative and interagency agreements, as well as any other charges, must be reported if:

• Project ID’s (EAs) in the 20.10 Program are charged, and • The Agency object codes associated with the Project ID’s (EAs) are 032, 037,

132, 232, 332, 432, 532, 632, 732, and 832. STUDENT ASSISTANTS – Contracts must be reported, if procured via a contract with a university or a foundation. NOTE: Budget Change Proposal (BCP) and Finance Letter (FL) information and related expenditures must be reported in the COST Report. Each district is responsible for submitting the COST Report electronically via Lotus Notes to [email protected] , on the 10th of each month by 5:00 p.m. and no later.


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INSTRUCTIONS FOR COMPLETING THE COST REPORT Please read the instructions carefully.

• COL 1 through 13 provides basic contract/agreement information. This information rarely changes during the life of the contract.

• COL 14 will require your attention each month.

• BCP and FL Information/Expenditures:

o Input and highlight BCP and FL information/expenditures after all the

other contracts in the COST Report. o Group contracts together, if BCP or FL dollars are divided between

several contracts. o Note BCP or FL number in COL 43 for each contract. o Do not include budget year resources for BCPs and FLs.

COL 0 REGION Leave this column “blank.” COL 1 DISTRICT Enter your district number in this column. The North Region (Districts 01, 02 and 03), Central Region (Districts 05, 06, 09 and 10), and Division of Engineering Services MUST enter the appropriate district number (Districts 01-12) for each contract. IMPORTANT: When one contract is used for multiple districts, create a separate line item for each district. COL 2 CONTRACT DOCUMENT NUMBER List all contracts, cooperative agreements or interagency agreement numbers that perform a COS function under 20.10 Program. If the contract/agreement is planned and has not yet been assigned a contract number, use a fictitious contract number as a placeholder such as “04NEW04-12” “04” = your District number, “NEW01”, 02 or 03, consecutively, and “-12” = the year of expected execution.


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As contract numbers are assigned, move the fictitious contract number to the narrative description column (COL 43) and replace them with the actual contract number assigned. NOTE: Contract numbers are assigned when Form 360s are received in the Division of Procurement and Contracts (DPAC). Be sure to note the placeholder in COL 43, Narrative Description, for the remainder of the fiscal year. COL 3 AGENCY OBJECT CODE Enter the Agency object code under which the charges will be made:

032 – Interdepartmental 037 – Photogrammetry and Aerial Photography 132 – Externals/Others Not Related to Project Delivery 232 – Project Delivery 332 – Hazardous Waste Related to Project Delivery 432 – Land and Building Related to Project Delivery 532 – Student Assistants 632 – Information Technology Not Related to Project Delivery 732 – Telecommunications – External/Others Not Related to Project

Delivery 832 – Government Agencies – Project Delivery

Should the contract/agreement have charges to multiple object codes or significant fund split differences year-to-year, YOU MUST ENTER the contract on additional rows as needed, using a unique suffix for each entry. For example: contract 55B123 will be charging $20,000 under object code 032 and $15,000 under object code 232. You would split contract 55B123 into two separate entries named 55B123-A and 55B123-B, or year-to-year, 55B123-04 and 55B123-05.


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COL 4 CONTRACT STATUS CODE Enter one of the following codes:

UE Unexecuted contract/agreement. EX Executed contract/agreement, this has a start date and expiration date. SN Stop Notice, this work has been halted on a contract. TN Termination Notice, this has been sent to the contractor. After the contract is terminated, continue to use the TN code and

update COL 6 to equal the termination date. XP Expired Contract is expired. Continue to report expired contracts if

charges have been made against the contract this fiscal year. COL 5 EXECUTION DATE Enter the start date of the performance period as planned or as is reported on ADM-0360 Service Contract Request. The execution date should represent the start date of the performance period as reported in the contract. Format date: MM/DD/YYYY. If the contract has not been executed by this date, the date in the COST Report MUST be revised each month until it is executed. NOTE: It takes six to nine months to execute a contract upon receipt of a completed ADM-0360 by the Contracts and Procurement Office (DPAC). COL 6 EXPIRATION DATE Enter the end date of the performance period as planned or as is reported on ADM-0360 or contract. Format date: MM/DD/YYYY If the contract is being terminated, do not change the expiration date from the original contract expiration date until the contract is actually terminated. When amending the contract for time, DO NOT change the expiration date until the amendment has been approved and be sure to note in COL 43, Narrative Description, that there is an Amendment in Progress (AIP). COL 7 NON-PROJECT SPECIFIC OR PROJECT SPECIFIC This only applies to Object Categories 10 (032), 12 (037, 132, 432, 532, 632, and 732), and 23 (332) contracts. Enter one of the following codes:


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• NPS for Non-Project Specific • PS for Project Specific

COL 8 ESTIMATED LIFESPAN OF SERVICE CONTRACT NEED This applies to ALL object categories 10 (032), 11 (232, 832), 12 (037, 132, 432, 532, 632, and 732), and 23 (332) contracts. Enter a number representative of the required years of service provided by this contract. Enter C, which represents a continuous/ongoing need. COL 9 TYPE OF PAYMENT Enter one of the following codes:

FC On-call, firm fixed price task order contracts, per unit FP Specific, firm fixed price contracts LS Lump Sum OC On-call, rates of compensation contracts, hourly rate SP Specific, cost plus fixed fee contracts UC Unit cost (low bid)

COL 10 PROJECT PHASE (EA) Enter the predominate phase of work (use the last digit of the project EA) being done by the consultant. Enter only one code for the contract; if the consultant is going to take the project from Preplanning to Plans Specification and Estimates (PS&E), you would use Phase 1 for design, which would be compatible with PS&E.

A Administrative - Contract/funds that do not lend themselves to the traditional context of the engineering contract development process (students, credit cards, purchase orders, etc.)

0 Environmental Studies and Preliminary Engineering 1 Design 2 Right-of-Way 3 Construction


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COL 11 WORK BUCKET CODE This column only applies to object codes 232 and 832. Object code 232 and 832 contracts MUST BE IDENTIFIED by “work bucket”, i.e. the description used in the Allocation Detail Sheets. Use the following codes:

TS Toll Seismic (BATA) PH2 Phase 2 Retrofit PTNR Partnership (Includes Measure/Locally Funded) RM1 Regional Measure 1 (BATA) SHOPP State Highway Operation & Protection Program STIP State Transportation Improvement Program TCRF Traffic Congestion Relief Fund HSR High Speed Rail RPS Real Property Services SW Soundwall Retrofit TR Toll Retrofit (BATA) BOND CMIA Corridor Mobility Improvement Account BOND STIP STIP Augmentation BOND RTE 99 Route 99 Corridor Program BOND SHOPP SHOPP Augmentation TCIF Trade Corridors Improvement Fund

COL 12 TYPE OF WORK Enter the predominate type of work to be done under the contract or agreement. This should coincide with the fund types and the Narrative Description.

ADM Administrative (students) APR Right-of-Way Appraisals CLM Claims ENV Environmental HW Hazardous Waste Design and Site Assessment INSP Construction Inspection MTL Materials, Sampling & Testing OTH Other - Use only when the type of work does not fall under any of

the listed codes and be certain that COL 39 describes the contract or agreement adequately


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PM Project Management PR Engineering studies that will conclude with a Project Report PSE Plans, Specifications and Estimates SAC Seismic Advisory Committee SFI Soils/Foundation Investigations SPR Seismic Peer Review SRC Seismic Research - these are not usually funded by COS, check

with COS if you intend to use this code STY Study or Investigation other than a PR - An example might be

value-engineering studies that are not specifically directed to a specific project/contract

SUV Surveying COL 13 TOTAL CONTRACT DOLLAR AMOUNT 20.10 ONLY Enter the total value of the executed contract or agreement if the contract is executed. IMPORTANT: This report should reflect only the 20.10 Program (COS) portions of any contract. Data for any other program should not be entered in this report. If the contract/agreement is unexecuted, enter the planned dollar value of the contract or agreement. Do not include amounts for unexecuted amendments. COL 14 REMAINING CONTRACT AUTHORITY (EXECUTED ONLY) Enter the remaining Contract Authority (the total amount remaining that can be expended over the life of the contract) for each contract. The total contract authority equals the total 20.10 Program amount of the contract (lifetime), less prior year(s), current year expenditures and commitments (COL 15 and 17 of the COST Report). NOTE: Leave this column blank for Unexecuted Contracts.

Self-explanatory.

COL 15 PRIOR YEAR WORK (FY 11/12) CHARGED TO CURRENT YEAR (FY 12/13) DOLLARS


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Self-explanatory. This applies to only object codes 232 and 832 contracts. COL 17 COMMITTED CURRENT (FY 12/13) $$’S FOR CURRENT YEAR WORK EXECUTED CONTRACTS, AMENDMENTS AND AGREEMENTS Enter the total dollar amount of work done to-date that will be charged against the current fiscal year. This includes work that has not yet been paid or billed. Contract Managers should be polled each month to determine the latest committed dollars (and hours for object codes 232 and 832 contracts). Do not include work that will be done under unexecuted amendments, contracts and agreements. COL 18 COMMITTED CURRENT (FY 12/13) HOURS FOR CURRENT YEAR WORK EXECUTED CONTRACTS, AMENDMENTS AND AGREEMENTS This applies ONLY to object codes 232 and 832 contracts. Enter the total number of hours, the contractor has worked, that will be charged against the current fiscal year up to the present date. HOURS MUST BE REPORTED. This is the only method that COS has of determining the cost per PYE. COL 19 ESTIMATED REMAINING CURRENT (FY 12/13) $$’S FOR CURRENT YEAR WORK Enter the total dollar amount of the estimated work to be done between now and the end of the current fiscal year June 30, 2013 that will be charged to the current fiscal year. Each year, the July 10th COST Report (June reporting period), COL 19 should not reflect any dollar amounts for contracts.

COL 16 PRIOR YEAR WORK (FY 11/12) CHARGED TO CURRENT YEAR (FY 12/13) HOURS


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COL 20 ESTIMATED REMAINING CURRENT (FY 12/13) HOURS FOR CURRENT YEAR WORK EXECUTED CONTRACTS, AMENDMENTS AND AGREEMENTS This applies ONLY to object codes 232 and 832 contracts. Enter the total number of hours the contractor will work from the close of the reporting period (now) until the end of the current fiscal year June 30, 2013. Show only those hours associated with executed contracts, agreements, amendments and planned task orders under executed contracts. Each year, the July 10th COST Report (June reporting period), COL 20 should not reflect any hours for contracts. COL 21 ESTIMATED REMAINING CURRENT (FY 12/13) $$’S FOR CURRENT YEAR WORK UNEXECUTED CONTRACTS, AMENDMENTS AND AGREEMENTS Enter the total dollar amount of the work that you estimate will be done between now and the end of the current fiscal year that will be charged to the current fiscal year on unexecuted contracts, amendments and agreements. NOTE: The project manager is responsible for entering all workload dollars into XPM. COL 22 ESTIMATED REMAINING CURRENT (FY 12/13) HOURS FOR CURRENT YEAR WORK UNEXECUTED CONTRACTS, AMENDMENTS AND AGREEMENTS This applies ONLY to object codes 232 and 832 contracts. Enter the total number of hours you estimate the contractor will work between now and the end of the current fiscal year June 30, 2013, on unexecuted contracts, amendments and agreements. Include only hours for contracts that will, realistically, be executed and work performed during the current fiscal year. NOTE: The project manager is responsible for entering all workload hours into XPM.


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COL 23 TOTAL ESTIMATED CHARGES DOLLARS AGAINST CURRENT (FY 12/13) Enter the total estimated charges against the current fiscal year. Total estimated dollars is the SUM of COL’s 15+17+19+21. Remember any adjustments in this column require a corresponding adjustment in one of the others. COL 24 TOTAL ESTIMATED CHARGES HOURS AGAINST CURRENT (FY 12/13) This applies ONLY to object codes 232 and 832 contracts. Enter the sum of the total hours worked in the current fiscal year. Total hours billed on invoices paid in prior years are not included in this column. Total estimated hours in current fiscal year is the SUM of COL’s 16+18+20+22.

ESTIMATED WORK FOR FY 13/14 (ALSO KNOWN AS BUDGET YEAR)

NOTE: The January 10 COST Report submittal provides the information used to build the finance letter. It is imperative to each District’s operation that the information listed for the contracts is clearly and accurately described and the fund split as well as all financial information be carefully reviewed. The program and the DOF review on an item-by-item basis. Requests for funding on any unsupported, unjustified or inaccurately represented contracts will be cut. COL 25 ESTIMATED WORK IN FY 13/14 FOR CONTRACTS EXECUTED PRIOR TO FY 13/14 EXECUTED CONTRACTS, AMENDMENTS AND AGREEMENTS Enter the projected amount of work, in dollars, that will be done in the next fiscal year if this contract, agreement or amendment is currently executed and will remain executed during all or part of FY 13/14. DO NOT INCLUDE work that will be done under unexecuted amendments, contracts and agreements or work for ongoing BCPs or FLs.


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COL 26 ESTIMATED NEW WORK FOR 13/14 UNEXECUTED CONTRACTS, AMENDMENTS, AND AGREEMENTS Enter the projected amount of work, in dollars, that will be done and financed in the next fiscal year under new and currently unexecuted contracts, agreements, amendments and task orders. COL 27 ESTIMATED HOURS FOR 13/14 CONTRACTS, AMENDMENTS AND AGREEMENTS This applies only to 232 and 832 contracts. Enter the projected amount of work in hours that will be done and financed in the next fiscal year under executed and unexecuted contracts, agreements, amendments and task orders. COL 28 THRU 39 FUND SPLITS Enter, as a decimal percentage, your estimate of how the contract funds will be segregated. This information is essential when trying to balance year-end funding and making future projections for the Finance Letter. See your Resource Manager or Contract Services representative for assistance. IMPORTANT: The January 10 COST Report submittal is used by the Program to build the Finance Letter for the Budget Year 13/14. Funding splits need to reflect the Budget Year needs in the January Report. All other months of the fiscal year the funding data should reflect the expenditures and projected expenditures for the current fiscal year.

COL 28 SHA State Highway Account (042T) COL 29 FED Federal Dollars (890) COL 30 REIMB Reimbursable (042R) COL 31 BATA Bay Area Toll Authority (042R) COL 32 TBSRA Toll Bridge Seismic Retrofit Account (TBSRA) (650) COL 33 PROP 192 Proposition 192 Funds (653) COL 34 TCRP Traffic Congestion Relief Program (3007) COL 35 CMIA Corridor Mobility Improvement Account (6055) COL 36 STIP Aug State Transportation Improvement Program (6058) COL 37 Route 99 State Route 99 Corridor Program (6072)


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COL 38 SHOPP Aug State Highway Operation and Protection Program (6064) COL 39 TCIF Traffic Corridors Improvement Fund (6056)

Enter the percentages as decimal numbers to two significant places (80 percent equals 0.80; 5 percent equals 0.05; etc.). The sum of the fund splits; COL 28 through 39 must equal 1.00. If there are charges to fund types not shown here call Susan Powell at (916) 654-6081. When in doubt, use the information regarding funding reported on ADM-0360 Service for Contract Request form. Format COL 28 through 39, as noted:


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COL 40 NARRATIVE DESCRIPTION A BRIEF narrative description of how contract/agreement and the resources are to be used. No more than two lines. COL 41 DETAILED NARRATIVE DESCRIPTION This description should be clear for DOF (or external entity) to understand what the contract is going to accomplish. Contract Managers’ name and number should not be listed here. The audience consists of budget analysts. AVOID technical engineering terms that might not be understood by this audience. Have the narrative description checked by someone who is known for his or her ability to write well. The description must be consistent with the object code listed in COL 3, (for example, Student Assistant contracts are always object code 532; object codes 232, 332, 432 and 832 must always be charged to specific projects). 232 and 832 contracts should tie with the work plans in XPM; if the contract is project specific, list the Project ID (EA) here.

• Project ID’s (EAs) do not need to be listed for on-call contracts. • The DOF and the Technology Investment Review Unit (TIRU) will question

any contract described as being, in any way, information technology (IT) related.

• All IT-related contracts must have an approved Feasibility Study Report (FSR) in place prior to their inclusion in the COST Report.

• FSR number and date should be listed in this column. • If the contract is being amended for time or money, it must be noted in this

column. Use (AIP) for amendment in progress. • The justification from the ADM-0360 Service Contract Request form may

be used 232 and 832 contracts whenever possible. Include project name and/or the county-route-post mile that identifies the project.

For 032, 037, 132, 332, 632 and 732 contracts, include any of the following to support and describe the contract need:

• How the contract relates to approved project(s)? Or, how does this contract support the program’s strategic goals?


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• Is it a new approach or technology to replace out-of-date approaches to our work?

• If contract is necessary, due to mandatory regulations. Identify by statute

or government code and the specific entity, i.e. Federal Highway Administration, Fish & Wildlife, Environmental Protection Agency, Fish & Game, etc.

• More tips for describing X32 contracts – use of the terms: “In support of...” “The purpose of the contract is...” “Service provided to...” (Which functional unit? Design? Construction? Environmental?)

Each district must be prepared to provide additional detail immediately upon request. COL 42 HOURLY RATES (232, 332, & 832 EX Contracts Only) Enter the hourly rates for Object Codes 232, 332, and 832 EXECUTED contracts ONLY. Remember to update accordingly.


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Attachment A Format COL 0 through 4 and COL 7 through COL 12, as noted below:


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Attachment B Format COL 5 and COL 6, as noted below:


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Attachment C Format COL 13, 14, 15, 17, 19, 21, 23, 25, and 26.


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Attachment D Format COL 16, 18, 20, 22, 24, and 27, as noted below:

CAPITAL OUTLAY SUPPORT TRACKING REPORT FISCAL...

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