Reporting Requirements

TIGER and TIGER II Reporting Requirements

• Project Progress and Monitoring Reports

  • Frequency: Quarterly (on the 20^th of the first month of the calendar quarter)

  • Report covers: Previous quarter, along with a two-quarter forecast.

  • Start: Upon award of grant

  • End: Once construction is complete

  • Format/Fields and accompanying instructions (beyond project ID information):

    1. Executive Summary [Narrative] – a clear and concise summary of the current status of the project, including identification of any major issues that have an impact on the project’s scope, budget, schedule, quality, or safety, including:

       • Current total project cost (forecast) vs. latest budget vs. baseline budget. Include an explanation of the reasons for any deviations from the approved budget.

       • Current overall project completion percentage vs. latest plan percentage.

       • Any delays or exposures to milestone and final completion dates. Include an explanation of the reasons for the delays and exposures.

       • A summary of the projected and actual dates for notices to proceed for significant contracts, start of construction, start of expenditure of TIGER II Discretionary Grant funds, and project completion date. Include an explanation of the reasons for any discrepancies from the corresponding project milestone dates included in the Agreement.

       • Any Federal obligations and/or TIFIA disbursements occurring during the month versus planned obligations or disbursements.

       • Any significant contracts advertised, awarded, or completed.

       • Any significant scope of work changes.

       • Any significant items identified as having deficient quality.

       • Any significant safety issues.

       • Any significant Federal issues such as environmental compliance, Buy America/Buy American (whichever is applicable to this Project), Davis Bacon Act Prevailing Wage requirements, etc.

2. Project Activities and Deliverables. [Narrative] – highlighting the project activities and deliverables occurring during the previous quarter (reporting period), and (2) define the activities and deliverables planned for the next two reporting periods. [Activities and deliverables to be reported on should include meetings, audits and other reviews, design packages submitted, advertisements, awards, construction submittals, construction completion milestones, submittals related to Recovery Act requirements, media or Congressional inquiries, value engineering/constructability reviews, and other items of significance. The two reporting period “look ahead schedule” will enable the Government to accommodate any activities requiring input or assistance.]

3. Action Items/Outstanding Issues. [Narrative] – drawing attention to, and tracking the progress of, highly significant or sensitive issues requiring action and direction in order to resolve. [In general, issues and administrative requirements that could have a significant or adverse impact to the project’s scope, budget, schedule, quality, safety, and/or compliance with Federal requirements should be included. Status, responsible person(s), and due dates should be included for each action item/outstanding issue. Action items requiring action or direction should be included in the quarterly status meeting agenda. The action items/outstanding issues may be dropped from this section upon full implementation of the remedial action, and upon no further monitoring anticipated.]

4. Project Schedule. [Narrative, with attachments, and numerical fields for overall completion percentage, additional fields for major activities with numerical fields and narrative fields for each activity]– An updated master program schedule reflecting the current status of the program activities should be included in this section. [A Gantt (bar) type chart is probably the most appropriate for quarterly reporting purposes, with the ultimate format to be agreed upon between the Grantee and the Government. It is imperative that the master program schedule be integrated, i.e., the individual contract milestones tied to each other, such that any delays occurring in one activity will be reflected throughout the entire program schedule, with a realistic completion date being reported. Narratives, tables, and/or graphs should accompany the updated master program schedule, basically detailing the current schedule status, delays and potential exposures, and recovery efforts. The following information should also be included:

   • Current overall project completion percentage vs. latest plan percentage.

   • Completion percentages vs. latest plan percentages for major activities such as right-of-way, major or critical design contracts, major or critical construction contracts, and significant force accounts or task orders. A schedule status description should also be included for each of these major or critical elements.

   • Any delays or potential exposures to milestone and final completion dates. The delays and exposures should be quantified, and overall schedule impacts assessed. The reasons for the delays and exposures should be explained, and initiatives being analyzed or implemented in order to recover the schedule should be detailed.]

5. Project Cost [Narrative, with Attachments] – An updated cost spreadsheet reflecting the current forecasted cost vs. the latest approved budget vs. the baseline budget should be included in this section. [One way to track project cost is to show: (1) Baseline Budget, (2) Latest Approved Budget, (3) Current Forecasted Cost Estimate, (4) Expenditures or Commitments To Date, and (5) Variance between Current Forecasted Cost and Latest Approved Budget. Line items should include all significant cost centers, such as prior costs, right-of-way, preliminary engineering, environmental mitigation, general engineering consultant, section design contracts, construction administration, utilities, construction packages, force accounts/task orders, wrap-up insurance, construction contingencies, management contingencies, and other contingencies. The line items can be broken-up in enough detail such that specific areas of cost change can be sufficiently tracked and future improvements made to the overall cost estimating methodology. A Program Total line should be included at the bottom of the spreadsheet. Narratives, tables, and/or graphs should accompany the updated cost spreadsheet, basically detailing the current cost status, reasons for cost deviations, impacts of cost overruns, and efforts to mitigate cost overruns. The following information should be provided:

   • Reasons for each line item deviation from the approved budget, impacts resulting from the deviations, and initiatives being analyzed or implemented in order to recover any cost overruns.

   • Transfer of costs to and from contingency line items, and reasons supporting the transfers.

   • Speculative cost changes that potentially may develop in the future, a quantified dollar range for each potential cost change, and the current status of the speculative change. Also, a comparison analysis to the available contingency amounts should be included, showing that reasonable and sufficient amounts of contingency remain to keep the project within the latest approved budget.

   • Detailed cost breakdown of the general engineering consultant (GEC) services (if applicable), including such line items as contract amounts, task orders issued (amounts), balance remaining for tasks, and accrued (billable) costs.

   • Federal obligations and/or TIFIA disbursements for the project, compared to planned obligations and disbursements.]

6. Project Funding Status. [Narrative] – The purpose of this section is to provide a status report on the non-TIGER II Discretionary Grant funds necessary to complete the project. [This report section should include a status update of any legislative approvals or other actions necessary to provide the non-TIGER II Discretionary Grant funds to the project. Such approvals might include legislative authority to charge user fees or set toll rates, or the commitment of local funding revenues to the project. In the event that there is an anticipated or actual project cost increase, the project funding status section should include a report on the anticipated or actual source of funds to cover the cost increase and any significant issues identified with obtaining additional funding.]

7. Project Quality. [Narrative] – The purpose of this section is to: (1) summarize the Quality Assurance/Quality Control activities during the previous month (reporting period), and (2) highlight any significant items identified as being deficient in quality. [Deficient items noted should be accompanied by reasons and specifics concerning the deficiencies, and corrective actions taken or planned. In addition, the agency or firm responsible for the corrective action should be documented. Planned corrective actions should then be included as Action Items/Outstanding Issues.]

8. Federal Financial Report (SF-425). [Attachment] – The Federal Financial Report (SF-425) (available at http://www.forms.gov/bgfPortal/docDetails.do?dId=15149) is a financial reporting form used throughout the Federal Government Grant system. Grantees should complete this form and attach it to each quarterly Project Progress and Monitoring Report.

• Annual Budget Review Report

  • Frequency: Yearly (60 days before the end of the Agreement year)

  • Report covers: Upcoming Agreement year

  • Start: 60 days before first anniversary of grant award

  • End: Once construction is complete

  • Format/Fields and accompanying instructions (beyond project ID information):

    1. Detailed Schedule of Activities. [Narrative with attachment] –

    2. Estimate of Specific Performance Objectives. [Narrative] –

    3. Forecasted Expenditures. [Narrative with Attachment] –

    4. Schedule of Milestones for the Upcoming Agreement Year. [Narrative with Attachment] –

If there are no proposed deviations from the Approved Detailed Project Budget, the Annual Budget Review shall contain a statement stating such. The Grantee will meet with the Government to discuss the Annual Budget Review and Program Plan. If there is an actual or projected project cost increase, the annual submittal should include a written plan for providing additional sources of funding to cover the project budget shortfall or supporting documentation of committed funds to cover the cost increase. To the extent the annual budget update deviates from the approved project budget by more than 10 percent, then work proposed under the Annual Budget Review and Program Plan shall not commence until written approval from the Government is received.

• Performance Measurement Reports

  • Frequency: Quarterly (on the 20^th of the first month of the calendar quarter)

  • Report covers: Previous quarter.

  • Start: Once, upon award of grant; Quarterly, once construction complete

  • End: At the end of agreed upon performance measurement period

  • Format/Fields and accompanying instructions (beyond project ID information):

    1. Performance Measures Narrative. [Narrative] – Including a detailed description of data sources, assumptions, variability, and the estimated level of precision for each measure.

    2. Performance Measures Spreadsheet. [Attachment] – Government and Grantee will agree on the format of the spreadsheet for each individual project.

    3. [For final Report] Project Outcomes. [Narrative] - Detailing Project successes and/or the influence of external factors on Project expectations. Including an ex post examination of project effectiveness in relation to the Pre-project Report baselines.