2004 - 2010 capital planning information sessions february 2003

2004 - 2010 CAPITAL PLANNING

Information SessionsFebruary 2003

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CAPITAL PLANNING ADVISORY BOARD (CPAB)

KRS Chapter 7A

1990 General Assembly

15 members - 5 appointed by each branch

Comprehensive statewide capital improvements plan

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April 15*April 15* - Agency plans due to CPAB

July July - CPAB hearing on plans

October 1October 1 - Plan amendments due to CPAB

November 1*November 1* - CPAB statewide plan due to branch heads

TIMETABLE

* Statutory

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STATEWIDE PLANS

Project recommendations

– General Fund cash or bonds

– other fund sources

Policy recommendations

– proposed legislation

– other

Cabinet / agency projects (prioritized)

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STATEWIDE PLANSInputs

Cabinet / agency plans

Testimony / presentations to CPAB

CIO and CPE recommendations (info technology, postsec educ)

CPAB member information / issues

Other

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CHANGES FROM 2002-2008

Major– Web-based capital planning system– Project evaluation / scoring system

Other– Reorganization of plan contents– Facilities management information– Six year horizon for equipment and IT

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SUBMISSION LEVELSingle “Agency” Plan

Independent agencies

Boards & commissions

Universities & KCTCS

Judicial Branch & Legislative Branch

Most cabinets

Selected other agencies

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SUBMISSION LEVELMulti-Agency Cabinet Plan

Education, Arts & Humanities Justice Public Protection & Regulation Tourism Development

– Cabinet & Agency Priorities– Cabinet Plan Overview

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AGENCY PLANS

Background

– Understand agency

– Context to review needs & proposals

Plan

– Capital-related needs

– How agency proposes to address

Ancillary Records

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BACKGROUND

Agency Mission and Programs

Agency Facilities Management

Capital-Related Reports

Agency Physical Plant

Status of Recently Completed / Ongoing Projects

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BACKGROUNDAgency Mission and Programs

(Form SYP-B1)

Content– Statutory basis– Major programs and functions– Service delivery (facilities, technology)

Other– One page maximum– Base on size & complexity of agency

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BACKGROUNDAgency Facilities Management

(Form SYP-B2) Content

– Organizational unit and location– Responsibilities– Personnel– Contracts / outsourcing

Other– One page maximum– Base on size & complexity of agency

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BACKGROUNDCapital-Related Reports

(Form SYP-B3)

Criteria– Completed since last plan (4/2001)– Currently underway– Planned in 2002-04

Examples– Campus or facility master plans– Feasibility studies

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BACKGROUNDForm SYP-B3 (continued)

Title Purpose Who Prepared the Report Completion Date Approval Status of Providing Copy to CPAB Related Projects

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BACKGROUNDAgency Physical Plant

State-owned property administered by the agency (Form SYP-B4a)

Other state-owned property occupied by the agency (Form SYP-B4b)

Non-state-owned property occupied / leased by the agency (Form SYP-B4c)

Non-state-owned space leased by another agency, occupied by the agency (Form SYP-B4d)

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BACKGROUNDAgency Physical Plant (continued)

Non-state-owned facilities located on state-owned land administered by the agency (Form SYP-B4e) - new

State-owned aircraft (Form SYP-B4f) - new

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BACKGROUNDStatus of Recently Completed/Ongoing Projects

(Form SYP-B5) Criteria

– Not completed as of 3/31/01

– Unbudgeted - reported to CPBOC

– Initiated under FY 2002/03 spending plan Data

– Authorizations & descriptions

– Budget (initial, current)

– Status, completion date

– Current description

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PLAN

Overview

Proposed Projects

Space Needs

Space Reductions

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PLANOverview

(Form SYP-P1)

Narrative (Form SYP-P1)

– Capital related needs & issues - how agency plans to address them

– Current priorities - process & factors

– Changes from 2002-2008 plan

– Actions affecting approach to needs

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PLANOverview

Summary Reports

– Financial Summary for Proposed Projects (Form SYP-P1a)

– (Listing of) Proposed Projects Involving the General Fund or Road Fund (Form SYP-P1b)

– (Listing of) Proposed Projects NOT Involving the General Fund or Road Fund (Form SYP-P1c)

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PLANProposed Projects (Form SYP-P2)

Capital construction - $400,000 or more

Equipment - $100,000 or more*

IT system - $400,000 or more*

State-administered grant / loan programs

Court facilities - Annual use allowance of $200,000 or more

*all three bienniaunless postsecondary scientific or research

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NEW DefinitionInformation Technology System

$400,000 threshold requiring submission now includes one or more of the following:

– Hardware

– Software

– Professional services

– Digital data products

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PLANProposed Projects (Form SYP-P2)

Project Title Biennium Agency Priority / Cabinet Priority / AB Priority Category Location Item Number Additional Funding? Brief Description / Justification

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PLANForm SYP-P2 (continued)

Project Budget

– Fund Sources & Cost Elements Impact on Agency Operating Budget

– Figures & Narrative Specific (based on category) Additional Description / Justification Previous Plans Previous Budget Requests Previous Budget Authorizations

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PROPOSED PROJECTS (Budget - Fund Sources)

General Fund (cash or bonds) Restricted Funds Federal Funds Road Fund Agency Bonds Other (private funds - cash) Other (long-term financing) - must explain Other (local bonds, court projects only)

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PLANSpace Needs (Form SYP-P3)

other than projects submitted on Form SYP-P2

Location Type of Need Why Needed Type of Space Square Footage Biennium Impact on Existing Space

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PLANSpace Reductions (Form SYP-P4)

Location Square Footage Type of Space Why the space is to be eliminated Biennium

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ANCILLARY RECORDS

Minor Projects ($50,000 - $400,000 each)– Facility Name– Type of Space– Description– Biennium– Cost Estimate– Included in Another Project (Form SYP-P2)

Agency Bond Priorities Off-Budget Funds Projects in Plans of Multiple Agencies

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PROJECT EVALUATION /SCORING SYSTEM

Critical Life Safety or Legal Liability Protecting Investment in Plant Safety Concerns, Security Issues, and Other

Government Mandates Cabinet / Agency Priority User / Non-State Financing Use Relationship to Prior Authorized Projects Savings or Efficiencies Other Factors

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2004-2010CAPITAL PLANNING SYSTEM

Web-based All sections of the plan Validations Electronic only, no hard copies

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PREPARING THE AGENCY PLAN

Obtain access to CP System

Respond to Checklist

Complete Forms

Assign Priorities

View/Print Forms

Run Validations

Submit

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USER ACCESS TO THE CP SYSTEM

AgencyContact

AgencyUser

CabinetContact

Enter/Edit Checklist Enter Data View/Print Reports Run Validations Set Agency Priorities Set Cabinet Priorities Submit Plan

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Version 0 - pre-populated data (read only)

Version 1 - April 15 submission

Version 2 - July 2003 CPAB meeting

Version 3 - as of October 1, 2003

each version will become read-onlyas of the designated cut-off date

2004-2010PLAN VERSIONS

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CPAB OFFICE CPAB Staff

– Pat Ingram, Committee Staff Administrator

– Mary Lynn Collins

– Nancy Osborne

– Dawn Groves

Room 34, Capitol Annex

cpab@lrc.state.ky.us

cpabtech@lrc.state.ky.us http://www.lrc.state.ky.us/statcomm/CPAB/homepage.htm

2004 - 2010 CAPITAL PLANNING

Information SessionsFebruary 2003