CAPITAL PLANNING Information Sessions February 2003

2 CAPITAL PLANNING ADVISORY BOARD (CPAB) n KRS Chapter 7A n 1990 General Assembly n 15 members - 5 appointed by each branch n Comprehensive statewide capital improvements plan

3 n April 15* n April 15* - Agency plans due to CPAB n July n July - CPAB hearing on plans n October 1 n October 1 - Plan amendments due to CPAB n November 1* n November 1* - CPAB statewide plan due to branch heads TIMETABLE * Statutory

4 STATEWIDE PLANS n Project recommendations –General Fund cash or bonds –other fund sources n Policy recommendations –proposed legislation –other Cabinet / agency projects (prioritized)

5 STATEWIDE PLANS Inputs n Cabinet / agency plans n Testimony / presentations to CPAB n CIO and CPE recommendations (info technology, postsec educ) n CPAB member information / issues n Other

6 CHANGES FROM Major –Web-based capital planning system –Project evaluation / scoring system n Other –Reorganization of plan contents –Facilities management information –Six year horizon for equipment and IT

7 SUBMISSION LEVEL Single “Agency” Plan n Independent agencies n Boards & commissions n Universities & KCTCS n Judicial Branch & Legislative Branch n Most cabinets n Selected other agencies

8 SUBMISSION LEVEL Multi-Agency Cabinet Plan n Education, Arts & Humanities n Justice n Public Protection & Regulation n Tourism Development –Cabinet & Agency Priorities –Cabinet Plan Overview

9 AGENCY PLANS Background –Understand agency –Context to review needs & proposals Plan –Capital-related needs –How agency proposes to address n Ancillary Records

10 BACKGROUND n Agency Mission and Programs n Agency Facilities Management n Capital-Related Reports n Agency Physical Plant n Status of Recently Completed / Ongoing Projects

11 BACKGROUND Agency Mission and Programs (Form SYP-B1) n Content –Statutory basis –Major programs and functions –Service delivery (facilities, technology) n Other –One page maximum –Base on size & complexity of agency

12 BACKGROUND Agency Facilities Management (Form SYP-B2) n Content –Organizational unit and location –Responsibilities –Personnel –Contracts / outsourcing n Other –One page maximum –Base on size & complexity of agency

13 BACKGROUND Capital-Related Reports (Form SYP-B3) n Criteria –Completed since last plan (4/2001) –Currently underway –Planned in n Examples –Campus or facility master plans –Feasibility studies

14 BACKGROUND Form SYP-B3 (continued) n Title n Purpose n Who Prepared the Report n Completion Date n Approval n Status of Providing Copy to CPAB n Related Projects

15 BACKGROUND Agency Physical Plant n State-owned property administered by the agency (Form SYP-B4a) n Other state-owned property occupied by the agency (Form SYP-B4b) n Non-state-owned property occupied / leased by the agency (Form SYP-B4c) n Non-state-owned space leased by another agency, occupied by the agency (Form SYP-B4d)

16 BACKGROUND Agency Physical Plant (continued) n Non-state-owned facilities located on state- owned land administered by the agency (Form SYP-B4e) - new n State-owned aircraft (Form SYP-B4f) - new

17 BACKGROUND Status of Recently Completed/Ongoing Projects (Form SYP-B5) n Criteria –Not completed as of 3/31/01 –Unbudgeted - reported to CPBOC –Initiated under FY 2002/03 spending plan n Data –Authorizations & descriptions –Budget (initial, current) –Status, completion date –Current description

18 PLAN n Overview n Proposed Projects n Space Needs n Space Reductions

19 PLAN Overview (Form SYP-P1) n Narrative (Form SYP-P1) –Capital related needs & issues - how agency plans to address them –Current priorities - process & factors –Changes from plan –Actions affecting approach to needs

20 PLAN Overview n 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)

21 PLAN Proposed Projects (Form SYP-P2) n Capital construction - $400,000 or more n Equipment - $100,000 or more* n IT system - $400,000 or more* n State-administered grant / loan programs n Court facilities - Annual use allowance of $200,000 or more *all three biennia unless postsecondary scientific or research

22 NEW Definition Information Technology System n $400,000 threshold requiring submission now includes one or more of the following: –Hardware –Software –Professional services –Digital data products

23 PLAN Proposed Projects (Form SYP-P2) n Project Title n Biennium n Agency Priority / Cabinet Priority / AB Priority n Category n Location n Item Number n Additional Funding? n Brief Description / Justification

24 PLAN Form SYP-P2 (continued) n Project Budget –Fund Sources & Cost Elements n Impact on Agency Operating Budget –Figures & Narrative n Specific (based on category) n Additional Description / Justification n Previous Plans n Previous Budget Requests n Previous Budget Authorizations

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

26 PLAN Space Needs (Form SYP-P3) other than projects submitted on Form SYP-P2 n Location n Type of Need n Why Needed n Type of Space n Square Footage n Biennium n Impact on Existing Space

27 PLAN Space Reductions (Form SYP-P4) n Location n Square Footage n Type of Space n Why the space is to be eliminated n Biennium

28 ANCILLARY RECORDS n Minor Projects ($50,000 - $400,000 each) –Facility Name –Type of Space –Description –Biennium –Cost Estimate –Included in Another Project (Form SYP-P2) n Agency Bond Priorities n Off-Budget Funds n Projects in Plans of Multiple Agencies

29 PROJECT EVALUATION / SCORING SYSTEM n Critical Life Safety or Legal Liability n Protecting Investment in Plant n Safety Concerns, Security Issues, and Other Government Mandates n Cabinet / Agency Priority n User / Non-State Financing n Use n Relationship to Prior Authorized Projects n Savings or Efficiencies n Other Factors

CAPITAL PLANNING SYSTEM n Web-based n All sections of the plan n Validations n Electronic only, no hard copies

31 PREPARING THE AGENCY PLAN n Obtain access to CP System n Respond to Checklist n Complete Forms n Assign Priorities n View/Print Forms n Run Validations n Submit

32 USER ACCESS TO THE CP SYSTEM

33 n Version 0 - pre-populated data (read only) n Version 1 - April 15 submission n Version 2 - July 2003 CPAB meeting n Version 3 - as of October 1, 2003 each version will become read-only as of the designated cut-off date PLAN VERSIONS

34 CPAB OFFICE n CPAB Staff –Pat Ingram, Committee Staff Administrator –Mary Lynn Collins –Nancy Osborne –Dawn Groves n Room 34, Capitol Annex n n n

CAPITAL PLANNING Information Sessions February 2003