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APPENDIX C
Model Documents
C-2 The Columbus Covenant
C-3 Massachusetts Port Authority: Capital Programming Calendar
C-4 Broward Aviation CIP Process: Proposed Roles & Responsibilities Map
C-5 City of Phoenix: Project Planning Process Flowchart
C-6 City of Phoenix: Annual CIP Budget Process
C-7 City of Phoenix: CIP Project Impacts on Operating Budget
C-8 Broward County Aviation Department: Business Case
C-14 City of Phoenix: CIP Priority Ranking Worksheet
C-15 Massachusetts Port Authority: Construction Closeout Checklist
C-16 Massachusetts Port Authority: Construction Closeout Flowchart
C-17 City of Phoenix: CIP Project Change Request Flow
C-18 Broward County Aviation Department: Airport Development
Performance Measures
C-1
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C-2 Collaborative Airport Capital Planning Handbook
The Columbus Covenant
Vision:
To be the best city in the nation in which to live, work, and raise a family
Mission:
To provide leadership that will inspire: high standards of excellence in the delivery of city services; a spirit of
cooperation, pride and responsibility to achieve strong, safe and healthy neighborhoods; and, a shared economic
prosperity and enhanced quality of life. We undertake this mission believing and knowing that we can make a
difference for future generations.
Principles of Progress:
Prepare our city for the next generation
Promote a diverse and vibrant economy that offers everyone an opportunity to share in our prosperity
Deliver measurable, quality public services and results to our residents
Advance our neighborhoods
Challenge ourselves to realize our city's promise and potential
Goals:
Customer Service: provide quality and efficient service delivery to customers using "best practices"
Neighborhoods: engage and promote strong, distinct, and vibrant neighborhoods
Safety: enhance the delivery of safety services
Economic Development and Technology: provide an atmosphere that promotes job creation and
economic growth in existing and emerging industries
Education: encourage and promote participation in learning opportunities
Downtown Development: develop a vibrant and thriving downtown that is recognized as an asset for the
region
Peak Performance: invest in all city employees and develop systems that support a high-performing city
government
Signed on September 25th, 2000
Michael B. Coleman Doug Moore, Local 1632
Kevin L. Boyce Janet E. Jackson
Michael C. Mentel Maryellen O'Shaughnessy
Mitchell J. Brown John R. Doutt
Joel S. Taylor Jesse R. Jones
Barbara McGrath Chester C. Christie
Melinda Carter Hugh J. Dorrian
Matthew D. Habash Richard W. Sensenbrenner
Charleta B. Tavares Wayne A. Roberts
G. Hannah Dillard William C. Myers
Jennifer L. Knight, FOP Mark Barbash
Mike Vance, CMAGE John Ferner, IAFF
Linda Page James L. Stowe
City of Columbus
Michael B. Coleman, Mayor
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Model Documents C-3
FIGURE 2-2
MASSACHUSETTS PORT AUTHORITY
Capital Programming Calendar
Date Responsible Group Action Completed Deliverable to
August Program Managers Completion of inventory of Maintenance (review most recent Annual Program Managers
Operations Staff Report of Conditions by the Trust Engineer) and Improvement/Extension Operations Staff
Engineering Staff needs for each program. Engineering Staff
Planning Department Directors
August CEO/Executive Director Reaffirm Authority-wide Strategic Plan Goals and Objectives. Issue policy All Staff
Senior Staff direction for program.
September Program Managers Distribute memo of instruction with calendar for program targets, and Department Directors
Budget Unit program proposals.
October Program Managers Meetings to review the status of projects in existing Capital Program and Budget Unit
Operations Staff update program accordingly. Program Managers
Engineering Staff Engineering Staff
Operations Staff
November Program Managers Identification and evaluation of a range of solutions and selection of best Program Managers
Operations Staff alternatives to meet needs. Documentation of proposed projects on Operations Staff
Engineering Staff Project Prospectus Forms and assignment of project code.
November-January Program Managers Review of maintenance portion of proposed operating budget with Program Managers
Operations Staff proposed Capital Maintenance Reserve projects for consistency. Operations Staff
Engineering Staff
November-January Program Managers Prioritization of Maintenance Reserve projects within each program and Program Managers
Operations Staff capital equipment requests exceeding $100K. Evaluation of tradeoffs Operations Staff
Engineering Staff between programs and establishment of the proposed MR Capital Budget Unit
Budget. Deliver to Budget Unit with cash flow projections. Department Directors
November-January Program Managers Prioritization of I&E projects within each program. Evaluation of tradeoffs Program Managers
Operations Staff between programs and establishment of proposed I&E Capital Budget. Operations Staff
Engineering Staff Delivery to Budget Unit with cash flow projections. Budget Unit
Department Directors
January Budget Unit Set next year's deposit to MR Fund. Set transfer to Capital Budget CEO/Executive Director
Account by June Board. Secretary-Treasurer
January Budget Unit Evaluation of proposed program and tradeoffs between programs and CEO/Executive Director
Senior Staff finalization of the Annual Capital Program.
Operations Staff
Program Managers
February CEO/Executive Director Presentation and approval of Capital Program. Members of the Board
After February Capital Programs Distribution and implementation of the new Capital Program. CEO/Executive Director
Approval All Staff
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Tollgate Tollgate 5
Macro Steps 1a 1b Tollgate Tollgate 7 8
2 3 4 CIP Business Case 6
Develop Annual CIP CIP Project #0 #1 #2 #3 Communicate, Revise & CIP Project Management
CIP Proposal CIP Proposal Review & CIP Business Case Review & Selection of Complete CIP Plan for
Planning Strategic Revalidation Complete CIP Plan & Reporting
Development Approval Development Projects for Final BCAD Approval
Roles Guidance Process
Implementation
1.6b 7.1
1.1b 1.4b
1.2a CIP Program Office will 2.3 3.2 4.1 5.2 6.1
CIP Program Office CIP Program Office Coordinate External 8.1
Gather input, develop plug approved/revalidated Coordinate proposal Gather, review, prepare Assign Business Analyst Gather, review, prepare Coordinate creation of
CIP Program Office document, & distribute to
will issue instructions will gather
projects into a matrix that submissions & provide CIP Proposal Package & resources for Business CIP Business Case
Stakeholder review Coordinate reporting on
and timelines for CIP revalidation projects Final CIP Plan Package meetings & plan all CIP projects
CIP "players" will form the baseline for the support distribute Case support Package & distribute
process revalidation and review adjustments
new CIP Planning cycle
1.2b 1.3b
Project Lead will complete a Project Sponsor will 2.1 4.4
1.4a
CIP Project Sponsor (BCAD Statement of Need submit approved Generate Potential CIP Oversee development &
Review CIP Guidance Revalidation form for each Revalidation forms to sign-off on final Business
Division Manager or above) with staff
project list & assign for
project that adheres to the the CIP Program proposal development Case for submission
Revalidation Process Office
3.1 5.1 8.2
Submit project proposals 6.2 7.3
Submit Business Case on Report on CIP projects &
on time & answer Respond to any final Respond to any final
time & answer questions/ provide warning on
questions/make revisions adjustment requests adjustment requests
make revisions potential change requests
CIP Project Lead 2.2
4.2
Develop CIP project
(BCAD Manager or designated proposals using standard
Lead Business Case
staff) development project
template
1.5b 5.3 7.3
CIP Review & Approval The CIP Review Committee 3.3 Conduct meeting to review all 6.2 Make adjustments to 8.3
1.1a
Committee and Exec. Staff will review Conduct meeting to review all Business Cases & make GO/ Make adjustments to Final CIP Plan based on Review change requests
Meet & share ideas and proposals & make GO/NO GO
(BCAD Deputy Directors & the package and meet to NO GO decisions & Final CIP Plan based on external stakeholder & emergency CIP project
input for CIP Guidance review/approve the decisions & communicate
Division Managers) communicate budget considerations considerations needs
Revalidated projects.
2.3 4.3
Business Analyst Provide technical CIP Provide technical support
(New BCAD Position) proposal support as for assigned Business
requested Cases
4.4 5.4
6.1
Initiate development of Review approved projects
CFO/Finance Division Present Recommended
CIP Budget (Annual & and create recommended
Final CIP Budget
Updated 5 Year) CIP Budget
7.2
1.3a 6.3 8.4
Present CIP Plan to
BCAD Executive Staff Review and approve CIP Make Final Decisions on
External Stakeholders &
Respond to changes &
Guidance Document CIP Plan & Budget funding issues
capture feedback
REVIEWED &
APPROVED COMPLETE, CIP PROPOSALS FINAL CIP PLAN
UPDATE ANNUAL CIP COMPLETE, & APPROVE CIP FINAL CIP PLAN & CONTINUOUSLY
KEY PROCESS OUTPUTS REVALIDATED ACCURATE & APPROVED FOR WITH STAKEHOLDER
GUIDANCE RESPONSIVE CIP PROJECTS FOR BUDGEET (ANNUAL UPDATED CIP PLAN &
PROJECT LISTS FOR RESPONSIVE CIP BUSINESS CASE SUPPORT FOR
DOCUMENT BUSINESS CASES BUDGETING & 5 Year Update) PROCESS
NEW CIP PLANNING PROPOSALS DEVELOPMENT DEPLOYMENT
CYCLE
(AAAC Presentation)
February 27th (OMB)
(AAAC Submittal)
September 15th
(AAAC Approval)
June 15th (OMB)
October 15th
February 10th
January 10th
March 15th
April 15th
July 15th
May 30th
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New Project Request (NPR)
entered into Skire by OD & sent
to CMD Clarify CMD works w/ OD to resolve issues CIP Steering Committee Project/report goes
reviews new/edited back to CIP Steering
project requests Committee for
monthly. consideration
Hold Decline Approve Approve w/ MOD Hold Decline Approve Approve w/ MOD
CMD Program Manager
approves or refers project to Project request is FMD will assign and
CMD PM for further research 1) Policy issue Project request is notify CMD of a new
Project request is approved to enter
must go to Exec approved to enter AV# for approved
terminated. No scoping phase or to
Team for scoping phase or to project and defined
further action is be sent to Exec Project goes back to
consideration. be sent to Exec Project request is funding source.
required. Team with some OD via CMD. OD will Assign Priority
Refers for more info
-- or -- Team for review. terminated. No Assign Priority
modifications decide to 1) terminate Ranking Ranking
2) Project request further action is
project or 2) resubmit
goes back to OD for required.
at a later date.
Approved
changes.
CMD Sec III updates
Skire with new AV#
and notifies OD,
Sessions may include Meeting Project will be NEPA Mailbox, and
Project will be
Facilitator (CMD PM), DCS, submitted to the CMD PM.
CMD Program Manager submitted to the
Estimator, OD, Scheduler, Executive Team for
assigns CMD PM to Executive Team for
assigned Budget Analyst, & other approval with some
coordinate scoping sessions. approval.
Stakeholders identified by the modifications
CMD DAD will determine if the
Steering Committee
project will appear on the CIP
Steering Committee Agenda
Discussions to include, but are Project moves to
not limited to, interrelationships, Planning Manager for
scope, objectives, identifying risk, Funding Allocation
CMD PM conducts scoping
"need" date, blackout dates,
sessions.
Approved
anticipated soft costs, BCA, ROI,
probable funding sources, NEPA
and environmental issues
Project goes into
CMD Sec III enters "Pending" B & R
approved project Staff works together Approval Status
request on CIP with stakeholders to
Steering Committee develop schedule, NO YES YES w/ Mod
Agenda scope & budget
Project goes to CIP Liaison
Exec Team denies Exec Team approves Exec Team approves
group for ranking
project. CMD will as is. CMD will notify but with slight
notify the CIP Steering the OD and will modification. CMD will
Committee & OD with request an AV# from notify the OD and will
explanation. FMD request an AV# from
FMD.
CMD Sec III will make
necessary change in
Skire. Scope, schedule
and estimate will be
reviewed by CMD PM
for project impacts.
G:\CMD\CAPITAL MANAGEMENT DIVISION\FLOWCHARTS\CIP PROCESS.VSD Original Approval: May 30, 2008
Revised: February 17, 2010
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CIP Steering Committee Ranking
Year End Update to Executives CIP Steering Committee Meeting Meetings
July 1st will be the last date
Divisions will be able to CIP Steering Committee Meeting Meetings with Division Liaisons CIP Steering Committee Meet ing
submit project revisions/ CMD will submit the final CIP
deletions/additions to CMD Program to FMD.
for consideration for the Meetings with Division Liaisons Meetings with Division Liaisons
upcoming Fiscal Year.
CIP Liaison Ranking Meetings
FMD submits CIP Program to CMD prepares draft CIP Airport Capital Improvement Program Financial Management Division (FMD)
During the month of July, the B & R in January and April. (ACIP) due to the FAA on November and CMD meet to review the proposed
CMD Team will work with Quarterly Update to Executives 30th CIP budget
Division Liaisons to refine
definitions and planning
CIP Steering Committee Meeting CMD updates draft CIP CIP Steering Committee Meet ing
process.
Meetings with Division Liaisons Initial meetings and CIP feasibility with Meetings with Division Liaisons
CMD will notify Steering FMD
The CIP Steering Committee when the CIP CIP Steering Committee Workshop
Committee begins the budget is approved by City Draft CIP Reviewed with Executive
annual review of the entire Council. ACIP Due to ADOT Team
CIP Program in September
and completes this process CIP Steering Committee Meeting
by November of each year.
This review includes all CMD will work with FMD on funding the proposed CIP Meetings with Division Liaisons
documentation with scopes,
schedules, and budgets.
Meetings between CMD and FMD B & R reviews the initial draft of the CIP CIP Steering Committee discusses
continue throughout the month proposed changes to the CIP
CMD revises the CIP per instructions
Draft CIP reviewed with Executives from FMD/B & R. Consults with the CMD continues to meet with FMD to
Divisions make necessary changes to the CIP
Quarterly Update to Executives
CIP Steering Committee Meeting March 15th last day for procurement of
Preliminary CIP budget due to B & R Capital assets
Meetings with Division Liaisons to
CIP Steering Committee Meeting discuss draft carry over list March 15th Finance Purchasing bids
over $10,000 due
Meetings with Division Liaisons February 15th submit project listing to
Risk Management / Insurance policy March 15th carryovers are due by
Divisions to Capital Management
CMD Submits CIP to
FMD for Financial
Feasibility. CIP Steering Committee Meet ing
Meetings with Division Liaisons
FMD reviews the CIP and submits CIP database updated to include June 1st - EAS notice to proceed
carry-overs to B & R approved carry-overs (NTPS) due
The CIP Steering Committee
will review the CIP Program. Draft final CIP reviewed with Executives May 1st last day for EAS contracting Council adopts the CIP
If needed, revisions will be & receive approval to submit to B & R to be submitted
made based on results of CIP Steering Committee Meet ing
Financial Feasibility. th
Quarterly Update to Executives May 15 last day to submit for
requirements contracts Meeting with Division Liaisons
Divisions kick off project planning for
upcoming fiscal year CIP Steering Committee Meeting ACIP Planning Begins
Final CIP submittal to B & R by Fiscal Meeting with Division Liaisons Divisions prepare and submit new CIP
Project Requests to the Capital
CIP Steering Committee Meeting Management Division (Performed
throughout the year)
Meeting with Division Liaisons
1. Divisions can submit project change requests throughout the year; however, there will be a cut off date in
February in order to prepare the final CIP for Financial Management Division review.
2. Financial feasibility will be performed throughout the year. Key dates for feasibility to be determined.
G:\CMD\CAPITAL MANAGEMENT DIVISION\FLOWCHARTS\CIP PROCESS.VSD
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Model Documents C-7
CIP PROJECT IMPACTS ON OPERATING BUDGET
CIP AV # CARD #:
07-01-2009
Note:
LABOR REQUIREMENTS
3 Total Positions Total Salaries $ - $ 171,298 $ 176,193
TOTAL LABOR REQUIREMENTS: $ - $ 238,105 $ 244,908
CONTRACTUAL SERVICES
TOTAL CONTRACTUAL SERVICES: $ 300 $ - $ -
COMMODITIES
TOTAL COMMODITIES: $ - $ 28,200 $ -
CAPITAL OUTLAY
TOTAL CAPITAL OUTLAY: $ - $ 22,000 $ -
INTERNAL CHARGES & CREDITS
TOTAL CREDITS: $ - $ - $ -
GRAND TOTAL $ 300 $ 288,305 $ 244,908
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C-8 Collaborative Airport Capital Planning Handbook
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Model Documents C-9
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C-10 Collaborative Airport Capital Planning Handbook
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Model Documents C-11
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C-12 Collaborative Airport Capital Planning Handbook
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Model Documents C-13
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C-14 Collaborative Airport Capital Planning Handbook
Date
CAPITAL MANAGEMENT DIVISION
OWNING DIVISION
CIP PRIORITY RANKING WORKSHEET
Project Number Project Name
Owning Division Fund Source
Instructions: Using the Project Prioritization Criteria Scoring Matrix, please score the above referenced project
using one of the criteria listed. If the project can fall into other categories, please list it below and provide an
explanation in the space provided.
PRIORITY RANKING
100 50 30
Mandate (code compliance / TSA requirement/FAA requirement/ADOT requirement, etc)
Safety (life safety/imminent health/environmental)
Security (upgrade to existing systems, e.g. badging)
Level of Service (project is critical to operations/customer service)
Revenue Generation / Cost Reduction (project increases revenue ROI analysis, use 5%
discount factor over 5 10 years as required)
Noise Mitigation/Community Relations
Land Acquisition
Asset Preservation / Maintain Existing Facilities
Other Qualifying Criteria Reason
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Model Documents C-15
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CIP PROJECT CHANGE REQUEST FLOW
Wednesday, July 30, 2008
OD and PM identify what
type of change is needed
Project/report change request
goes to CIP Steering Committee
Report information to for consideration
Scope Change Schedule Change Budget Change Steering Committee
OD submits a project and Executive Team
change request to CMD
mailbox (CIP Request
AVN/AVN/PHX)
CMD PM verifies with CMD PM validates
OD submits a new
Fiscal if the scope CMD Database the cost increase
project request as Hold Decline Approve Approve w/ MOD
change impacts the Administrator updates from supporting
required, following
funding source & if it the database with the documents (e.g.,
the CIP Project
should be considered schedule change design docs, eng
CMD Database Planning Process
a "new" project reports)
Administrator prints project
change request and checks
for completion; logs request Project change
in database & forwards to OD may decide to Project change has
request is terminated. Project change has
the CMD Program Manager Is cost resubmit. OD will be been approved with
OD will be informed been approved
for review estimating/ informed of decision some modifications
of decision
scheduling
required
CMD PM reconvenes
scoping sessions with
CMD Program Manager stakeholders OD and Executive
Is project over
reviews and assigns CMD Team will be informed
$900K?
PM for validation and/or of decision
research
CMD PM confers with
Estimator/scheduler
Fiscal to find
work together to
additional funding
develop schedule &
sources to support
scope Project change
change request
request submitted to
Needs research Exec Team for
consideration
CMD PM prepares
report for CMD
Program Manager
CMD PM researches CMD Program
supporting documentation, Manager reviews for NO YES YES w/ Mod
contacts OD & Project completion
Manager for additional
information
Exec Team denies Exec Team approves
Exec Team
project change with modifications.
Is project change approves. CMD will
request. CMD will CMD will notify OD &
report complete? notify OD & the CIP
notify the CIP Steering the CIP Steering
Steering Committee
Committee & OD Committee
CMD Database Administrator
CMD DAD considers each project change up to $450K. OD, Steering Committee and Executive Team will be
makes necessary change in
informed of decision:
database.
Approve Project change has been approved
Decline Project change request is terminated
Send to Steering Committee for further review
Legend
OD = Owning Division
PM = Project Manager
MOD = Modifications
CIP = Capital Improvement Program
CMD = Capital Management Division Page 1
G:\CMD\CAPITAL MANAGEMENT DIVISION\FLOWCHARTS\CIP PROJECT CHANGE REQUEST\CIP Project Change Request Flowchart VER 2 - 06.23.08.
Approval Date: August 11, 2008
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C-18 Collaborative Airport Capital Planning Handbook
