Click for next page ( 91


The National Academies | 500 Fifth St. N.W. | Washington, D.C. 20001
Copyright © National Academy of Sciences. All rights reserved.
Terms of Use and Privacy Statement



Below are the first 10 and last 10 pages of uncorrected machine-read text (when available) of this chapter, followed by the top 30 algorithmically extracted key phrases from the chapter as a whole.
Intended to provide our own search engines and external engines with highly rich, chapter-representative searchable text on the opening pages of each chapter. Because it is UNCORRECTED material, please consider the following text as a useful but insufficient proxy for the authoritative book pages.

Do not use for reproduction, copying, pasting, or reading; exclusively for search engines.

OCR for page 90
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

OCR for page 90
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

OCR for page 90
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

OCR for page 90
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

OCR for page 90
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

OCR for page 90
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

OCR for page 90
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

OCR for page 90
C-8 Collaborative Airport Capital Planning Handbook

OCR for page 90
Model Documents C-9

OCR for page 90
C-10 Collaborative Airport Capital Planning Handbook

OCR for page 90
Model Documents C-11

OCR for page 90
C-12 Collaborative Airport Capital Planning Handbook

OCR for page 90
Model Documents C-13

OCR for page 90
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

OCR for page 90
Model Documents C-15

OCR for page 90

OCR for page 90
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

OCR for page 90
C-18 Collaborative Airport Capital Planning Handbook