Minnesota Department of Corrections

 

Policy:                        104.120

Title:                          Capital Budget

Effective Date:          2/20/18

 

PURPOSE:    To provide procedures for the preparation of capital budget requests.

 

APPLICABILITY:   Minnesota Department of Corrections (DOC); all facilities

 

DEFINITIONS:

Capital Asset Preservation and Replacement Account (CAPRA) – defined by Minn. Stat. § 16A.632, funding that provides rapid financial assistance to state agencies for emergencies and unanticipated hazardous material abatement needs related to the state’s capital grants.

 

PROCEDURES:        The following steps are general guidelines for preparing the department’s capital budget request, which includes identifying needs such as new buildings, major remodeling/renovation projects, and improvements.  Each facility must use the capital budget process to identify its needs for the next capital budget legislative session..  For specific instructions, refer to the Minnesota Department of Administration (Admin) and Minnesota Management and Budget (MMB) instructions.

A.        The department designs future correctional facility construction using progressive correctional concepts to promote security and offender rehabilitation through facilitating contact and interaction between staff and offenders.  All new construction and/or remodeling must follow the Department of Administration’s design guidelines, including state building codes, and American Correctional Association (ACA) guidelines.

 

B.        The capital resources administrator must send out a request to each facility for a prioritized list of capital budget projects.

 

C.        The warden from each facility works with facility staff to compile a prioritized list of capital budget projects.  Requests from each facility are maintained on the department-wide asset preservation list.  Original requests are maintained at the facility.

 

D.        The deputy commissioner and his/her staff must prioritize the list of capital budget requests submitted by each facility according to department-wide needs.

 

E.         Each project identified as a department initiative during the next capital budget bonding session must have a completed, predesign study to develop a clear, concise project scope and cost plan.

1.         When directed by the capital resource administrator, the physical plant directors must prepare and maintain a Project Initiation Form (PIF, attached) to initiate predesign studies.

2.         The PIF is sent to real estate and construction services financial officer.

3.         Predesign studies are initiated for all capital budget requests that are to be presented during the next legislative session.  The capital resource administrator must contact legislative leadership regarding all predesign studies.

4.         The original PIF must be retained by the physical plant director at the requesting facility.

 

F.         Finance staff must enter each capital budget request approved by the deputy commissioner using the appropriate forms and instructions provided by Admin and MMB into the capital budget system.

1.         The financial management director must review completed capital budget requests to ensure all requests include operational costs and employee full time equivalent (FTE) information.

2.         A complete set is printed for review by the capital resources administrator, who authorizes the submission of all requests to MMB via the capital budget system.

3.         The capital resource administrator must maintain all requests.

 

INTERNAL CONTROLS:

A.        The official PIF forms are retained by the physical plant director at the requesting facility.

 

B.        Requests from each facility are retained on the department-wide asset preservation list, and the original requests are retained at the facility.

 

C.        The complete set of capital budget requests is retained by the capital resource administrator.

 

ACA STANDARDS: 4-4025, 4-4029, 4-4123, 4-4124, 4125, 4-4127, 4-4128, 4-4132,  4-4134, 4-4135, 4-4137, 4-4137-1, 4-4138, 4-4138-1, 4-4139, 4-4139-1, 4-4141, 4-4145, 4-4146, 4-4147, 4-4147-1, 4-417-2, 4-4149,4-4151, 4-4152, 4-4156, 4-4158, 4-4169, 2-CO-2B-01, 2-CO-2B-02, 2-CO-2B-03, 4-JCF-6B-03

 

REFERENCES:        Minn. Stat. §§ 16B.35, subd. 1a; 16A.11; and 16A.632

Minnesota Department of Administration Design Guidelines

 

REPLACES:              Policy 104.120, “Capital Budget,” 3/1/16.

All facility policies, memos, or other communications whether verbal, written, or transmitted by electronic means regarding this topic.

 

ATTACHMENTS:    Project Initiation Form (PIF) (Admin external document)

 

 

APPROVED BY:

Deputy Commissioner, Facility Services

Deputy Commissioner, Community Services

Assistant Commissioner, Facility Services

Assistant Commissioner, Operations Support