Direct Legislative Appropriations Procedural Directive - July 2010 Revision

Notice: This policy was reviewed, revised, and/or renamed. We provide this revision for historic purposes only. Please see our current policies and procedural directives.

Definitions

For purposes of this policy, “direct legislative appropriation” means a set amount of money earmarked for specific projects within Albuquerque Public Schools. These appropriations are sponsored by a specific New Mexico State legislator.

For purposes of this procedural directive, “capital project” means a building project.

For purposes of this procedural directive, “project plan” means the document(s) required by the New Mexico Public Education Department for non-construction or construction costing two hundred thousand dollars ($200,000) or less, or the document(s) required by the Public School Finance Authority for direct legislative appropriations costing more than two-hundred thousand dollars ($200,000) or when a direct legislative appropriation is less but part of a greater construction project exceeding two-hundred thousand dollars ($200,000).

For purposes of this procedural directive, the “Government Affairs team” means the Albuquerque Public Schools lead lobbyist, policy analyst, executive director of Board Services and the district’s attorney.

Finance Department Responsibilities

Capital Fiscal Program Services, a division of the Albuquerque Public Schools Finance Department, shall be responsible for all financial requisition review/approval, accounting ledger maintenance, reimbursement requests and directized financial reporting for the New Mexico Public Education Department and the district for direct legislative appropriations. Capital Fiscal Program Services shall act as the primary contact to the New Mexico Public Education Department concerning the finances of direct legislative appropriations. The Capital Fiscal Program Services shall submit any required information to the New Mexico Public Education Department in a timely manner. Capital Fiscal Program Services shall be responsible for their department procedures and processes to ensure accuracy of financial information and compliance with regulatory financial requirements. The Capital Fiscal Services Department shall ensure that all project plans that are submitted to the New Mexico Public Education Department are in line with department requirements. If the project plan does not meet New Mexico Public Education Department requirements, Capital Fiscal Program Services or departmental contact may work with the individual school to improve their project plan. Capital Fiscal Program Services shall inform principals/department directors upon approval of a project plan by the New Mexico Public Education Department through a formal letter. The Capital Fiscal Services Department shall immediately inform the Government Affairs team upon approval of a project plan by the New Mexico Public Education Department, including the proposed spending plan.

Capital Fiscal Services Department shall provide the Government Affairs team reports on the status of all projects funded with a direct legislative appropriation. This report may include encumbered funds, expended funds, funds submitted for reimbursement and reimbursements received. The report shall identify projects based on Department of Finance Administration number, sponsoring legislator and location. Capital Fiscal Program Services shall submit this report on March 31, June 30, September 30 and December 31 of each year or as requested.

Capital Fiscal Services shall maintain a financial system of all expenditures from each year’s capital outlay and direct legislative appropriations. This financial system shall be used to provide timely and up to date information to the Government Affairs Team as needed.

Initial Requests for Direct Legislative Appropriations

Note: The principal/department director may assign a staff member to manage and execute the requirements in this procedural directive for direct legislative appropriations; however, the principal/department director shall still be responsible for ensuring that the funds are spent in timely manner, projects are in compliance with their spending plan and that all requirements of this procedural directive have been met.

Upon identification of a school or departmental need that may be funded through a direct legislative appropriation, the principal of that school or director of that department shall contact the Government Affairs team who will direct the principal/department director to the appropriate district department liaison for assistance in product selection, contractor bids, design, and any other relevant information necessary to plan a project. Department liaisons shall be individuals from appropriate departments familiar with the direct legislative appropriation process, including but not limited to the school’s assigned staff architect in Facilities Design and Construction and assigned personnel in Technology, Instruction Accountability and Library Services. Principals/department directors, with the assistance of the department liaison, shall outline a project plan which includes what is being requested, including justification for the need for the appropriation and is in line with information that is needed for the project plan. Department liaisons shall receive bids to establish the appropriate amount of funds to request in an appropriation. Those bids shall be kept for project submittal to the New Mexico Public Education Department; although those bids may need to be updated, the bids shall be requested to ensure proper funding is requested.

Principals/department directors shall submit a request to the Government Affairs team for a direct legislative appropriation in the appropriate amount. That request shall include:

A letter or memo outlining the project and why it is needed at the school
Copies of bids, received from the department liaison, to verify the amount requested
The name of the legislator desired to sponsor the appropriation
The principal/department director’s contact information for further questions if necessary
Any other pertinent information that the principal/department director deems appropriate (i.e., photos of the area in need of improvement)

The Government Affairs team may amend the request if necessary and shall contact the principal/department director if any changes are made to the request.

Upon receipt of the above information, the Government Affairs team shall draft and sign a letter to the appropriate legislator including:

An outline of information about the project
An explanation of the need for the project
The requested fund amount
The Legislative Council Service form for capital outlay/direct legislative appropriations
The director of Government Affairs and the principal/department director’s contact information for further questions if necessary
Any other pertinent information provided by the school (i.e., photos of the area in need of improvement)

The Government Affairs team shall be the primary contact for the legislator. The Government Affairs team shall follow up with the legislator for information regarding his/her sponsorship of the appropriation request in a timely manner. The Government Affairs team shall ensure that all proper paperwork regarding the request has been submitted to the appropriate legislator and the Legislative Council Service.

The Government Affairs team, in consultation with Facilities Design and Construction, Technology, Instruction Accountability and/or Library Services, shall have full discretion over the support, neutrality or opposition of any capital outlay and/or direct legislative appropriation request from a principal/department director. The Government Affairs team may provide explanation to a principal/department director concerning the decision to oppose any appropriation request.

If a principal/department director, or any other APS employee directly contacts a legislator to request capital outlay and/or a direct legislative appropriation and does not follow the process outlined in this procedural directive, the Government Affairs team may, in consultation with the appropriate associate superintendent, decide to support, oppose or remain neutral on the appropriation during the legislative process. If a direct legislative appropriation is approved by the legislature which has not followed the district process, it shall be up to the discretion of the superintendent in consultation of the Government Affairs team and the appropriate associate superintendent to accept or reject the appropriation.

Acceptance and/or Rejection of a Direct Legislative Appropriation

Upon signature of the governor of New Mexico, the Government Affairs team shall compile a report of all capital outlay and special legislative appropriations authorized for Albuquerque Public Schools. The Government Affairs team shall present this report as soon as possible to the Board of Education with recommendations of acceptance or rejection of the capital outlay and/or direct legislative appropriation.

The Government Affairs team shall draft a letter to be signed by the Board of Education and the superintendent outlining which capital outlay and/or direct legislative appropriations have been accepted or rejected. The Government Affairs team shall send this letter as notification to the New Mexico Public Education Department or Public School Facilities Authority of the acceptance or rejection of capital outlay and/or direct legislative appropriations by the Board of Education.

Reauthorizations of Direct Legislative Appropriation

Upon receipt of a request for the reauthorization of a direct legislative appropriation, the Government Affairs team shall notify the original sponsor, or his/her replacement, of the appropriation of the need for reauthorization. This notification shall include:

A letter from the principal/department director describing the current status of the project and a rationale of the need for the reauthorization
The name of original sponsor of the appropriation

Copies of any current bids and or/invoices of the project

Including any further bids that are needed to complete the project if additional appropriation is needed
A copy of the original project plan
The reauthorization paperwork filled out as provided from the New Mexico Legislative Council Service.

Upon notification of reauthorization of an appropriation by the New Mexico State Legislature, the Government Affairs team, shall draft and sign a letter to principals/department directors identifying the reauthorization of capital outlay and/or direct legislative appropriations affecting their school/department. The letter shall include:

The specific language of the appropriation reauthorization

The new date by which the project must be completed
A request for submission of a new project plan to the appropriate administrative office and the director of Government Affairs which outlines the new date of completion

The Government Affairs team shall send an update to the legislator responsible for the reauthorization outlining the new project plan and spending plan.

Subsidization of Projects

Albuquerque Public Schools recognizes that not all direct legislative appropriations are approved with the funding necessary to complete the proposed project. Albuquerque Public Schools may subsidize projects in need of additional funding for completion. Subsidization shall be the decision of the appropriate department in consultation with the Finance Department and any other appropriate department. Subsidization decisions may be based on availability of funds, resources and district priorities. Albuquerque Public Schools shall not be responsible for subsidizing all projects funded through direct legislative appropriations and may use this as the basis for rejection of the direct legislative appropriation.

Government Affairs Communication post Board of Education Acceptance of Direct Legislative Appropriation

The Government Affairs team shall draft and sign a letter thanking New Mexico State legislators for their specific appropriation(s).

The Government Affairs team shall draft a letter to be sent to all relevant recipients of capital outlay and/or direct legislative appropriations encouraging that those individuals also send a thank you letter to their legislator for the appropriation.

The Government Affairs team shall send a letter to principals/department directors, Capital Fiscal Program Services and the department liaisons identifying capital outlay and/or direct legislative appropriations affecting a specific school/department. The letter shall include:

The specific language of the appropriation to indicate what the appropriation may or may not fund, including an example of appropriate use
A request that principals coordinate projects funded with an appropriation through the appropriate department as follows:

Facilities Design and Construction - capital projects
Technology Department– technology projects
Instruction Accountability – instructional materials and testing
Library Service – library materials

Specific contact information for the liaison in each of the above departments
A deadline for project plan submission to the appropriate department, the Government Affairs team and Capital Fiscal Program Services

Project plans must be completed with authorized signatures and submitted by Capital Fiscal Program Services.

The Capital Fiscal Program Services shall process all information in a timely manner

Albuquerque Public Schools must receive approval prior to beginning any project funded with a direct legislative appropriation

A spending plan for direct legislative appropriation
Encouragement for early identification of appropriation requests for the following year

Capital Fiscal Services shall immediately notify the Government Affairs team and departmental liaisons upon approval of a project plan. Upon receipt of this notification, the Government Affairs team shall send an update to the legislator responsible for the appropriation outlining the project, including the project plan and spending plan.

The Government Affairs team shall send legislators an update outlining the progress of projects funded with their sponsored appropriation including all corresponding and necessary information provided to the New Mexico Public Education Department and Public School Facilities Authority at least quarterly. The Government Affairs team shall send legislators a final list of the district’s expenditures from capital outlay and direct legislative appropriations by December before the beginning of each legislative session.

Department Responsibilities

Government Affairs, Capital Fiscal Program Services, Finance Department, Facilities Design and Construction, Technology Instructional Accountability and Library Services shall meet when necessary to establish goals, plans, and to review requests and legislative appropriations for capital outlay and/or direct legislative appropriations and to receive updates about the status of direct legislative appropriations.

Each of the four departments responsible for coordinating projects funded with an appropriation shall meet in May of every year with Capital Fiscal Program Services and the Government Affairs team to discuss appropriations approved during the most recent regular legislative session and to facilitate the completion of the projects approved. The directors of these departments shall be knowledgeable of the specific language of appropriations and shall be able to educate, coordinate and facilitate the spending of the appropriations. This includes, but is not limited to, amount of each appropriation, allowable purchases, reversion dates and project plans.

One employee in each department shall be identified as the liaison for coordination of and act as a resource to principals/department directors to assist with projects funded with appropriations. This employee shall:

be knowledgeable of specific appropriation amounts, allowable projects and reversion dates and allowable expenditures
be available to answer questions from principals/department directors concerning their appropriation
track appropriations which have not yet been expended and contact principals/department directors concerning their status
inform principals/department directors of proper forms to complete for project plan approval
inform principals/department directors of products and vendors appropriate for the project
provide information to the Government Affairs team and Capital Fiscal Services Program as requested
assist with the completion of project plans and setting spending plans with the principal/department director
act as a general liaison to the school concerning the direct legislative appropriations that are assigned to their department and Capital Fiscal Program Services.

Each department shall establish a deadline for submission of any project plan which shall not be later than September 1, following the legislative session in which the appropriation was approved by the New Mexico legislature. Each department also shall aid principals/department directors in identification of future projects that may require an appropriation request.

If a principal/department director fails to properly spend the direct legislative appropriation, then the superintendent may request that the department in charge of the legislative appropriation complete the process in order to spend the legislative appropriation prior to its expiration date.

Principal/Department Director Responsibilities post Board of Education Acceptance of Direct Legislative Appropriation

Principals/department directors shall follow all requirements outlined in this procedural directive, including the formal process for appropriation requests.

Upon notification of acceptance of a direct legislative appropriation, principals/department directors shall create and submit a project plan for the appropriation to the appropriate district department. Each principal/department director may use the department liaison as a resource for information regarding appropriations. Upon approval of the project plan, the principal/department director shall develop a spending plan with their department liaison and the Capital Fiscal Program Services. This shall include deadlines for all spending requirements, including but not limited to, invoices and reimbursement forms.

Principals/department directors, or his/her designee, shall manage the project at their individual school/department. If a capital project, the principal/department director may coordinate with the project manager to manage the project. Each principal/department director, or his/her designee, shall be the primary contact for contractors, purchases and products for the project.

If a principal/department director, or his/her designee, determines more time is needed for the project than initially outlined in the appropriation request, they shall notify the relevant department liaison, Capital Fiscal Program Services and Government Affairs team of the need for a reauthorization from the New Mexico State Legislature and the appropriating legislator. This request shall include:

A letter from the principal/department director describing the current status of the project and why the deadline for the project will not be met
The name of the original sponsor of the appropriation
Copies of any current bids and or/invoices of the project
Any additional bids needed to complete the project if an additional legislative appropriation is required
A copy of the original project plan template

Principals/department directors, or his/her designee, shall document each project through a portfolio. The department liaison may assist principals/department directors with this portfolio. This portfolio shall be sent to the appropriate district department and the director of Government Affairs upon completion of the project. This portfolio shall include:

Photographs of the site before the project, or other appropriate documentation displaying the condition of the need before the request was made
Photographs of products purchased and their utilization in the project, or appropriate documentation displaying the products purchased
Photographs of the completed project, or appropriate documentation displaying the completion of the project.
Budget of the project, including any subsidization from Albuquerque Public Schools
Project plan

The director of Government Affairs may submit this portfolio to the appropriating legislator and keep it on file for future reference. All portfolios regarding direct legislative appropriations may be used by the legislator for their personal or public use.

Community Requests and Coordination

Albuquerque Public Schools does not discourage community/legislator relations in any way. However, Albuquerque Public Schools wishes to increase communication and coordination regarding direct legislative appropriations to ensure their proper execution. Albuquerque Public Schools shall implement the following provisions for community requests for direct legislative appropriations:

Principals shall inform their Parent Teacher Associations/Parent Faculty Organizations, any other parent group involved with the school and their instructional councils that all direct legislative appropriations shall to be requested by the school and shall follow the process outlined in this procedural directive. Principals shall to stress this is for coordination purposes only and not to discourage the community from building relationships with the legislator.
Principals shall solicit input from their Parent Teacher Associations/Parent Faculty Organizations, any other parent group involved with the school and their instructional council regarding needs in the school that may be funded with a direct legislative appropriation. Principals may discuss these needs with the appropriate department liaison for more information.
Principals shall communicate information they gather from the appropriate department liaison to their Parent Teacher Associations, any other parent group involved with the school and their instructional council regarding community requests and district goals/priorities for direct legislative appropriations.
Principals, in consultation with their Parent Teacher Associations, any other parent group involved in the school and their instructional council, shall decide which ideas expressed from the community shall be formally requested from a state legislator as a direct legislative appropriation.

Any direct legislative appropriation that originates from a community request that has not followed the provisions listed in this subsection may be subject to rejection. If a direct legislative appropriation that originates from a community request that has not followed provisions listed in this subsection is not rejected by the Board of Education, the principal shall assume full responsibility of the execution of the project to be funded and all requirements listed in this procedural directive. Principals shall still follow all requirements in this procedural directive for all direct legislative appropriations awarded to their school regardless of the origination of the direct legislative appropriation.

The Government Affairs Team shall communicate with state legislators urging them to only sponsor direct legislative appropriations that have followed the requirements in this procedural directive.

Locally Authorized Charter Schools

Locally authorized charter schools shall notify the Charter/Magnet School Department and Government Affairs team of any request they have submitted for a direct legislative appropriation including which legislator is sponsoring the direct legislative appropriation, the amount requested and the project the direct legislative appropriation was requested for.

Locally authorized charter schools shall be responsible for the fiscal management of and all necessary documentation regarding the direct legislative appropriation. The locally authorized charter school shall be solely responsible the subsidization of any project partially funded by a direct legislative appropriation.

Administrative Position: Superintendent’s Office/Chief Financial Officer
Department Director: Government Affairs

References:

Legal Cross Ref.:

Board Policy Cross Ref.:

K.14 Direct Legislative Appropriations

Procedural Directive Cross Ref.:

Government Affairs Procedural Directive

Forms:

Project Plan Template
Initial Requests Flow Chart

NSBA/NEPN Classification: KLL

Introduced: May 14, 2010
Reviewed: June 25, 2010
Approved: July 23, 2010

This page was last updated on: July 26, 2010.