Instructions for CIP Checking, Modifications & Revisions

Instructions for CIP Checking, Modifications & RevisionsIn CIMS v1.1

Instructions for CIP Checking, Modifications & Revisions

In CIMS v1.1

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I.PURPOSE AND DESCRIPTION

Provides a general description of the checking, modification, and revision functions of the CIMS system.

II.DEFINITIONS

Defines terms and acronyms used in CIMS and in these instructions.

III.Status: FISH ASSIGNMENT –Transmitting Project Information to FISH

Instructions to DHCD Project Managers (PMs) for creating FISH projects from the CIMS projects in the LHA’s CIP. LHA’s do not have access to this function.

IV.Status: CIP ACTIVE –Viewing CIP Information

CIP Active is the status assigned to CIP’s when the current spending projections are within prescribed ranges of the approved fiscal year spending. This section describes functions available to the LHA and the DHCD PM when the CIP is in this status. These functions include viewing the Active CIP and the Approved CIP and importing updated data from FISH. The section also describes the automatic compliance checking process by which CIMS compares the fitness of the Active CIP against the Approved CIP.

V.Status: CIP OUT OF COMPLIANCE - Responding To Error Messages

CIP’s with projected spending outside the range of spending as defined by DHCD will automatically be put in the status of CIP Out of Compliance. This section discusses what causes a CIP to be put into the CIP Out of Compliance status and what the LHA should do about it, if anything. It also gives examples of errors and strategies for fixing them.

VI.Status: CIP IN MODIFICATIONS– Making Changes To The Active CIP

The LHA can change the Design Contract Date (DCD) for projects that have not yet been assigned to FISH and can change the funding sources of both FISH and non-FISH projects. Using CPS, the LHA can also change the scope and budget of non-FISH projects. In addition the PM can combine CIMS projects into singular FISH projects. This section provides instructions for making these changes. If the result of making changes to the Active CIP is to put it or keep it in compliance with the Approved CIP, no DHCD approval is required for the changes.

VII.Status: CIP IN REVISION– Making Changes To The Approved CIP

When the Active CIP is out of compliance and cannot be modified to be in compliance, it becomes necessary to propose a revision to the Approved CIP. In addition to the functions available in the status of CIP in Modifications, the LHA and the PM can work together to add projects, revise the distribution of Cap, and apply for funds from DHCD reserves or the LHA emergency reserve. This section describes how to make these adjustments and submit them to DHCD for required approval.

VIII.Status: REVISION SUBMITTED– DHCD Approval Process

This section describes the steps that DHCD staff take after the LHA submits a revised CIP for approval. Also included is a description of the “Project Manager Revision Alteration Request” form which the PM may use to make a request and the LHA must then use to respond to the request.

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I.PURPOSE AND DESCRIPTION

CIMS version 1.1 adds CIP checking, modification, and revision functions to the CIMS system. As soon as a CIP (Capital Improvement Plan) is approved CIMS creates an Approved CIP that is a record of the projects and spending projections that DHCD has approved. At the same time, CIMS creates an Active CIP, which begins as a copy of the Approved CIP. Once projects are started, projected fiscal year spending will begin to change as key dates and project costs are adjusted. CIMS imports revised data from DHCD’s project management system (FISH) and uses it to update the Active CIP. The LHA also has the option to makes changes to the Active CIP by changing schedules, budgets, and funding for projects.

The purpose of CIP checking is to compare up-to-date actual and projected project spending (the Active CIP) with the projections contained in the Approved CIP. When the variance between the Active CIP and the Approved CIP exceeds the variance allowed by DHCD the CIP is said to be “out of compliance.” When the Formula Funding program is fully implemented, LHA’s will be expected in some circumstances to make adjustments to their Active CIP as required to bring an out of compliance CIP back into compliance. CIMS automatically checks all CIP’s that are in the statuses of CIP Active or CIP Out of Compliance every night. Compliance is also checked when the user clicks <Save> in the CIP Projects Modifications Grid and when the user changes the CIP status from CIP in Modificationsto CIP Active.

CIMS provides two paths to putting an out-of-compliance CIP back into compliance. The first method, called modification, is to adjust dates, funding, or scopes of projects in the Active CIP to bring fiscal year spending back within the allowed variance from the Approved CIP. If the LHA can put the CIP into compliance, no additional approval by DHCD is required. The second method, called revision, is to propose changes to the Approved CIP and submit the revisions to DHCD for approval.

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II.DEFINITIONS.GO TO TABLE OF CONTENTS

Active CIP: A copy of the Approved CIP that has been updated with the latest project cost information and project schedules. This information comes from FISH for projects assigned to FISH. There is never more than one Active CIP

ADA: Americans with Disabilities Act. Often used to mean accessible, as in “an ADA unit”. Also used to identify funding reserved for accessibility improvements.

Alteration: An alteration is a change to a proposed CIP revision.

Approved CIP: A Capital Improvement Plan (CIP) that has been approved by DHCD. Every time a new CIP is approved or an existing CIP is revised and approved, a new Approved CIP is created. The business rules that determine if an Active CIP is “Out of Compliance” always use the most recent Approved CIP as a reference.

ARRA: American Recovery and Reinvestment Act.

Automatic Compliance Checking: CIMS automatically imports schedule and cost information from FISH, generally on a daily basis. This information is used to update the Active CIP. CIMS then compares the projected spending of the Active CIP to the approved spending of the Approved CIP. If the variance between the two CIP’s falls within the business rules, the Active CIP is put in the status of “CIP Active”. If there are business rule violations, the status is changed to “Out of Compliance”.

Business Rules: The business rules define the amount of variance allowed between the latest Approved CIP and a compliant Active CIP. The percentages listed in the rules may be adjusted from time to time by DHCD. Following are the rules and percentages expected to be in place when Formula Funding and CIMS are fully implemented.

1. Projected Spending in CIP Year 1 or Year 2: The projected Formula Fund spending for each of these fiscal years should be no more than 20% above the Approved Cap Share for each year.
2. Projected Spending in CIP Year 1 or Year 2: The projectedFormula Fund spending for each of these fiscal years should be no less than 20% below the Approved Cap Share for each year.
3. Total Projected Spending for FISH Projects: The projected Formula Fund spending for all projects assigned to FISH must not exceed the total of Formula Funds awarded to the LHA.
4. Reassignable Formula Funding: Reassignable Formula Funding (RaFF) in the Active CIP is the amount of the Formula Funding Award which has not been used to fund projects in FISHand which is not restricted by ADA, DMH or DDS set-asides. For the Approved CIP the RaFF is the amount of the Formula Funding Award which is not funding CIMS projects assigned to FISH in the Active CIP and which is not restricted by ADA, DMH or DDS set-asides. The amount of RaFF in the Active CIP must be at least equal to 50% of the RaFF in the Approved plan. Changes to the RaFF are generally the result of project cost changes in FISH projects.
5. New Project: New projects added into the Active CIP require review and approval, leading to a new Approved CIP.

Cap: The annual capital spending allowed in the aggregate for DHCD or the annual amount allowed for an individual LHA, as assigned by DHCD.

CDBG: Community Development Block Grant.

CIMS Project: A CPS project that has been imported to the Capital Improvements Management System (CIMS).

CIP: Capital Improvement Plan.

CPA: Community Preservation Act.

CPS: Capital Planning System.

CPS Project: A project created in the Capital Planning System (CPS). It may also refer to a CPS project which has been imported to the Capital Improvements Management System (CIMS).

CR: Compliance Reserve. Funding DHCD has set aside to help with projects required to comply with safety codes and regulations.

CSC: Certificate of Substantial Completion. The date the Certificate of Substantial Completion is issued for a project. At Substantial Completion, the work is ready to be used as intended, although there may still be minor items to be completed. This date is the same as the Finish date for “DHCD approves CSC” in FISH. It’s the Actual date, if there is one. Otherwise, it’s the Scheduled date.

DCD: Design Contract Date. The date the design phase begins for a project. This date is the same as the Finish date for “DHCD approves A/E contract” in FISH. It’s the Actual date, if there is one. Otherwise, it’s the Scheduled date.

DDS: Department of Disability Services.

DHCD: Department of Housing and Community Development.

DMH: Department of Mental Health.

ER: Emergency Reserve. There are two types of ER, LHA ER and DHCD ER.

FF: Formula Funding.

FISH: Financial Information System for Housing, DHCD’s project management system.

FISH Project: Refers to a project entered into the FISH project management system. It may also refer to a CIMS project which has been assigned (linked) to a FISH project.

Funding Disparity: This value is calculated by CIMS for each project. It is equal to the TDC as carried in the Active CIP in CIMS minus the total of all the funding entered into the project detail.

Gatekeeper: A computer system used by DHCD staff for updated project information in FISH.

Hard Costs: These costs are the actual construction contract amount and any change orders. The cost of the building permit is also included when CIMS updates from FISH, although the permit cost may be included in soft cost in CPS.

LHA: Local Housing Authority.

LHA ER: A portion of Formula Funding assigned to the LHA which is held in reserve for emergencies.

Modification: A modification is a change to an Active CIP, such as adjusting dates, TDC’s, or funding in order to keep projected spending within the ranges allowed by the business rules applied to the latest Approved CIP.

NTP: Notice to Proceed. The date the construction phase begins for a project. This date is the same as the Finish date for “NTP issued” in FISH. It’s the Actual date, if there is one. Otherwise, it’s the Scheduled date.

OR: Operating Reserve of the Local Housing Authority.

OTH: A funding source not otherwise identified in the project detail for a project in CIMS.

Out of Compliance: The Active CIP is “out of compliance” when the projected Formula Funding spending violates one or more of the business rules. See definition of “Business Rules” above.

PM: The DHCD Project Manager assigned to the LHA.

PMD: DHCD’s Project Management Director.

Revision: A revision is a change to an Approved CIP, which results in a new Approved CIP. Proposed revisions are submitted by the LHA Administrator to DHCD for approval. Revisions may incorporate new projects, changes to annual Caps, use of LHA Emergency Reserves, and use of DHCD reserve funds.

Role: Every user associated with a CIP has a particular set of responsibilities defined by their role, such as LHA Administrator, Project Manager, Engineer, Housing Management Bureau Director, etc. Different roles have different functions available in CIMS.

SA: DHCD’s System Administrator for CIMS.

Soft Costs: These costs include design and administration. In the CPS budgets permitting is usually included in soft costs, whereas, when CIMS updates with costs listed in FISH, permitting is included in the hard costs.

Status: Every CIP has a status based on where it is in the process flow for CIP creation, modification, revision, and approval. A user moves the CIP through the process flow by changing the status.

SUST: DHCD’s Sustainability Initiative fund for projects designed to improve building efficiencies.

TDC: Total Development Cost. This amount includes all administrative, design, permitting, and construction costs required for the project. TDC is the sum of the soft costs and the hard costs.

WAP: Weatherization Assistance Program.

WO/RFS: Work Order/ Request for Services. The date the DHCD architect or engineer begins to write the Work Order or Request for Services for a project. This date is the same as the Finish date for “Assign in-house A/E” in FISH. It’s the Actual date, if there is one. Otherwise, it’s the Scheduled date.

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III.STATUS: FISH ASSIGNMENT - TRANSMITTING PROJECT INFORMATION TO FISH

A.Following CIP approval by DHCD, the CIP is automatically given the status of Fish Assignment.

B.When the CIP is in the status of FISH Assignment, the DHCD Project Manager (PM) is able to assign projects that are in the Approved CIP to FISH. CIMS will send project information to FISH and FISH will reply with a FISH number. FISH then sets up an initial project budget based on the soft and hard costs carried over from CPS and a schedule based on the DCD in CIMS and a template selected by the PM to correspond with the project budget.

C.When assigning projects to FISH, the PM should work with the LHA and AE staff to combine related CIMS projects into singular FISH projects to facilitate project delivery. Only projects scheduled to begin in the next year or so should be assigned.

D.DHCD Project Managerand Project Management DirectorRoles

1. The FISH Assignment function is available to the DHCD Project Managers (PM), the Project Manager Director (PMD) and the System Administrators (SA) on a separate tab called CIPFISH Assignment.
2. At least one CIMS project must be assigned to FISH before the CIP status can be changed to CIP Active from FISH Assignment. It is recommended that the PM change the status to CIP Active at the conclusion of the first FISH Assignment session. The FISH Assignment function will continue to be available in the statuses of CIP Active and CIP Out of Compliance.
3. To Assign a Project to FISH

a)Go to the CIP FISH Assignment tab at the top of the page.

b)Select the LHA from the CIP Selection pick list. The list includes every CIP in the statuses of FISH Assignment, CIP Active, and CIP Out of Compliance. CIP’s in the status of CIP in Modifications or CIP in Revision, or CIP’s that have been submitted for review and approval will not appear on the list. For PM’s the list will be additionally filtered to show only their assigned LHA’s.

c)Click the <Go> button.

d)Follow the on-screen instructions. You will be asked to select a date template. These are listed with the TDC dollar ranges for defaults, but the PM is able to choose alternative templates based on the assumed project duration. The date templates correspond to the following project durations in months:

Template Name / WO/RFS to DCD / DCD to NTP / NTP to CSC / Total Duration
CIMS A (0-25k) / 2 / 2 / 1 / 5
CIMS B (25-100k) / 3.5 / 6.5 / 2.5 / 12.5
CIMS C (100-250k) / 4 / 8 / 4 / 16
CIMS D (250-500k) / 6 / 10 / 5 / 21
CIMS E (500k-1M) / 6 / 15 / 8 / 29
CIMS F (1M+) / 6 / 20 / 12 / 38

e)Note that assignment is made to only one FISH project at a time; however, multiple CIMS projects may be assigned to one FISH project in a single operation.

f)Upon clicking <Assign Project in FISH> a panel will show the CIMS project(s) number and name. There will be a notice of any business rule violations. These notices are for information only, as violations will not impede the assignment process. Finally, there are text boxes for the project name and category. When assigning a single CIMS project, the project name and category default to the values already assigned to the CIMS project. If multiple CIMS projects are being assigned, the text boxes must be filled in with an appropriate name and category for the combined project.

g)Immediately following assignment of one or more CIMS projects to a FISH project, a new FISH project will be created with a budget based on the CIMS information and a schedule based on the DCD and the template selected by the PM. The PM may then customize this information in FISH.