Paper File Organization

SRF files contain the written documentation needed for project management and state and federal auditing and compliance.
The project files are organized as shown below and filing is generally done by the SRF AA.
       Section I – IUP Application
o   IUP Application and amendments
o   EPA 4700-4 Form, signed by Region 7 (this was discontinued in 2015)
o   Property assurance form signed by Applicant
       Section II – SRF Correspondence
o   MBE/WBE reminder letters
o   MBE/WBE utilization reports
o   Consultant certification of project completion
o   Written notice of works in operation
       Section III – Contracts
o   Award concurrence letter and bid review checklist
o   Approved change orders
o   Bid docs packet
o   Notices to proceed
       Section IV – Project Management (Technical Review)
o   Construction permits
o   Facility plan approval
o   Inspection reports
o   DWSRF viability assessment
       Section V – Environmental Review
o   FNSI or CX approval letter
o   FSNI or CX
o   Environmental Information Document (EID)
o   Clearances and correspondence
o   Public hearing publication and minutes
o   Lead agency agreement form
o   Archeological or architectural history reports (insert in Confidential folder as needed)
Paper File Management
The key to file management is knowing where the files are and how anyone can access them at any time. These procedural guidelines are intended to help keep track of files at the various stages of project management.
Pre-IUP Application:
       During the planning stage, before the Intended Use Plan for a Clean Water SRF project is received, the project documents are kept in a file folder at the DNR Project Manager’s desk. This sometimes also applies to DWSRF projects.
SRF File:
       CWSRF: When the Intended Use Plan application is received and the project is assigned a CWSRF number, the SRF AA creates an SRF file folder and transfers the materials from the project file folder.
o   The SRF AA registers the file with the Records Center.
o   The SRF AA checks out the file from the Records Center and puts it in the DNR Project Manager’s cubicle.
o   The location of the file must be tracked with the SRF AA and the Records Center any time it is moved.
       DWSRF: When the IUP application is received, SRF AA creates an SRF file folder and provides it to the DNR Project Manager.
o   DNR Project Manager keeps the file either at his or her desk or in the file drawer assigned.
       The SRF AA is responsible for filing the SRF materials in the file, in the right order and in the appropriate section (see File Organization).
Environmental Review Documents:
       During the ER process, the ER Specialist keeps documents in a file folder at his or her desk.
       When the ER process is complete (FNSI or CX cleared and final letter sent), the ER Specialist organizes the ER materials in the file folder and provides the documents to the DNR AA.
       ER Specialist specifies to SRF AA any confidential material that must be filed in a separate red file folder in the SRF file.
       SRF AA inserts the ER materials into the SRF file in the ER Section, creating a red confidential folder as needed.
       SRF AA returns the SRF file to the DNR Project Manager or the Records Section as needed.
Paper Records Retention
Records retention is governed by State law and regulations and by schedules approved by the State Records Commission. There are two schedules for SRF files: one for active projects, and one for dropped projects.
Con 11-33-01.S1 “Dropped or Withdrawn State Revolving Fund Files”:
       Retention scheduled approved by State Records Commission on May 2, 2013.
       Prior to date the SRF application is rescinded and the project becomes dropped or withdrawn, the file is managed under the active projects process (See File Management).
       Date rescinded is the date shown in a W/Wisard note that the project is dropped.
       File stays in the Records Center (CWSRF) or Water Supply section (DWSRF) for three years after date rescinded, then is destroyed.
Con 11-33.S1 “State Revolving Fund Files”:
       Retention schedule currently being updated to increase retention time to up to 30 years depending on the loan term. Originally approved January 12, 2006.
       Prior to date of final loan payment, the file is managed under the active projects process (See File Management).
       CWSRF: After the date of final loan payment, the file is moved to the 3rd floor Wallace Building Records storage area. After three years, the file is moved to the State Records Center for between 17 and 27 years, depending on the loan term.
       DWSRF: After the date of final loan payment, the file is retained in the Water Supply Records storage area on the 2nd floor Wallace. After three years, the file is moved to the State Records Center for between 17 and 27 years, depending on the loan term.
       At the end of the total of 20 to 30 years retention schedule, the file is destroyed.
Electronic Files
Electronic files specific to the SRF programs are stored on the DNRSHARED ((\\dnrdsmfs01) (F:) State Revolving Fund drive on the DNR network. These files are readable to all SRF staff and writeable with permission.
Project Files on the SRF drive:
       State Revolving Fund - Projects
       - Clean Water OR - Drinking Water OR - Other – Green Infrastructure
o   -Name of Applicant
o   - Project by SRF Number
o   - Contract Documents
o   - Environmental Review Documents
       - Sponsored Projects
o   Includes applications, tracking spreadsheets, technical assistance contracts, project folders.
       ER Tracking– list of projects active in the Environmental Review Process.
       CWSRF Project Master List – Excel spreadsheet showing all loans except some nonpoint source projects.
       DWSRF Project Master List – Excel spreadsheet showing all loans.
IUP Files on the SRF drive:
       State Revolving Fund - IUP
       Organized by state fiscal year.
       Each fiscal year folder includes two folders (DWSRF and CWSRF) containing the scanned IUP applications and P&D applications.
       Also included are draft and approved IUPs (Word and PDF), EPC agenda items, and information used to develop the IUPs. Also included are any EPA guidance documents for the period.
       There are two spreadsheets which are maintained per state fiscal year: “CWSRF FYXX Project Loan Application Status” and “DWSRF FYXX Project Loan Application Status.” The purpose of these spreadsheets is to track project status throughout the fiscal year. The spreadsheets use codes to characterize projects as “planning,” “ready for loan,” “contingency,” “dropped,” and “loan.”
       SRF AA and DNR SRF Coordinator enter data into and maintain the current fiscal year project spreadsheets.