Overview
Schedules are reports or other deadlines imposed upon a regulated entity as a condition of a permit, compliance action, or project (a "source record"). Schedules broadly apply to either submitted reports (e.g., an annual emissions summary report) or notifications (e.g. notify the agency when construction begins or ends). Schedules are added to a source record as part of the drafting process. Schedules are tied to forms which can then be completed and submitted by the regulated entity through the nVIRO system and routed to the appropriate workgroup or user for review. The agency can then review, reject, and request resubmission of revised schedule submissions.
Schedules are added to schedule groups. In turn, submission versions are submitted against each schedule. The diagram below illustrates the relationship between schedule groups, schedules, and submission versions:
Schedule Groups
Schedules are always added as a schedule group. A schedule group is a list of one or more related schedules. Groups provide an easy way to categorize schedules which becomes convenient when many schedules exist of a given functional area item. Schedule groups can also be copied from one item to another.
Schedule Types
A schedule is defined by a schedule type. Schedule types are defined by system administrators. For example, a schedule type might be "Construction Progress Report". The schedule type name becomes the schedule name, but can be overridden on a case-by-case basis. For example, the schedule may be named "Treatment Unit Construction Progress Report". While the name changes, the underlying schedule type drives the behavior of the schedule, such as the form to display when a schedule is filled out, whether or not to create a violation when a schedule is not submitted by its due date, or whether or not the schedule requires approval by the agency, for example.
Schedule Due Dates
Schedules anticipate the submittal of some information by a regulated party at some point in the future. When a schedule is created, the appropriate due date behavior is established. Schedules can be configured as follows:
As needed (one time) - the schedule is not due on any particular date and is therefore never considered late. Once it is received, the regulated party will not need to submit it again. For example, a schedule could be set up for a regulated party to notify the agency that construction has begun.
As needed (recurring) - the schedule is not due on any particular date and is therefore never considered late. The regulated party may have to send this report many times. For example, this due date type would be used for a schedule that requires a regulated party to submit a report each time a specific event occurs. When an As needed (recurring) schedule is submitted, a new schedule is immediately created and made available for submission. Starting with release 2021.02, when an As needed (recurring) schedule is initiated, a new schedule is immediately created and made available for submission. This allows for multiple draft submissions of the same schedule type, without having to wait for an earlier schedule to be completed and submitted.
Specific due date - the schedule has a specific due date. It is considered late if not received by the due date. Whether or not a violation is created depends on the configuration of the schedule's underlying schedule type.
Triggered due date - the schedule will have no due date and will not be available for submittal until a triggering event occurs. Trigger events can be one of the following:
Received Date - the received date of a triggering schedule,
Decision Date - the review decision date of the triggering schedule, or
Received Date Override - the manually-entered received override date of a triggering schedule.
Triggered Dates
When adding a schedule with a Triggered due date to a form set or schedule group, at least one schedule must already exist in the form set/schedule group. This means that it's necessary to first save the form set/schedule group before any of the schedules within that group can be set to a Due Date Type of Triggered.
Specifying Override Date as the Triggered Date
Specifying Received Date Override should be used with caution. Schedules using Received Date Override will never be triggered if this date is not entered on the triggering schedule.
Recurring (Repeating) Schedules
Schedules can be set to repeat on a regular interval, such as a due date of the 30th of every month. In order for a schedule to be recurring, it must have a due date type of either specific due date or triggered due date. Recurring schedules can be set up for a specific number of occurrences, or can be set to repeat in perpetuity for as long as the parent item is active (such as an effective or extended permit).
Schedule Permissions (Managing Schedule Groups, Schedules, and Submission Versions)
Schedules are typically added to or removed from a source record before it has been made active. Users with edit access to the record prior to activation may edit its schedules.
After the source record is activated (e.g., a permit is issued), the schedules are locked from further adjustment, with a few notable exceptions:
Managing Schedule Groups on an Active Source Record
A schedule group can be added to a source record if the current user has administrative rights.
A schedule group can be deleted from a source record if the following conditions are met:
the current user has administrative rights,
none of the schedules in the group have associated violations, and
none of the schedules in the group have any draft or submitted submission versions.
Managing Schedules on an Active Source Record
A schedule can be added to a schedule group if the group is configured to allow adding new schedules to the group after its source record is activated.
A schedule's Due Date can be changed if the following conditions are met:
the schedule is configured to allow adjustment of the due date after the permit is activated,
the permit is in an Active status, and
the current user is the compliance manager.
A schedule can be deleted from a schedule group if the following conditions are met:
the current user has administrative rights,
none of the schedules in the group have associated violations, and
none of the schedules in the group have any Draft or Submitted submission versions.
If the current user does not have rights to delete a schedule that is no longer needed, it may be possible to update the status of the schedule from "Not Submitted" to "Withdrawn".
Managing Submission Versions on an Active Source Record
Submission versions are an instance of a received report related to a schedule. Since a report can be revised and resubmitted, nVIRO supports multiple submission versions over time.
A submission version can be added to a schedule if the current user has rights to manage the associated schedule (such as being the assigned processor) and a draft nFORM submission version does not already exist on the schedule.
A submission version can be deleted from a schedule if:
the current user has permissions to edit the schedule,
the version is the highest (latest) available,
the Receipt Type is either "Paper" or is a draft nFORM submission created by an internal (agency) user, and
no Decision has been entered.
Routing and Processing Schedules
This section describes schedule behavior when a new schedule submission is received.
Routing a Schedule for Review
Received schedule submissions can be configured to be routed to different workgroups and users.
The default behavior is as follows:
Permit schedules are routed to the permit's assigned permit compliance manager.
Compliance Action schedules as are routed to the Compliance Action's assigned processor.
Project schedules are routed to the Project's assigned project manager.
Schedule submissions are never routed to the "Submissions - InBox" screen.
In the event that the schedule is associated with a permit, compliance action, or project that does not have a user assigned to one of the roles above, it will not be assigned. This should be avoided by ensuring that all records have an assigned processor, as the schedule many never be reviewed or acknowledged by the agency.
The default routing rules can be overridden on a form-by-form basis, such as when a schedule of a certain type is always reviewed by a specific workgroup or user. Custom routing can be configured on the Workgroup Routing tab on the Form Edit screen to specify the appropriate workgroup/user.
Processing a Received Schedule
Once a received schedule submissions are routed to an assigned user, it will appear in the assigned user's My Tasks. The assigned user can then set the Decision on the schedule. Depending on how the schedule is configured, the decision options will either be Acknowledged, Approved, Not Approved, or Not Approved - Closed.
If a schedule is set to "Not Approved", a Resubmittal Due Date can be supplied. This new date is not used for compliance purposes. The schedule will still be considered overdue if an approvable submission is not received before the schedule due date.
Setting a schedule to "Acknowledged", "Approved", or "Not Approved - Closed" will set the schedule submission's status to "Complete" and the schedule will be considered closed.
If a schedule decision is set to "Not Approved", the schedule submission record stays "In Process", allowing the submitter to revise and resubmit the schedule.
Automatically Setting a Schedule Decision (No User Intervention)
nVIRO can be configured to automatically set a schedule decision based on information provided by the submitter in the form. This is useful for high-volume submissions that the agency does not want to review one by one. Another example where this is useful is if an initial and final report are required (such as sewer overflow reports).
For forms configured for automated review, a new decision type of "Requires Resubmission" is available. This decision behaves the same as the "Not Approved" decision type in that the submission remains "In Process" and the submitter can revise, correct, and resubmit.
Enabling this capability requires special setup in the design of the schedule form. Contact a configuration expert for assistance in setting up the schedule form if this is needed.
Schedule Evaluations and Violations
Every schedule has an associated evaluation record. The Evaluation stores any violations that have been identified related to the schedule. A late violation may be generated automatically if an un-approvable schedule submission was not received by the schedule due date. The reviewer may also choose to record additional violations that were identified in the course of reviewing the schedule submission.
Schedule Statuses
Schedules have a life cycle, largely tracked by status. Like other records, each status falls into a broader category of Draft, Active, or Closed. The following table lists the available schedule statuses:
Status Description | Status Category | Special Considerations |
|---|---|---|
Not Available | Draft | The schedule is not available to be submitted yet. This is because the trigger condition has not yet occurred or the parent functional area item is not yet active, such as if the schedule is attached to a draft permit. |
Not Submitted | Active | The schedule is active, but not has not yet been submitted. The schedule may be attached to a submission that is in Draft status. |
Received | Active | The schedule is active and has been submitted, but the submission has not yet been reviewed or evaluated by the agency. The submission form associated with the schedule is "In Process" at this time. |
Approved / | Active | The schedule is active, has been submitted, and has been reviewed by the agency. At this point, the status reflects the decision made by the agency upon assessing the content of the schedule submission. The schedule is available for revision and resubmission by the external user. |
Not Approved - Closed | Closed | The schedule was submitted, has been reviewed and a decision was rendered to not approve the schedule. The conditions are such that the reporter cannot correct the deficiency though a revision, so the schedule is closed. |
Closed | Closed | The parent item has been inactivated (such as a permit termination), so any schedules without a due date or due after the item's inactive date are set to closed |
Schedule Behavior with Closed or Superseded Permits
For permits, schedules are shared across permit revisions (e.g., v1.0 and v1.1). The same schedules will be visible when looking at a permit version, regardless of revision number. Therefore, existing schedules will remain active when a permit is superseded by a newer permit revision.
When a permit version is inactivated (Terminated, Superseded, etc.), then any unsubmitted schedules that were due before the permit's Terminated/Inactive Date will remain active. In other words, nVIRO assumes that the schedules are still due and subject to compliance even after that permit version.
Recurring Schedule Behavior with Extended or Expired Permits
For Extended or Expired permits, recurring schedules are created nightly for schedules that are due up to 6 months after the current month. For example, if an annual report is due 7/15/2021, its schedule will get created on 1/1/2021.
Copy Existing Schedules During Change of Ownership
When a change of ownership happens, the existing schedules and due dates are maintained. The transfer capability is available only when a new permit is being created, not on a modification. This feature was built specifically when the schedules needed to be transferred across permit numbers for a transfer-of-ownership scenario. This configuration setting is located in the Administration Menu under Lookups > Permit Category.
After the “Allow Transferring Schedules Between Different Permits” box is checked, a new button appears when viewing an In-Process Permit Schedules tab, stating "Transfer Schedules Group(s)."
When clicked, user is presented with a list of active or in process permits on the same site, that are not superseded by the currently in-process permit. The User has the opportunity to select permits from which to transfer schedules. Audit history record is created on both source and target permit listing the name of the schedule group transferred and the source and target permit number
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