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CEOS Agency Portal-Admin Guide

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CCEEOOSS AAGGEENNCCYY PPOORRTTAALL –– AADDMMIINN GGUUIIDDEE

Colorado Department of Public Health and Environment (CDPHE)

Version: 1.0

July 22nd, 2016

1368 How Lane

North Brunswick, New Jersey 08902 www.enfotech.com

http://www.enfotech.com/


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TABLE OF CONTENTS 1 CEOS OVERVIEW ................................................................................................................................ 3

1.1 DEFINITIONS, ACRONYMS, AND ABBREVIATIONS ................................................................................. 3

1.2 PREREQUISITES ................................................................................................................................ 4

2 BUSINESS PROCESSES OVERVIEW ................................................................................................. 4

2.1 ACCOUNTS AND SECURITY MANAGEMENT .......................................................................................... 4

2.1.1 Public Account Creation .......................................................................................................... 4

2.1.2 CDPHE to Create New User Accounts to CDPHE Staff ......................................................... 5

2.2 SUBMITTAL MANAGEMENT ................................................................................................................. 6

2.2.1 Review Submittals ................................................................................................................... 6

2.2.2 Review and Track Projects ...................................................................................................... 7

2.2.3 Entity Search ........................................................................................................................... 8

2.3 SUMMARY OF SYSTEM ACTORS & BUSINESS GROUPS ...................................................................... 10

2.4 OVERVIEW OF DATA FLOW BETWEEN CEOS & OTHER SYSTEMS ...................................................... 12

3 SYSTEM SECURITY MANAGEMENT ................................................................................................ 13

3.1 MANAGING USERS .......................................................................................................................... 14

3.2 MANAGE ROLE & PERMISSIONS ....................................................................................................... 15

3.3 MANAGE BUSINESS GROUPS SETUP ................................................................................................ 16

4 SYSTEM CONFIGURATION MANAGEMENT ................................................................................... 18

4.1 CONFIGURE SUBMITTAL PROPERTIES............................................................................................... 18

4.2 CONFIGURE SYSTEM ENVIRONMENT ................................................................................................ 20

4.3 MAINTAIN & UPDATE REFERENCE DATA ........................................................................................... 22

4.4 MANAGE WORK FLOW SETUP .......................................................................................................... 22

4.5 KEEP TRACK OF SYSTEM LOGS ....................................................................................................... 23

5 OTHER HELPFUL INFORMATION .................................................................................................... 23

5.1 AGENCY USER GROUP SETUP ......................................................................................................... 23

5.2 PERMIT STATUS DESCRIPTIONS ....................................................................................................... 27

5.3 SUBMITTAL STATUS DESCRIPTIONS ................................................................................................. 27

5.4 INSPECTION STATUS DESCRIPTIONS ................................................................................................ 29

6 APPENDIX ........................................................................................................................................... 30

6.1 WATER QUALITY CONTROL DIVISION WORK FLOW ........................................................................... 30

6.1.1 Construction Stormwater Permit ........................................................................................... 30

6.1.2 Construction Dewatering or Ground Water Remediation Permit .......................................... 31

6.2 AIR POLLUTION QUALITY CONTROL DIVISION WORK FLOW ............................................................... 32

6.2.1 APEN – Condensate Storage Tanks ..................................................................................... 32

6.2.2 APEN – Reciprocating Internal Combustion Engines ........................................................... 34

6.3 GRANT AND LOAN DIVISION WORK FLOW ......................................................................................... 35

6.3.1 Online Forms ......................................................................................................................... 35

6.3.2 Workflow for Fund/Loan Application ..................................................................................... 38


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1 CEOS Overview CEOS is a CDPHE Portal to provide the one-stop interface to allow the regulated community to submit information to CDPHE, and also to support the general public to query environmental data of their interests.

(A) For CDPHE:

CEOS will serve as a central platform for the CDPHE to review submission, permit management, compliance monitoring, and agency performance monitoring. Currently CEOS supports these functions for the CDPHE Air Branch and Water Branch with the ability to add additional branches as needed. CEOS offers the agency users the following functionality:

Review submissions and track status at every step of the work flow

Approve or deny submissions

Manage permit status and issue permits

Create and accept paper submissions

Manage inspections and results

Provide performance metrics reporting tools

Manage public and agency users

(B) For the Regulated Community:

CEOS will serve as a central platform for the facility to manage permit submittals, permits, reporting requirements, and compliance reports. CEOS offers online options for a wide spectrum of submittals, including:

Environmental Permitting o Apply new permits o Amend/Modify permits o Renew permits o Terminate permits

Project o Submit project submittals o Complete submittal obligations through dashboard

1.1 Definitions, Acronyms, and Abbreviations

This subsection provides the definitions of all terms, acronyms, and abbreviations required to properly interpret the System Configuration Document.

Term Definition

CEOS Colorado Environmental Online Services

WQCD Water Quality Control Division

APCD Air Pollution Control Division

FIS Facility Identification System

CBR Clean Water Benefits Reporting System

RO Responsible Official

ESA Electronic Signature Agreement

HAP Hazardous Air Pollutants


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1.2 Prerequisites

In order to use the CEOS system, the user will need the following:

Internet connection

IE 7.0 or higher

PDF file Viewer (for viewing PDF files only)

2 Business Processes Overview Having a clear understanding of the business process is necessary in order to utilize the administration controls properly. The administrator has the ability to customize several different processes that are used by the users. This section provides a high level system overview of entire submittal submission and management process which include:

Account creation

Submission and permit management

Inspection management

2.1 Accounts and Security Management

CEOS manages two types of users – agency users and public users. CEOS provides separate portals for each user to login to handle each user’s responsibility. The public user are given the responsibility to submit permit submittals while the agency users are responsible of reviewing the submissions in a timely fashion. This section details the various processes in creating and managing accounts in CEOS.

2.1.1 Public Account Creation

The diagram below outlines the steps necessary to create and activate a public account.


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2.1.2 CDPHE to Create New User Accounts to CDPHE Staff

In order to access CEOS-Agency site, the CEOS-Admin must establish an account for the person. CEOS adopts the Role-based security model to manage data access for each CDPHE user.

The “role based” security module is similar to the Windows operating system. The system security is enforced through the use of Roles and Business Units. User roles are used to define data access privileges, for all users within a business unit, to modules, functionalities, and controls. A business unit is a functional group that defines the types of data and system functions the group should be interfacing with.

Security Model:

Role-based security Permission set for each role is defined by the Administrator A User can have many roles and belong to multiple business

units

User Security Management:

In CEOS, user’s ability to access and use specific modules, pages, and buttons / data entry controls is defined by the system’s “Submittal Role”. In “System Configuration” module, system administrator has the ability to define

Desired submittal role For a selected “Submittal Role”, define what specific

modules, pages, and buttons / data entry controls are set to disabled

For a selected user, link applicable “Submittal Role” to the user

Three (3) Easy Steps to Manage User Account and Security:

Step 1: Create “Roles” or “User Group” (for example, permit writer, permit supervisor, inspector, data entry clerk, etc.)

Step 2: Grant permissions for each Role or User Group

Step 3: Create a User Account. Assign “Role(s)” to the user. The user will automatically have “permissions” granted to the “roles”

Process Diagram for a CEOS Admin to Establish an Account for a CDPHE Staff:


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2.2 Submittal Management

2.2.1 Review Submittals

Currently CEOS handles Water Quality Control Division, Air Pollution Control Division, and Grant and Loan Unit submissions. Since these submissions can each have a different process, it is important to note how their workflows differ. The below chart and diagram displays a high level description of how submittals are processed utilizing the CEOS system for these branches. The steps below can be used as a walk through for CDPHE Staff:

Step 1: When a new application is submitted, CEOS will first assign the submittal to authority users based on their associated groups.

Step 2: The assigned user will determine a submittal type of the application.

Step 3: One application can belong to only one submittal type. The resulting work flow for that application will be the work flow of the selected submittal type.

Step 5: At each step, the following minimum data elements will be tracked:

a. Due date

b. Staff Assignment

c. CEOS Application Status

d. Task Status (scheduled, completed, overdue, cancelled)

e. Approval / Denial decision

f. Date of completion (default to current date by system)

g. Comments

h. Reassignment, if needed

i. Need to record dates of when requests for additional info are received.

Step 6: For over-due task(s), System will send email notification to the Staff assigned.

User is able to change submittal type during a review process. In this case, work flow of “old” submittal type will be cancelled; “new” submittal type will trigger new work flow.


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High Level Business Process for Submittal and Permit Management

2.2.2 Review and Track Projects

After successful submission, Applicant is able to keep track of the submission status of each submittal. The submittal can be tracked using the following steps:

Create a New Project:

Step 1: User is able to create a new project through Project > Project Search > New Project

Step 2: Enter Project Basic Information. Based on the Project Type selected, project phases will be auto-generated based on the pre-defined template.

Step 3: Go to Phase tab to edit project phase general information, and change phase sequence if necessary

Step 4: Click Edit button to edit project phase detailed information

Step 5: Click on “Associate Submittal” to associate existing submittal with the project phase.

Project Name, Phases, Submittal, Milestone, and Work Tasks is displayed as a tree-view on the left-hand side of the page. Click on each level, the corresponding detailed information will be displayed on the right-hand side of the page.


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Manage an Existing Project:

Go to Project > Project Search to search an existing project by Project Name, Project Type, Project Status, Project Manager, Facility ID, Facility Name, Environmental Interest

Project Name, Phases, Submittal, Milestone, and Work Tasks are displayed as a tree-view on the left-hand side of the page. Click on each level, the corresponding detailed information will be displayed on the right-hand side of the page.

General Information, Phase, Submittal, Work Activity Info, and Documents tabs are available in Project Level.

Phase, Submittal, Work Activity Info, Documents tabs are available in Phase Level.

Submittal ID, submittal name, processing start date and due date are displayed in the tree-view for each submittal. User can manager all submittal detailed information in submittal level.

Milestone name and processing start date and due date are displayed in the tree-view for each milestone. User is able to create ad hoc work task in Milestone level by click on “New Work Task”.

Complete Date, Status, Task name, and Due date are displayed in the tree-view for each work task. Work tasks are color-coded based on task status. User is able to manage task detailed information in Work Task level

Project Gantt Chart is available for CDPHE users

2.2.3 Entity Search

Originally, Agency User can only access submittal/issuance, inspection, and violation data through Submittal, Inspection, and Violation modules, respectively. Entity Search Module allows Agency User to access such data entries in the manor of (regulated) entities.

Step 1: On the first page of Entity Search module, multiple search criteria will be provided, including:

For Facility/Property: Entity/Property ID, Entity/Property Name, Environmental Interest, Street Number, Street Name, Street Type, City, County, State, Zip Code

For Individual: License/Permit No., First Name, Last Name, Federal Employee No., License Type, License Status, Street Name, City, State, Zip Code

Step 2: Click on Search button, then a list of entity search results will show in a grid.


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Step 3: Select a desired entity record, then a tree-view will show on the left hand side of the page and three tabs, Submittal, Issuance, and Inspection will show on the right hand side of the page

Step 4: The tree-view is presented as a five-level Hierarchy: Entity Name, Submittal/Issuance/Inspection, Environmental Interest, Submittal Type, Submittal/Issuance/Inspection ID. For a renewal or revision submittal, it will be listed under the original submittal.

Step 5: Click on the highest four levels in the tree-view, the corresponding search results will show in a grid on the right hand side of the page. Click on the fifth level in the tree-view, the detailed page of the selected record will be displayed, and Agency User is able to edit the information from this page without redirecting to Submittal/Inspection/Violation modules.


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2.3 Summary of System Actors & Business Groups

In addition to understanding the business process, it is important to understand the system design so that the administrator can have a clear understanding of how the system interoperates with CEOS users and other systems. This section will outline two specific topics:

System actors and business groups

Data flow between CEOS and other systems

One of the key tasks for an administrator is to understand the role of each type of users. Actors are people who interact with the CEOS system. An actor is not specific to a person, instead is a role with certain work responsibilities or privileges to access the CEOS. The table below lists the types of users and their responsibilities that will be utilizing the CEOS system.

ID Actor Name Responsibilities

Public Roles

1 Responsible Officer (RO)

-Prepare and submit an application form -Apply, amend, renew, or withdraw permits -Manage permit/grant applications and permit/grant information -Manage User account and contact information -Use the system on a regular basis for data entry/query, correspondence, tracking application review status

2 Consultant/Preparer (Prepare-only) -Prepare an application form -Use the system on a regular basis for data entry/query, correspondence, tracking application review status

3 Viewer (View Only) -View a submittal form

Agency Roles

1 Work Group Leader Provides oversight to a team of agency personnel working on a particular project or activity


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2 Unit Leader (PM1)

-Manages and supervises a team of three or more agency personnel in a division or office that has been established as a defined management unit with one or more established responsibilities -Reviews and signs permits, licenses, or correspondence based within assigned level of authority

3 Section Manager (PM2)

-Provides oversight to a section in a division or office that comprises two or more units -Reviews and signs permits, licenses, or correspondence based within assigned level of authority

4 Program Manager (PM3)

-Provides oversight to a program in a division or office that usually comprises two or more sections and/or units -Reviews and signs permits, licenses, or correspondence based within assigned level of authority

5 Division Director (PM4)

-Oversees and is responsible for all activities of an environmental division -Has the authority to hire personnel and make decisions that affect pay, tenure, and status of division employees

6 Administrative Assistant/Technician Recordkeeping and management of incoming and outgoing documents and correspondence

7 Engineer

-Reviews applications, facility designs, compliance work plans and other documents -Corresponds with facilities to address submitted document deficiencies

8 Permit Writer - Develops draft permit

9 Records Manager -Person in a division or office who maintains the retention and storage of organization's office records -Handles open records requests

10 Inspector -Conducts compliance inspections and compliant investigations -Generates inspection reports

11 Duty Officer

-Serves as point of contact for calls into department emergency spill line -Makes appropriate internal and external emergency notifications

12 Chief Fiscal Officer Oversees all fiscal activities in a division or office, including developing budgets, preparing fiscal notes relative to possible legislation, and developing expense reports

13 Project Manager

Responsible for defined aspects of project delivery; leading and directing cross-functional teams; plans, coordinates, implements and finalizes projects according to specifications, rules, and deadlines


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14 Local governments/jurisdiction

-Provide comments to Agency; Issues land use permits in accordance with local ordinances -Seeks funding for water and wastewater projects -Public water systems, wastewater systems and/or storm water systems may be regulated by department -Issue land disturbing permits in accordance with local laws, rules, ordinances, codes, etc.

15 Environmental Protection Specialist Staff level technical position that can be responsible for a number of duties, including permit writing and compliance oversight

16 Watershed Planning and Management Agencies

Provides comments to agency

17 State Contractor Conducts work on behalf of the state agency, including the collection and assessment of environmental monitoring information, modeling, permit writing, and remedial work

18 Financial analyst

Provides financial operations support to the Finance Department; Reviews and processes project requisitions; Prepares and reviews credit analysis of loan applicants; analyzes and monitors loan covenant compliance for loan portfolios; Assists in negotiations with potential borrowers

19 Credit Analyst Analyzes financial capacity of applicants based on annual financial statements, budgets and technical data. Coordinates funding alternatives

20 Grant Evaluation Committee Member Access submitted grant application materials; Evaluate applications; Submit scores and comments

21 State Administrator Program person with rights to create and update forms as well as make changes on portal pages

2.4 Overview of Data Flow between CEOS & Other Systems

CEOS is an extremely flexible system that allows data to be called upon or retrieved by other systems through web services. This lets the administrator decide on who should be able to retrieve data and what type of data needs to be retrieved, allowing CEOS to adjust dynamically based on new requirements. Currently CEOS has data flow between five different systems. The five different flows are found below in chart and diagram:

ID API Provider API Consumer Process

1. FIS CEOS

CEOS searches existing facility data from FIS Master Inventory

CEOS to push updated Facility information to FIS

2. Records Manager (RM)

CEOS

CEOS to push submittal document to RM

CEOS to push final document to RM, get RM record ID and document URL link

3. Aquifer CEOS CEOS call Aquifer to get next Permit #

CEOS to push submission package to Aquifer

4. CACTIS CEOS CEOS to call CACTIS to get next Permit # for new submittal


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ID API Provider API Consumer Process

CEOS to call CACTIS to get permit data for permit to be modified (pilot project)

CEOS pushes final submittal package to CACTIS

5. CBR Plus CEOS CEOS to push final loan/grant submission package to CBR Plus database

3 System Security Management Configuring the security settings for users correctly will prevent unauthorized access and provide the correct visibility for the system users. The system administrator has several features to help them manage the security of their system. The system security management includes:

Managing users

Managing role and permissions

Managing business group


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3.1 Managing Agency Users

Often times a user’s account will need to be accessed to change certain information. The user account may need to be set to inactive to prevent the user from logging in to even resetting a password for a user. Users are managed in two separate groups – system users and public users. The agency user interface manages the user on the agency side. From the ‘System Setting’ tab, the user can enter the ‘Agency Users’ module. From here, the administrator can view all the user accounts in the system. In the grid view, the user can delete user accounts by clicking

the icon.

The administrator can use the search tool bar to filter out users. The administrator can either search by the username, status, or filter by the security group. If the administrator needs additional parameters to filter users, the administrator can use the ‘Advanced Search’ option. This gives them the ability to search users by first name, last name, e-mail, and if the user

was accepted. By clicking on the icon, the user detail will be displayed. From this menu, the user can edit the user’s general information to their group and roles. The administrator can remove the user from any group they are currently associated with by clicking

on the icon. The opposite is true when the administrator clicks the ‘Associate Groups’ button. This will prompt a menu where the administrator can associate the user to multiple groups.

The administrator can also add new users by clicking on the ‘Add New’ icon. The administrator will be prompted to enter the user information


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After all the general information has been filled, the administrator can choose a username for the user. The default status is set as ‘Active’ but the administrator can also set the status as ‘Inactive’. If the status is set as ‘Inactive’, the user will not be able to use their account. The account settings has an additional indicator that states if the account is approved or not. This assists in the filtering of users that have not yet had their accounts approved. The user has to then be assigned a grouping. The group is an extremely important aspect in CEOS and will be explained in the later sections.

To finalize the account creation, the administrator has to click the ‘Save User Info’. By saving the user, the account will be created and the group/role association menu will appear.

The groups will provide visibility for its members but without a role associated, the user will have no rights within the group. Please refer to section 6.1 to see the current grouping and role methodology used.

3.2 Manage Role & Permissions

Permission Group Management will limit features accessible to the user assigned to a specific role. The ‘Permission Groups’ gives the administrator the ability to change the role names and description. Additionally, the administrator can delete user roles in this section rather than having to go into every single user to remove their roles. The administrator can also associate users by clicking on the ‘Associate User’

button. By selecting the icon, new roles can be created.


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The permission group set defines what each user has access to which is based on how the user permissions are configured in the ‘Permission Groups’.

Permission group plays an intricate part in governing security. In this section, the administrator can create new role permissions if they decide a new role is needed with specific accessibility to system actions.

The user can delete specific controls by clicking on the icon. The ‘Page’ column provides a reference of where the particular control is located. Each control has its own name and process name to allow the administrator to differentiate the controls.

By clicking on the ‘Add Screen/Controls to Restrict

Privilege’ under Permission – Screens/Controls, the user can search controls based on the location. The user can then batch add controls by clicking the check box of the selected controls

and selecting ‘Ok’.

3.3 Manage Business Groups Setup

The administrator can effectively control user visibility in CEOS if the administrator has a systematic grouping methodology. The current grouping methodology can be viewed in section 6.1. In this menu, the current groups can be configured, deleted, and current configurations set.

By clicking the icon, new groups can be added. To add a sub-group, select the group the sub-group will be added to.


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The child group can now have users associated by clicking on the ‘Associate Users’ button. The Group Data Set will control the data the group will be able to view. In this scenario, the child group is under the Air Protection Branch main group which would mean that the users in this group should be able to see CAA related data. In that case, the CAA should be selected and the information saved by clicking the ‘Save Group’.

The list of current data sets are:

Inspection Category: Manages whether the group has access to water or air inspection records

Form: Controls which submittal forms the group can access

Report Type: Manages the type of reports the group can see

Inspection Type: Manages the inspection type the group can access

Submittal: Controls which submittal type the group has access to

Query: Allows the user to query the database under reports

Report Folder: Determines which reports the user has access to base on which folder the reports are in

3.4 Manage Public Users

This section details how an agency user can manage any public user acccount information. In ‘Public User Management’, user will see four tabs: ‘General Information’, ‘Manage Account Type’, ‘Manage Account Association’ and ‘Attachment’.

In the ‘General Information’ tab, the agency user can specify contact information, mailing address and billing address for any public user.

In the ‘Manage Account Type’ tab, the agency user can change account group and account type for a public user. If the public user is assigned as a RO, the agency user will be able to edit associated facility for any RO public user under ‘Associated Facility List’.

The ‘Manage Account Association’ tab allows the agency user to manage account association. And the ‘Attachment’ tab will allow users to upload documents for identity proofing; such as the ‘Subscriber Agreement’ or other documents that they would like the agency to be able to view. This can range from the ‘Subscriber Agreement’ to ‘Testing Data’.


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4 System Configuration Management The administrator is given complete control in how the system operates. It is possible that on occasions the system settings will need to be modified due to new requirements. The settings can be broken down to:

Submittals

System environment

Reference data

Work flow

System log

4.1 Configure Submittal Properties

The system allows for the administrator to modify the configurations of the submittals available in CEOS so that items may be added or modified based on new requirements. The administrator can configure submittal aspects that include:

General information

Types of documents needed to be uploaded

Message templates

Submittal properties

Subsystem connection

The administrator can select which submittal type they want to modify.

Once selected, the user can change the submittal name, code, and status. By setting the status as ‘Inactive’, the submittal can no longer be accessed. Further selections can be made such as which program the submittal should belong to, along with other categories

The submittal image can be changed from this section.


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From this section, general information of where supporting documents need to be mailed, faxed, or paid can be edited. This is where the information will be pulled for auto-fill reasons during permit submittal processes by public user

In the package setting, the administrator can configure the attachment portion of the submittal, fee, inspection, issuance, and reviewer. The administrator can configure if an attachment is required, add additional attachment types, what types of files can be uploaded, and set its requirements.

Under the ‘Issuance’ tab, the administrator can set trigger conditions and set restrictions.

The ‘Form Setting’ tab allows the administrator to control individual sections of the submittal. The user can add additional sections or delete sections. The user can also set if the section is optional, not applicable, etc.

The administrator can access the ‘Message Template’ tab in this section to customize their message templates. The administrator can set the templates as ‘Active’ or ‘Inactive’, change the format, and insert ‘Tags’ such as %first_name%, which will let the system replace the %first_name% with the user’s first name.


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The notification tab contains information that will be used to display notifications.

One of the more commonly used tabs is the ‘Submittal Property’. In this section, the user can disable disclaimers, change options from required to optional, or even just remove features such as submittal withdrawal.

The ‘SubSystem’ tab should only be altered if a new sub system has been configured and ready to be associated with CEOS.

4.2 Configure System Environment

The system allows for the administrator to modify the configurations of the system environment available in CEOS so that items may be added or modified based on new requirements. The aspects that the administration can control are:

Report server

Email server


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Email templates

Task frequency

Security questions

Document types accepted in CEOS

Web service

CEOS(Atomic) time

The system environment effects items that contain external controls. The first tab associates the location of the ‘Report Server’ with CEOS. If the link is broken, the reporting tools cannot be used.

Similarly, if the e-mail server links are broken, e-mails will not be generated by CEOS. If the administrator needs to change e-mail servers, the configuration can be done in the ‘Email Server’ tab.

System generated e-mails are all based on templates. The templates can be easily altered in the ‘Email Template’ tab. The tab itself provides a drop down with the template description so the administrator can find which template they would like to alter.

The ‘Task’ tab lets the administrator set the schedule for when certain actions should be performed and how often they should be performed. For example, the user can set ‘Notification Reminder’ to daily and it will run once a day at the scheduled time.


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The ‘Security Question’ tab lets the administrator choose what they wish to display as a security question option.

By clicking on the button, the user can change the question and set the grouping of the questions.

In certain cases the user might want to modify the types of files that can be attached in the system. The administrator can define which extensions that the system will accept as attachments in the ‘Document Type’ tab.

Additional web services can also be added or deleted as more of CEOS begins to utilize or terminate services.

The administrator can modify the atomic time of the system by configuring where the time is being retrieved from.

4.3 Maintain & Update Reference Data

Maintaining proper data is extremely important with any database, so CEOS allows the administrator to update commonly used tables through this module. This module breaks down and groups similar tables together. The user can select a table and add new or edit existing data.

4.4 Manage Work Flow Setup

Workflows can sometimes change and when this occurs the administrator can enter the ‘Work Flow Configuration’ module to modify the current work flows. The work flow main menu can allow the user to turn a work flow to inactive and allows the administrator to group certain work flows together. By clicking on the icon, the user can add

new fields in the grid. By clicking on the , the administrator can remove certain conditions from the grid.

Through the ‘Process’ tab, the user can see the task group list. New workflows can be inserted here if a new task needs to be added to the grouping. The groups can be set as sequential or parallel. If the execute type runs parallel, all work tasks will trigger at the same time. If the administrator


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wants to create a completely new work flow, then they can click on the ‘New Process’ button to begin a new workflow configuration.

The user can add plugins and remove plugins to activate certain functions. To view more detail on how a current object operates, the user can

click on the icon to view which object the work task is utilizing.

4.5 Keep Track of System Logs

The administrator can view the system’s log through the ‘System Log’ menu. The user can filter out the type of logs by using the search tool bar above the search result. The administrator can also filter by the message and date range to search for certain occurrences. Since system logs can become lengthy and overwhelming, the administrator has been giving a purge option to clear all system logs.

By clicking on the icon, the administrator can view the detail of what occurred in the system at what date and time.

5 Other Helpful Information

5.1 Agency User Role and User Group Setup

ID Role Name Responsibilities

Public Roles

1 Responsible Officer (RO)

-Prepare and submit an application form -Apply, amend, renew, or withdraw permits -Manage permit/grant applications and permit/grant information -Manage User account and contact information -Use the system on a regular basis for data entry/query, correspondence, tracking application review status

2 Consultant/Preparer (Prepare-only) -Prepare an application form -Use the system on a regular basis for data entry/query, correspondence, tracking application review status


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3 Viewer (View Only) -View a submittal form

Agency Roles

1 Work Group Leader Provides oversight to a team of agency personnel working on a particular project or activity

2 Unit Leader (PM1)

-Manages and supervises a team of three or more agency personnel in a division or office that has been established as a defined management unit with one or more established responsibilities -Reviews and signs permits, licenses, or correspondence based within assigned level of authority


-Provides oversight to a section in a division or office that comprises two or more units -Reviews and signs permits, licenses, or correspondence based within assigned level of authority


-Provides oversight to a program in a division or office that usually comprises two or more sections and/or units -Reviews and signs permits, licenses, or correspondence based within assigned level of authority

5 Division Director (PM4)

-Oversees and is responsible for all activities of an environmental division -Has the authority to hire personnel and make decisions that affect pay, tenure, and status of division employees

6 Administrative Assistant/Technician Recordkeeping and management of incoming and outgoing documents and correspondence

7 Engineer

-Reviews applications, facility designs, compliance work plans and other documents -Corresponds with facilities to address submitted document deficiencies

8 Permit Writer - Develops draft permit

9 Records Manager -Person in a division or office who maintains the retention and storage of organization's office records -Handles open records requests

10 Inspector -Conducts compliance inspections and compliant investigations -Generates inspection reports

11 Duty Officer

-Serves as point of contact for calls into department emergency spill line -Makes appropriate internal and external emergency notifications

12 Chief Fiscal Officer

Oversees all fiscal activities in a division or office, including developing budgets, preparing fiscal notes relative to possible legislation, and developing expense reports


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13 Project Manager

Responsible for defined aspects of project delivery; leading and directing cross-functional teams; plans, coordinates, implements and finalizes projects according to specifications, rules and deadlines


-Provide comments to Agency; Issues land use permits in accordance with local ordinances -Seeks funding for water and wastewater projects -Public water systems, wastewater systems and/or storm water systems may be regulated by department -Issue land disturbing permits in accordance with local laws, rules, ordinances, codes, etc.

15 Environmental Protection Specialist Staff level technical position that can be responsible for a number of duties, including permit writing and compliance oversight


Provides comments to agency

17 State Contractor

Conducts work on behalf of the state agency, including the collection and assessment of environmental monitoring information, modeling, permit writing, and remedial work

18 Financial analyst

Provides financial operations support to the Finance Department; Reviews and processes project requisitions; Prepares and reviews credit analysis of loan applicants; analyzes and monitors loan covenant compliance for loan portfolios; Assists with negotiations with potential borrowers

19 Credit Analyst Analyzes financial capacity of applicants based on annual financial statements, budgets and technical data. Coordinates funding alternatives

20 Grant Evaluation Committee Member

Access submitted grant application materials; Evaluate applications; Submit scores and comments

21 State Administrator Program person with rights to create and update forms as well as make changes on portal pages

22 Public Water System Has to comply with requirements of the Safe Drinking Water Act; Submits regulatory and monitoring reports

ID Role Name

Su

bm

itta

l

En

tity

Pro

ject

Ins

pec

tio

n

Ca

len

dar

Vio

lati

on

Re

po

rt

Wo

rk T

ask

Se

cu

rity

S

ett

ing

s

1 Work Group Leader Y Y Y Y Y Y Y Y Y

2 Unit Leader (PM1) Y Y Y Y Y Y Y Y

Access to “System Users” and “Public Users” only


Y Y Y Y Y Y Y Y Access to “System Users” and


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ID Role Name

Su

bm

itta

l

En

tity

Pro

ject

Ins

pec

tio

n

Ca

len

dar

Vio

lati

on

Re

po

rt

Wo

rk T

ask

Se

cu

rity

S

ett

ing

s

“Public Users” only


Y Y Y Y Y Y Y Y

Access to “System Users” and “Public Users” only

6 Administrative Assistant/Technician

Cannot reassign task

Y Read-Only Access

N/A N/A N/A Y Access to “My Task” only

N/A

7 Engineer Cannot reassign task

Y Read-Only Access


N/A

8 Permit Writer Cannot reassign task

Y Read-Only Access


N/A

9 Records Manager Cannot reassign task

Y Read-Only Access


N/A

10 Inspector Read-Only Access

Read-Only Access

Read-Only Access

Y

Access to “Inspection Calendar” only

Y N/A N/A N/A

11 Duty Officer Read-Only Access

Read-Only Access

Read-Only Access

Y

Access to “Inspection Calendar” only

Y N/A N/A N/A

12 Chief Fiscal Officer Cannot reassign task

Read-Only Access

Read-Only Access

N/A N/A N/A Y N/A N/A

13 Project Manager Y Y Y Y Y Y Y Y N/A



Read-Only Access

Read-Only Access


N/A

15 Environmental Protection Specialist


Read-Only Access

Y N/A N/A N/A N/A Access to “My Task” only

N/A



Read-Only Access


N/A

17 State Contractor Cannot reassign task

Read-Only Access


N/A

18 Financial analyst Cannot reassign task

Read-Only Access


N/A

19 Credit Analyst Cannot reassign task

Read-Only Access


N/A

20 Grant Evaluation Committee Member


Read-Only Access


N/A

21 State Administrator Y Y Y Y Y Y Y Y Y

22 Public Water System Y Y Y Y Y Y Y Y Y


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Group ID

Group Name Submittal Type

5 CDPHE > APCD -APEN - Condensate Storage Tanks

-APEN - Reciprocating Internal Combustion Engines

32 CDPHE > WQCD > Clean Water Project > Permit Section

-Construction Stormwater Permit

-Construction Dewatering or Ground Remediation Permit

30 CDPHE > WQCD > Grants and Loans Unit

DWRF - Eligibility Survey

DWRF - Pre-Qualification

DWRF - Project Needs Assessment

DWRF/WPCRF - Environmental Assessment

DWRF/WPCRF - Public Meeting Documents

DWRF - Self-Certification

DWRF - Loan Application

DWRF/WPCRF - Pre-Bid Documents

DWRF/WPCRF - Construction Pay Request

DWRF/WPCRF - Contracting Documents

DWRF/WPCRF - Construction Change Orders

DWRF/WPCRF - Final Closeout Documents

WPCRF - Eligibility Survey

WPCRF - Pre-Qualification

WPCRF - Project Needs Assessment

WPCRF - Self-Certification

WPCRF - Loan Application

39 CDPHE > WQCD > Department of Local Affairs

40 CDHPE > WQCD > Water Resources and Power Development Authority

5.2 Permit Status Descriptions

Issuance Status Status Description

Issued Permit has been issued.

Expired Permit has expired; this occurs when the applicant fails to renew the permit before the permit expiration date; no further action can be performed against the submission.

Termination Permit has terminated and is no longer valid.

Extension The permit was given an extension and given a new expiration date.

Interim Any inspection/site visit proceeding final inspection

Incomplete Inspection conducted; agency awaiting submittal of closeout documents from entity or consultant

5.3 Submittal Status Descriptions

Submittal Status Status Description

Partial Submittal System automatically updates submission to this status when user submits an application with missing attachments. Application form is yet to be reviewed by agency staff.


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Submittal Status Status Description

Complete Submittal System automatically updates submission to this status when user submits an application with all attachments; application form is yet to be reviewed by agency staff.

Scheduled The application has a task that has been scheduled but the work task has not been completed.

Admin Review Start The application is ready for the agency to start the review process.

Admin Review Completed All attachments have been submitted, fee has been paid in full, and application form is complete; Submission ID remains the same when status is updated.

Tech Review Start The application is ready for the agency to start the technical review process

Tech Review Completed The application has been technically reviewed.

Public Comment Period Open

The public notice stage begins.

Public Comment Period Closed

The public notice stage is complete.

Approved Application has been approved and permit can be issued to the user/facility.

Permit Issued The permit has been issued to the applicant.

Withdraw Application has been withdrawn by the Applicant; Submission ID remains the same when status is updated, but submission is closed and no further work can be performed on the submission.

Terminated The application was requested and approved for termination. The application can no longer be altered and all work flow is halted.

Modification The application was requested for modification/update.

Revised Archived The application was requested and approved for revision. The application can no longer be altered and all work flow is halted. A new application was created with the data from the revised application.

Denied Permit has been denied due to various reasons; Submission ID remains the same when status is updated.

Closed

All material has not been submitted for agency user to issue a permit; application was previously in Incomplete status for a significant amount of time (manual determination by agency user); Submission ID remains the same when status is updated.

On Hold

Application is placed on hold due to various reasons (applicant cannot be reached, site cannot be accessed, etc.); time clock to process a submission stops and is resumed once application is taken off this status to another status (i.e. technical review complete).

Rejected

Application has been rejected for a permit (either because permit is not needed or work has already been completed); with this status, application has reached a terminal status and no further work can be performed against the same submission record; Submission ID remains the same when status is updated as such; applicant/agency user must make a new submission to request for a permit.

Renewal When a new application is created for permit renewal, system automatically updates the new application to this status.

Renewal Archived System automatically updates the original application to this status when a new application is created for permit renewal.


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5.4 Inspection Status Descriptions

Insp. Status Description

Cancelled Inspection has been cancelled and does not need to be conducted anymore.

Completed The inspection has been completed

Not in Compliance Compliance Inspection completed and site inspection results are in violation of provisions associated to permit

Not Ready Application has not been Accepted for system to schedule inspection records

Compliant Compliance Inspection completed and Site inspection results are in compliance of provisions associated to permit

Requested Applicant has requested an inspection for an available date and time

Request Ready Application is ready for applicant to schedule based on available inspection dates and times

Scheduled Inspector has accepted to conduct inspection on a specified date and time

Planned Facility has been identified as being due for an inspection

Referred Facility referred for enforcement action based upon results of inspection


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6 Appendix

6.1 Water Quality Control Division Work Flow

6.1.1 Construction Stormwater Permit

6.1.1.1 New Stormwater Construction Certifications Review Work Flow

SEQ #

Work Task Name Optional /

Mandatory

Upload Docum

ent?

Role Assignment

Default Task

Duration (Days)

Issuance?

Special Data Elements to be

Tracked (besides person, due date,

complete date, task status, comments)

Template

1 Submittal Type Determination and Completeness Review

M No Technicians 5 N 1) Submittal Type: New/Renew/Modification (radio button) 2) Complete Package? Yes / No (checkbox)

1) Completeness letter template 2) Email alert body text

2 Prepare Draft Certification

M Yes Administrative Staff

N 1) Issuance Type 2) Issuance Description 3) Generate/upload issuance document

COR030000 Certification Template

3 Technical Review M No Permit Engineer

10 N

4 Fee Determination

M No Administrative Staff

N 1) Facility categories and subcategories

-Less than 1 acre

-1-30 acres

-Greater than 30 acres

-Other

5 Sign and Issue Final Certification


Y 1) Issuance Type 2) Issuance Description 3) Generate/upload issuance document



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6.1.1.2 Modification Requests Stormwater Construction Certification Review Work Flow

SEQ #


Mandatory

Upload Docum

ent?

Role Assignment

Default Task

Duration (Days)

Issuance?




Template



N 1) Submittal Type: New/Renew/Modification (radio button) 2) Complete Package? Yes / No (checkbox)


2 Technical Review M No Administrative Staff

N

3 Fee Determination M No Administrative Staff


4 Sign and Issue Final Permit




6.1.2 Construction Dewatering or Ground Water Remediation Permit

6.1.2.1 New Stormwater Dewatering Certification Review Work Flow

SEQ #


Mandatory

Upload Docum

ent?

Role Assignment

Default Task

Duration (Days)

Issuance?




Template


M No Technicians 5 N 1) Submittal Type: New/Renew/Modification (radio button) 2) Complete Package? Yes / No (checkbox)


2 Prepare Draft Certification


N 1) Issuance Type 2) Issuance Description 3) Generate/upload issuance document

COR070000 Permit Template COR315000 Permit Template

3 Technical Review M No Permit Engineer

10 N



-Low Complexity $820

-High Complexity $2,000

-Other

5 Sign and Issue Final Certification



COR070000 Permit Template COR315000 Permit


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SEQ #


Mandatory

Upload Docum

ent?

Role Assignment

Default Task

Duration (Days)

Issuance?




Template

Template

6.1.2.2 Modification Requests Stormwater Dewatering Certification Review Work Flow

SEQ #


Mandatory

Upload Docum

ent?

Role Assignment

Default Task

Duration (Days)

Issuance?




Template



N 1) Submittal Type: New/Renew/Modification (radio button) 2) Complete Package? Yes / No (checkbox)


2 Technical Review M No Administrative Staff

N



4 Sign and Issue Final Permit



COR070000 Permit Template COR315000 Permit Template

6.2 Air Pollution Quality Control Division Work Flow

6.2.1 APEN – Condensate Storage Tanks

6.2.1.1 New Application for Coverage under GENERAL PERMIT Workflow

This work flow will not be applicable in pilot phase.

SEQ #

Work Task Name

Optional /

Mandatory

Upload

Document?

Work Group Assignment

Default Task

Duration (Days)

Issue

Permit/APEN?

Special Data Elements to be Tracked (besides

person, due date, complete date, task status, comments)

Template


M No Log-In Technicians

10 N 1) Submittal Type: New/Update 2) Complete Package? Yes / No 3) Comments



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2 Technical Review

M No Permit Engineer

5 N 1) Associate Terms & Conditions 2) Production Levels 3) Control Device(s) Used 4) Minor/Syn Minor Source 5) Site-Specific Emission Factors?

3 Fee Management


5 N 1) Required Fee? Yes / No 2) If required, Fee Category 3) Fee Amount 4) Comments

4 Prepare Approval Letter

M Yes Permit Engineer

N GP01 Approval Letter Template

5 Issue Final Letter


Y GP01 Approval Letter Template

6.2.1.2 APEN Submittal for Update Only Workflow

SEQ #

Work Task Name

Optional /

Mandatory

Upload

Document?

Work Group

Assignment

Default Task

Duration (Days)

Issue

Permit/APEN?



Template



10 N 1) Submittal Type: New/Update 2) Complete Package? Yes / No 3) Comments


2 Technical Review


5 N 1) Production Levels 2) Control Device(s) Used 3) Minor/Syn Minor Source 4) Site-Specific Emission Factors?

None


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SEQ #

Work Task Name

Optional /

Mandatory

Upload

Document?

Work Group

Assignment

Default Task

Duration (Days)

Issue

Permit/APEN?



Template

3 Fee Management



6.2.2 APEN – Reciprocating Internal Combustion Engines

6.2.2.1 New Application for Coverage under General Permit Number GP02 (Natural Gas Only) Workflow

This work flow will not be applicable in pilot phase.

SEQ #

Work Task Name

Optional

/ Mandato

ry

Upload

Document?

Work Group

Assignment

Default Task

Duration (Days)

Issue

Permit/APEN?

Special Data Elements to be Tracked (besides person, due

date, complete date, task status, comments)

Template



10 N 1) Submittal Type: New/Update/AOS Permanent Replacement 2) Complete Package? Yes / No 3) Comments


2 Technical Review


15 N 1) Associate Terms & Conditions 2) Gas Usage Levels 3) Control Device(s) Used 4) Minor/Syn Minor Source 5) AP-42 Emission Factors or Manufacturer Specific?

GP02 Approval Letter Template

5 Fee Management



3 Prepare Approval Letter


N GP02Approval Letter Template


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SEQ #

Work Task Name

Optional

/ Mandato

ry

Upload

Document?

Work Group

Assignment

Default Task

Duration (Days)

Issue

Permit/APEN?

Special Data Elements to be Tracked (besides person, due

date, complete date, task status, comments)

Template

4 Issue Final Letter


Y

6.2.2.2 APEN Update Workflow

SEQ #

Work Task Name

Optional

/ Mandato

ry

Upload

Document?

Work Group Assignment

Default Task

Duration (Days)

Issue Permit/APEN

?



Template



10 N 1) Submittal Type: New/Update/AOS Permanent Replacement 2) Complete Package? Yes / No 3) Comments


2 Technical Review


15 N 1) Associate Terms & Conditions 2) Gas Usage Levels 3) Control Device(s) Used 4) Minor/Syn Minor Source 5) AP-42 Emission Factors or Manufacturer Specific?

None

3 Fee Management



6.2.2.3 Notification of AOS Permanent Replacement Workflow

CDPHE has not yet provided the information.

6.3 Grant and Loan Division Work Flow

6.3.1 Online Forms

6.3.1.1 Drinking Water Revolving Fund Online Forms Overview


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S-ID Submittal Type Submittal Form Name Submittal Form Template

Name

SW.1. Eligibility Survey Drinking Water Eligibility Survey HOP Ch 1 - Attachment 1a DWRFEligibilitySurvey.pdf

SW.2. Pre-Qualification Drinking Water Pre-Qualification Form

DW-Pre-Qualification-Form.pdf

SW.3. Planning Grant Agreement

Planning Grant Agreement HOP Ch 2 - Attachment 9 Planning grant agreement example.docx

SW.4. Project Needs Assessment

PNA - Project Needs Assessment HOP Ch 4 - Attachment 1 DW Project Needs Assessment.pdf

SW.5. Environmental Checklist HOP Ch 4 - Attachment 6 Environmental Checklist.docx

SW.6. Environmental Assessment

Environmental Assessment Environmental Assessment

SW.7. Public Meeting documents

Public Meeting documents

Submitted as attachments via CEOS: Copy of public notice, proof of publication, meeting agenda, minutes, responsiveness summary, list of attendees.

SW.8. Self-Certification DW SRF Self Certification Form HOP Ch 5 Attachment 1a SRF DW Self-Cert Form.pdf

SW.9. Loan Application DWRF Loan Application HOP Ch 6 - Attachment 1a DWRF Loan Application.doc

SW.10. Pre-Bid Documents Pre-Bid Documents Submitted as attachments via CEOS

SW.11. Contracting Documents Contracting Documents

Submitted as attachments via CEOS: Engineering services contract, executed construction contract, NOA & NTP

SW.12. Pay Request Pay Request Submitted as attachments via CEOS

SW.13. Change Order Request Change Order Request HOP Ch 6 - Attachment 1a DWRF Loan Application.doc

SW.14. Drinking water Construction Completion Notice

Drinking water construction completion form

WQ-ENG-FORM-Drinking Water Construction Completion Certification (-As Built-) Form

6.3.1.2 Water Pollution Control Revolving Fund Online Forms Overview

S-ID Submittal Type Submittal Form Name Submittal Form Template Name

SW.15. Eligibility Survey Water Pollution Control Eligibility Survey

HOP Ch 1 - Attachment 1b WPCRFEligibilitySurvey.pdf

SW.16. Pre-Qualification Water Pollution Control Pre-Qualification Form

WW-Pre-Qualification-Form.pdf

SW.17. Planning Grant Agreement

Planning Grant Agreement HOP Ch 2 - Attachment 9 Planning grant agreement example.docx


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S-ID Submittal Type Submittal Form Name Submittal Form Template Name

SW.18. Project Needs Assessment

PNA - Project Needs Assessment HOP Ch 4 - Attachment 2 WPC Project Needs Assessment.pdf

SW.19. Environmental Checklist HOP Ch 4 - Attachment 6 Environmental Checklist.docx

SW.20. Environmental Assessment

Environmental Assessment Environmental Assessment

SW.21. Public Meeting documents

Public Meeting documents

Submitted as attachments via CEOS: Copy of public notice, proof of publication, meeting agenda, minutes, responsiveness summary, and list of attendees.

SW.22. Self-Certification WW SRF Self Certification Form HOP Ch 5 Attachment 1b SRF WW Self-Cert Form.pdf

SW.23. Loan Application WPCRF Loan Application HOP Ch 6 - Attachment 1b WPCRF Loan Application.doc

SW.24. Pre-Bid Documents Pre-Bid Documents Submitted as attachments via CEOS

SW.25. Contracting Documents Contracting Documents

Submitted as attachments via CEOS: Engineering services contract, executed construction contract, NOA & NTP

SW.26. Pay Request Pay Request Submitted as attachments via CEOS

SW.27. Change Order Request Change Order Request HOP Ch 6 - Attachment 1b WPCRF Loan Application.doc

SW.28. Construction Completion Form

Construction completion form WQ-ENG-ConstructionCompletionForm.doc


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6.3.2 Workflow for Fund/Loan Application

6.3.2.1 Drinking Water Revolving Fund Workflow

6.3.2.1.1 Planning Phase

Trigger ID Work Task Name

Optional /

Mandatory

Role Assignme

nt

Seq.

Default Duration

(Days)

Special Data Elements to be Tracked

Upload

?

Issuance

?

End Point of The Task (i.e. Document

to be generated, action completed,

etc.)

If document needs to be generated as

an end point, provide template

name

Eligibility Survey Submitted

0 Eligibility Survey Review

M GLU PM N N

Pre-Qualification Submitted

1 Milestone: Pre-Qualification Review

1-1 GLU Pre-Qual Review

M GLU PM 1 N N

1-2 DOLA Pre-Qual Review

M DOLA 1

Planning Grant are requested? Y/N

Y N DOLA Pre-Qualification Review.

HOP Ch 2 - Attachment 4 DOLA Pre-Qualification Review.

1-3 PA Pre-Qual Review

M PA 1 N N

1-4 ERU Pre-Qual Review

M ERU Engineer

1 Priority Points Calculated

Y N DWRF Eligibility Assessment Memo

HOP Ch 2 - Attachment 5 DWRF Eligibility Assessment Memo

1-5 NEPA Pre-Qual Review

M NEPA 1

Preliminary NEPA Determination: CatEx or FNSI

Y N Environmental Memo

HOP Ch 2 - Attachment 7 Environmental Memo

2 Milestone: Internal Review Meeting


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Optional /

Mandatory

Role Assignme

nt

Seq.

Default Duration

(Days)


Upload

?

Issuance

?



etc.)



name

2-1 Schedule Internal Pre-Qual Review Meeting

M GLU PM 2 N N

2-2 Internal Review Meeting

M

GLU PM, DOLA, PA, ERU Engineer

3 A week before 4-2

N N

3 Planning Grant Review

M


3 Planning Grant Decision: Y/N

N N

4 Milestone: Pre-App Meeting

4-1 Schedule Pre-App Meeting

M GLU PM 4 Y Y Pre-Application Meeting Agenda

HOP Ch 3 - Attachment 1 Pre-Application Meeting Agenda

4-2 Pre-App Meeting M GLU PM 5

45 days after Pre-Qual is received

N N

4-3 Prepare Draft Pre-Qual Review Letter

M GLU PM 6 Grant Recommendation Amount

Y N Pre-Qualification Review Letter

HOP Ch 2 - Attachment 8 Pre-Qualification Review Letter

4-4 Review Draft Pre-Qual Review Letter

M

DOLA, PA, ERU Engineer, NEPA

7 Grant Recommendation Amount

N N Pre-Qualification Review Letter


4-5 Issue Pre-Qual Review Letter


Y Y Pre-Qualification Review Letter



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Optional /

Mandatory

Role Assignme

nt

Seq.

Default Duration

(Days)


Upload

?

Issuance

?



etc.)



name

5 Milestone: Planning Grant Execution

5-1 Prepare Draft Planning Grant Agreement

O, show if 3.Planning Grant Decision = Y

GLU PM, PA

9 Y N Planning grant agreement

HOP Ch 2 - Attachment 9 Planning grant agreement example

5-2 Issue Final Planning Grant Agreement


GLU PM, PA

10 Y Y Planning grant agreement


Project Needs Assessment (PNA) + Environmental Checklist Submitted

6 Milestone: Project Needs Assessment (PNA) Review

6-1 GLU PNA Review M GLU PM 1 45 N N

6-2 DOLA PNA Review M DOLA 1 45 Y N DOLA - Financial Review Memo

DOLA - Financial Review Memo

6-3 ERU PNA Review M ERU Engineer

1 45 Self-Cert? 100%, Partial, Streamline

Y N

Project Needs Assessment Engineer Review Memo

HOP Ch 4 - Attachment 4b DW Project Needs Assessment Engineer Review Memo

6-4 NEPA PNA Review M NEPA 1 45 NEPA Determinatio

Y N Final Environmental Memo

HOP Ch 4 - Attachment 7 Final


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Optional /

Mandatory

Role Assignme

nt

Seq.

Default Duration

(Days)


Upload

?

Issuance

?



etc.)



name

n: CatEx or FONSI

Environmental Memo

7 Design and Engineering Grant Review

If 6-5 NEPA Determination = CatEx

7-1-

a

GLU - DE Grant Recommendation Review

M GLU PM 2 N N

7-2-

a

DOLA - DE Grant Recommendation Review

M DOLA 2 N N

7-3-

a

PA - DE Grant Recommendation Review

M PA 2 N N

7-4-

a

ERU - DE Grant Recommendation Review

M ERU Engineer

2 N N

7-5-

a

NEPA - DE Grant Recommendation Review

M NEPA 2 N N

If 6-5 NEPA Determination = FONSI

7-1-

b


M GLU PM 2 N N

7-2-

b


M DOLA 2 N N

7-3-

b


M PA 2 N N


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Optional /

Mandatory

Role Assignme

nt

Seq.

Default Duration

(Days)


Upload

?

Issuance

?



etc.)



name

7-4-

b


M ERU Engineer

2 Y N DW Project Needs Assessment Engineer Review

HOP Ch 4 - Attachment 4a DW Project Needs Assessment Engineer Review Memo

7-5-

b


M NEPA 2 Y N Final Environmental Memo

HOP Ch 4 - Attachment 7 Final Environmental Memo

7-6 Prepare Draft Grant Documents

M GLU PM 3 Y N

-DE Grant Recommendation Memo -Design and Engineer Grant agreement -Planning Grant Agreement

HOP Ch 4 - Attachment 20 DE Grant Recommendation Memo.docx; and HOP Ch 4 - Attachment 19 Design and Engineer Grant agreement example.doc; and HOP Ch 2 - Attachment 9 Planning grant agreement example.docx


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Optional /

Mandatory

Role Assignme

nt

Seq.

Default Duration

(Days)


Upload

?

Issuance

?



etc.)



name

7-7 Prepare Draft PNA Review Letter

M GLU PM 3 Y N

-PNA Review Letter -SRF DW Sel-Cert Form -DWRF Final Execution Letter -DWRF Loan Agreement - D&E Final Template -DWRF Cover Letter -DWRF Procedure Memo -DWRF Directory - D&E

-HOP Ch 4 - Attachment 8 Project Needs Assessment Review Letter.docx -(HOP Ch 5 - Attachment 1a SRF DW Self-Cert Form) -CWRPDA - DWRF Final Execution Letter-D&E.DOC; -CWRPDA - DWRF Loan Agreement - D&E Final Template.doc; -CWRPDA - DWRF Cover Letter - D&E.DOC; -CWRPDA - DWRF Procedure Memo - D&E.DOC; -CWRPDA - DWRF Directory - D&E.DOC


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Optional /

Mandatory

Role Assignme

nt

Seq.

Default Duration

(Days)


Upload

?

Issuance

?



etc.)



name

7-8 Issue Final PNA Documents

M GLU PM 4 Y Y

-DE Grant Recommendation Memo -Design and Engineer Grant agreement -Planning Grant Agreement -PNA Review Letter -SRF DW Sel-Cert Form -DWRF Final Execution Letter -DWRF Loan Agreement - D&E Final Template -DWRF Cover Letter -DWRF Procedure Memo -DWRF Directory - D&E

HOP Ch 4 - Attachment 20 DE Grant Recommendation Memo.docx; and HOP Ch 4 - Attachment 19 Design and Engineer Grant agreement example.doc; and HOP Ch 2 - Attachment 9 Planning grant agreement example.docx HOP Ch 4 - Attachment 8 Project Needs Assessment Review Letter.docx (HOP Ch 5 - Attachment 1a SRF DW Self-Cert Form) -CWRPDA - DWRF Final Execution Letter-D&E.DOC; -CWRPDA - DWRF Loan Agreement - D&E Final Template.doc; -CWRPDA - DWRF Cover Letter - D&E.DOC; -CWRPDA - DWRF


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Optional /

Mandatory

Role Assignme

nt

Seq.

Default Duration

(Days)


Upload

?

Issuance

?



etc.)



name

Procedure Memo - D&E.DOC; -CWRPDA - DWRF Directory - D&E.DOC

6.3.2.1.2 Design Phase

Trigger ID Work Task Name Optional / Mandatory

Role Assignment

Seq. Default

Duration (Days)


Tracked

Upload?

Issuance

?

End Point of The Task (i.e. Document to be generated,

action completed, etc.)

If document needs to be

generated as an end point,

provide template

name

Public Meeting Documents Submitted

1 Milestone: Public Meeting Review

1-1 GLU Public Meeting Review M GLU PM 1 N N

1-2 NEPA Public Meeting Review

M NEPA 1 N N

1-3 NEPA EA Acceptance Final Review

M NEPA 2 N N

If Planning Phase 6-4 NEPA Determination = CatEx

1-4-a Prepare Draft EA decision document

M NEPA 3 Y N Categorical Exclusion Template

Categorical Exclusion


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Role Assignment

Seq. Default

Duration (Days)


Tracked

Upload?

Issuance

?





provide template

name

Template

1-5-a Issue Final EA decision document

M Division Director

4 Y Y Categorical Exclusion Template

Categorical Exclusion Template

1-6-a Publish EA decision

document to WQ Website M NEPA 5 N N

1-8-a Prepare Draft PNA & Environmental Approval Letter

M GLU PM 6 Y N PNA and CatEx Approval Letter

HOP Ch 4 - Attachment 10 Project Needs Assessment and CatEx Approval Letter

1-9-a Issue Final PNA & Environmental Approval Letter

M GLU PM 7 Y Y PNA and CatEx Approval Letter

HOP Ch 4 - Attachment 10 Project Needs Assessment and CatEx Approval

Letter

If Planning Phase 6-4 NEPA Determination = FONSI

1-4-b Prepare Draft EA decision document

M NEPA 3 Y N Finding of No Significant Impact Template

Finding of No Significant Impact Template

1-5-b Issue Final EA decision document

M Division Director

4 Y Y Finding of No Significant Impact Template


1-6-b Publish EA decision document within Local Newspaper

M NEPA 5 N N

1-7 Public Comment Period M GLU PM 6 30 All comments/issues resolved? Y/N

N N

1-8-b Prepare Draft PNA & Environmental Approval Letter

M GLU PM 7 Y N PNA and FONSI Approval Letter

HOP Ch 4 - Attachment 9 Project Needs Assessment and FNSI Approval Letter


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Role Assignment

Seq. Default

Duration (Days)


Tracked

Upload?

Issuance

?





provide template

name

1-9-b Issue Final PNA & Environmental Approval Letter

M GLU PM 8 Y Y PNA and FONSI Approval Letter


Environmental Assessment (EA) Submitted

2 Milestone: Environmental Assessment Review

2 NEPA Environmental Assessment Review

M NEPA 1 Y Y Environmental Assessment Comment Letter

HOP Ch 4 - Attachment 15 Environmental Assessment Comment Letter

5 Milestone: Plans and Specifications Review

Self-certification + Draft Contract Documents + (Plans and Specs) Submitted

If Planning Phase 6-3 - Self-Cert = 100% OR Partial

5-1 GLU Contract Document Review

M GLU PM 1 N N

5-2 ERU Self-Certification Review

M ERU Engineer 1 Self-Certification Approved? 100%/Partial/No

N N

If 6-3 - Self-Cert = 100%

5-3 Prepare Draft Self-Cert Review Document

M ERU Engineer 2 Y N SRF Self Certification Form Review Memo

ERU - DW SRF Self Certification Form Review Memo

5-4 Prepare Draft Plans and Specifications Approval Letter

M GLU PM 3 Y N Plans and Specs Approval Letter

HOP Ch 5 - Attachment 4a DW Plans and Specs Approval Letter

5-5 Issue Final Plans & Specs Approval Letter

M GLU PM 4 Y Y Plans and Specs Approval Letter

HOP Ch 5 - Attachment 4a DW Plans and Specs


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Role Assignment

Seq. Default

Duration (Days)


Tracked

Upload?

Issuance

?





provide template

name

Approval Letter

If 6-3 - Self-Cert = Partial





M ERU Engineer 3 Y N SRF Self Certification Form Review Memo

ERU - DW SRF Self Certification Form Review Memo


M ERU Engineer 4 Y Y Plans and Specs Approval Letter


A letter of intent with PDR + Draft Contract Documents + Plans and Specs Submitted

If Planning Phase 6-3 - Self-Cert = No, Streamline Review


M GLU PM 1 60 N N

5-2 ERU Streamline Document Review

M ERU Engineer 1 60 Streamline Approved? Y/N PDR Accepted? Y/N

N N




5-4 Prepare Draft P&S Review Document

M ERU Engineer 3 Y N -Plans and Specs Approval Letter -Streamline Design Approval



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Role Assignment

Seq. Default

Duration (Days)


Tracked

Upload?

Issuance

?





provide template

name

5-5 Issue Final Documents M ERU Engineer 4 Y Y -Plans and Specs Approval Letter -Streamline Design Approval


6.3.2.1.3 Funding Phase

Trigger ID Work Task

Name Optional / Mandatory

Role Assignment

Seq. Default

Duration (Days)


Upload? Issuance?

End Point of The Task (i.e.

Document to be generated,




name

Loan Application Submitted

1 Milestone: Loan Application Review

1-1

Loan Application Completeness Review

M GLU PM 1 LA Complete? Y/N

N N

1-2

PA Loan Application Review

M PA 2

1-3

DOLA Loan Application Review

M DOLA 2

2 Milestone: Credit Report Finalized

2-1

Prepare Draft Credit Report

M DOLA 3 Y Y DWRF Credit Report

DOLA - DWRF Credit Report Template.pdf

2- GLU Draft M GLU PM 4 N N


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Role Assignment

Seq. Default

Duration (Days)


Upload? Issuance?






name

2 Credit Report Review

2-3

PA Draft Credit Report Review

M PA 4 N N

2-4

Finalized Credit Report

M DOLA 5 Y N DWRF Credit Report

DOLA - DWRF Credit Report Template.pdf

2-5

SRF Committee Meeting

M GLU PM, PA, DOLA

6

Financial Credit Report Accepted? Y/N

Y Y Final Credit Report

3 Milestone: Board Meeting Approval

3-1

Authority Board Meeting

M GLU PM, PA, DOLA

7 Loan Approved? Y/N

N N

3-2

Prepare Draft Loan Approval Letter and Loan Agreement

M PA 8 Y Y

-DWRF Approval Letter -DWRF Draft Loan Agreement -DWRF Directory -DWRF Cover Letter

CWRPDA - DWRF Approval Letter.doc; CWRPDA - DWRF Exhibit C - 3.5% Template.xls; CWRPDA - DWRF Draft Loan Agreement - DL 2%.doc; CWRPDA - DWRF Directory.doc; CWRPDA - DWRF Cover Letter.doc


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Role Assignment

Seq. Default

Duration (Days)


Upload? Issuance?






name

3-3

Issue Final Loan Approval Letter and Loan Agreement

M PA 9 Y Y

-DWRF Approval Letter -DWRF Draft Loan Agreement -DWRF Directory -DWRF Cover Letter

CWRPDA - DWRF Approval Letter.doc; CWRPDA - DWRF Exhibit C - 3.5% Template.xls; CWRPDA - DWRF Draft Loan Agreement - DL 2%.doc; CWRPDA - DWRF Directory.doc; CWRPDA - DWRF Cover Letter.doc

4 Milestone: Loan Execution

4-1

PA Loan Closing Review

M PA 10 N N

4-2

GLU Loan Closing Review

M GLU PM 10 N N

4-3

DOLA Loan Application Review

M DOLA 10 N N

4-4

Loan Execution M GLU PM 11 N N

4-5

Issue fully executed loan agreement and supporting docs

M PA 12 Y Y

-DWRF Final Execution Letter -DWRF Final Loan Agreement

[ENTITY NAME] - DWRF Final Execution Letter.doc; [ENTITY NAME] – DWRF Final Loan Agreement.PDF;


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6.3.2.1.4 Construction Phase



Role Assignment

Seq. Default

Duration (Days)


Tracked Upload? Issuance?


action completed,

etc.)



provide template

name

Pre-Bid Documents Submitted

1 Milestone: Bid Solicitation Review

1-1 Pre-Bid Document Review

M GLU PM 1 N N

1-2 Pre-Bid Meeting

M GLU PM 2 N N

(Pre-Bid Meeting doc attached)

1-3

Pre-Bid Meeting Document Review

M GLU PM 3 N N

(Bid tabulation attached)

1-4 Bid Tabulation Review

M GLU PM 4 N N

(Contracting Documents attached)

1-5 Bidding Final Review

M GLU PM 5 Y N

Project Manager SRF Bid Documents Checklist

HOP Ch 8 - Attachment 1 Project Manager SRF Bid Documents Checklist.docx

Pay Request Submitted

2 Milestone: Pay Requests

2-1 GLU Pay Request Review

M GLU PM 1 N N


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Role Assignment

Seq. Default

Duration (Days)




action completed,

etc.)



provide template

name

2-2 PA Pay Request Review

M PA 2 N N

2-3 Issue Verification Letter

M PA 3 Y Y Verification Letter

Change Order Request Submitted

3 Milestone: Change Orders

3-1 ERU Change Order Review

M ERU Engineer

1 N N

3-2 GLU Change Order Review

M GLU PM 1 N N

3-3 Prepare Change Order Approval Letter

M GLU PM 2 Y N CO Approval Letter

3-4 Issue Change Order Approval Letter

M GLU PM 3 Y Y CO Approval Letter

4 Milestone: Inspections

4-1 Construction Interim Inspection 1

O GLU PM, ERU Engineer

1 Y Y PM Inspection Letter

HOP Ch 10 - Attachment 2 PM Inspection Letter.docx






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Role Assignment

Seq. Default

Duration (Days)




action completed,

etc.)



provide template

name









(30 days prior to Construction completion or 90% complete)

5 Milestone: Final Inspection

5-1 Construction Final Inspection

M GLU PM, ERU Engineer

1 Y Y Final Inspection Letter

6 Milestone: Project Closeout

6-1 Project Closeout

M GLU PM 1 N N

6.3.2.2 Water Pollution Control Revolving Fund Workflow

6.3.2.2.1 Planning Phase


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Trigger ID

Work Task Name

Optional / Mandator

y

Role Assignmen

t

Seq.

Default Duration (Days)


Tracked

Upload?

Issuance?






provide template name

Eligibility Survey Submitted

0 Eligibility Survey Review

M GLU PM N N

Pre-Qualification Submitted

1 Milestone: Pre-Qualification Review

1-1

GLU Pre-Qual Review

M GLU PM 1 N N

1-2

DOLA Pre-Qual Review

M DOLA 1 Planning Grant are requested? Y/N

Y N DOLA Pre-Qualification Review.

HOP Ch 2 - Attachment 4 DOLA Pre-Qualification Review.

1-3

PA Pre-Qual Review

M PA 1 N N

1-4

ERU Pre-Qual Review

M ERU Engineer

1 Priority Points Calculated

Y N WPCRF Eligibility Assessment Memo

HOP Ch 2 - Attachment 6 WPCRF Eligibility Assessment Memo.docx

1-5

NEPA Pre-Qual Review

M NEPA 1

Preliminary NEPA Determination: CatEx or FNSI

Y N Environmental Memo

HOP Ch 2 - Attachment 7 Environmental Memo

2 Milestone: Internal Review Meeting

2-1

Schedule Internal Pre-Qual Review Meeting

M GLU PM 2 N N


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Trigger ID

Work Task Name

Optional / Mandator

y

Role Assignmen

t

Seq.



Tracked

Upload?

Issuance?







2-2

Internal Review Meeting

M


3 A week before 4-2

N N

3 Planning Grant Review

M


3 Planning Grant Decision: Y/N

N N

4 Milestone: Pre-App Meeting

4-1

Schedule Pre-App Meeting

M GLU PM 4 Y Y Pre-Application Meeting Agenda

HOP Ch 3 - Attachment 1 Pre-Application Meeting Agenda

4-2

Pre-App Meeting

M GLU PM 5

45 days after Pre-Qual is received

N N

4-3

Prepare Draft Pre-Qual Review Letter


Y N Pre-Qualification Review Letter


4-4

Review Draft Pre-Qual Review Letter

M

DOLA, PA, ERU Engineer, NEPA

7 Grant Recommendation Amount

N N Pre-Qualification Review Letter


4-5

Issue Pre-Qual Review Letter


Y Y Pre-Qualification Review Letter



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Trigger ID

Work Task Name

Optional / Mandator

y

Role Assignmen

t

Seq.



Tracked

Upload?

Issuance?







5 Milestone: Planning Grant Execution

5-1

Prepare Draft Planning Grant Agreement


GLU PM, PA

9 Y N Planning grant agreement


5-2

Issue Final Planning Grant Agreement


GLU PM, PA

10 Y Y Planning grant agreement


Project Needs Assessment (PNA) + Environmental Checklist Submitted

6 Milestone: Project Needs Assessment (PNA) Review

6-1

GLU PNA Review M GLU PM 1 45 N N

6-2

DOLA PNA Review

M DOLA 1 45 Y N DOLA - Financial Review Memo

DOLA - Financial Review Memo

6-3

PA PNA Review M PA 1 45 N N

6-4

ERU PNA Review M ERU Engineer

1 45 Self-Cert? 100%, Partial, Streamline

Y N

Project Needs Assessment Engineer Review Memo

HOP Ch 4 - Attachment 4b WPC Project Needs Assessment Engineer Review Memo


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Trigger ID

Work Task Name

Optional / Mandator

y

Role Assignmen

t

Seq.



Tracked

Upload?

Issuance?







6-5

NEPA PNA Review

M NEPA 1 45 NEPA Determination: CatEx or FONSI

Y N Final Environmental Memo


7 Design and Engineering Grant Review

If 6-5 NEPA Determination = CatEx

7-1-a


M GLU PM 2 N N

7-2-a


M DOLA 2 N N

7-3-a


M PA 2 N N

7-4-a


M ERU Engineer

2 N N

7-5-a


M NEPA 2 N N

If 6-5 NEPA Determination = FONSI

7-1-b


M GLU PM 2 N N

7-2-b


M DOLA 2 N N


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Trigger ID

Work Task Name

Optional / Mandator

y

Role Assignmen

t

Seq.



Tracked

Upload?

Issuance?







7-3-b


M PA 2 N N

7-4-b


M ERU Engineer

2 Y N

WPC Project Needs Assessment Engineer Review

HOP Ch 4 - Attachment 4b WPC Project Needs Assessment Engineer Review Memo

7-5-b


M NEPA 2 Y N Final Environmental Memo


7-6

Prepare Draft Grant Documents

M GLU PM 3 Y N

-DE Grant Recommendation Memo -Design and Engineer Grant agreement -Planning Grant Agreement

HOP Ch 4 - Attachment 20 DE Grant Recommendation Memo.docx; and HOP Ch 4 - Attachment 19 Design and Engineer Grant agreement example.doc; and HOP Ch 2 - Attachment 9 Planning grant


of 71

Trigger ID

Work Task Name

Optional / Mandator

y

Role Assignmen

t

Seq.



Tracked

Upload?

Issuance?







agreement example.docx

7-7

Prepare Draft PNA Review Letter

M GLU PM 3 Y N

-PNA Review Letter -SRF DW Sel-Cert Form -WPCRF Final Execution Letter -WPCRF Loan Agreement - D&E Final Template -WPCRF Cover Letter -WPCRF Procedure Memo -WPCRF Directory - D&E

-HOP Ch 4 - Attachment 8 Project Needs Assessment Review Letter.docx -(HOP Ch 5 - Attachment 1a SRF DW Self-Cert Form) -CWRPDA - WPCRF Final Execution Letter-D&E.DOC; -CWRPDA - WPCRF Loan Agreement - D&E Final Template.doc; -CWRPDA - WPCRF Cover Letter - D&E.DOC; -CWRPDA - WPCRF Procedure Memo -


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Trigger ID

Work Task Name

Optional / Mandator

y

Role Assignmen

t

Seq.



Tracked

Upload?

Issuance?







D&E.DOC; -CWRPDA - WPCRF Directory - D&E.DOC

7-8

Issue Final PNA Documents

M GLU PM 4 Y Y

-DE Grant Recommendation Memo -Design and Engineer Grant agreement -Planning Grant Agreement -PNA Review Letter -SRF DW Sel-Cert Form -WPCRF Final Execution Letter -WPCRF Loan Agreement - D&E Final Template -WPCRF Cover Letter -WPCRF Procedure

HOP Ch 4 - Attachment 20 DE Grant Recommendation Memo.docx; and HOP Ch 4 - Attachment 19 Design and Engineer Grant agreement example.doc; and HOP Ch 2 - Attachment 9 Planning grant agreement example.docx HOP Ch 4 - Attachment 8 Project Needs Assessment


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Trigger ID

Work Task Name

Optional / Mandator

y

Role Assignmen

t

Seq.



Tracked

Upload?

Issuance?







Memo -WPCRF Directory - D&E

Review Letter.docx (HOP Ch 5 - Attachment 1a SRF DW Self-Cert Form) -CWRPDA - WPCRF Final Execution Letter-D&E.DOC; -CWRPDA - WPCRF Loan Agreement - D&E Final Template.doc; -CWRPDA - WPCRF Cover Letter - D&E.DOC; -CWRPDA - WPCRF Procedure Memo - D&E.DOC; -CWRPDA - WPCRF Directory - D&E.DOC

6.3.2.2.2 Design Phase


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Role Assignment

Seq. Default

Duration (Days)



End Point of The Task (i.e. Document to be

generated, action completed, etc.)




Public Meeting Documents Submitted

1 Milestone: Public Meeting Review

1-1 GLU Public Meeting Review

M GLU PM 1 N N

1-2 NEPA Public Meeting Review

M NEPA 1 N N

1-3 NEPA EA Acceptance Final Review

M NEPA 2 N N

If Planning Phase 6-4 NEPA Determination = CatEx

1-4-a Prepare Draft EA decision document

M NEPA 3 Y N Categorical Exclusion Template


1-5-a Issue Final EA decision document

M Division Director

4 Y Y Categorical Exclusion Template


1-6-a Publish EA decision document to WQ Website

M NEPA 5 N N

1-8-a Prepare Draft PNA & Environmental Approval Letter

M GLU PM 6 Y N PNA and CatEx Approval Letter


1-9-a Issue Final PNA & Environmental Approval Letter

M GLU PM 7 Y Y PNA and CatEx Approval Letter


If Planning Phase 6-4 NEPA Determination = FONSI

1-4-b Prepare Draft EA decision document

M NEPA 3 Y N Finding of No Significant Impact Template


1-5-b Issue Final EA decision document

M Division Director

4 Y Y Finding of No Significant Impact Template


1-6-b Publish EA decision document within Local Newspaper

M NEPA 5 N N

1-7 Public Comment Period M GLU PM 6 30 All comments/issues resolved? Y/N

N N


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Role Assignment

Seq. Default

Duration (Days)








1-8-b Prepare Draft PNA & Environmental Approval Letter

M GLU PM 7 Y N PNA and FONSI Approval Letter


1-9-b Issue Final PNA & Environmental Approval Letter

M GLU PM 8 Y Y PNA and FONSI Approval Letter


Environmental Assessment (EA) Submitted

2 Milestone: Environmental Assessment Review

2 NEPA Environmental Assessment Review

M NEPA 1 Y Y Environmental Assessment Comment Letter

HOP Ch 4 - Attachment 15 Environmental Assessment Comment Letter

Preliminary Effluent Limits (PELS) Submitted

3 Milestone: PELS Submitted

PELs Review M Permit Engineer

1 PEL Request Accepted? Y/N

N N

Site Application Submitted

4 Milestone: Site Application Reviewed

Site Location Application Review

M ERU Engineer

1 SA Accepted? N N

5 Milestone: Plans and Specifications Review

Self-certification + Draft Contract Documents + (Plans and Specs) Submitted

If Planning Phase 6-3 - Self-Cert = 100% OR Partial


M GLU PM 1 N N

5-2 ERU Self-Certification Review

M ERU Engineer

1 Self-Certification Approved? 100%/Partial/No

N N

If 6-3 - Self-Cert = 100%


M ERU Engineer

2 Y N SRF Self Certification Form Review Memo

ERU - WPC SRF Self Certification Form Review Memo


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Role Assignment

Seq. Default

Duration (Days)










HOP Ch 5 - Attachment 4b WPC Plans and Specs Approval Letter


M GLU PM 4 Y Y Plans and Specs Approval Letter


If 6-3 - Self-Cert = Partial





M ERU Engineer

3 Y N SRF Self Certification Form Review Memo

ERU - WPC SRF Self Certification Form Review Memo


M ERU Engineer

4 Y Y Plans and Specs Approval Letter


A letter of intent with PDR + Domestic WW Streamlined Design Cert + Draft Contract Documents + Plans and Specs Submitted

If Planning Phase 6-3 - Self-Cert = No, Streamline Review


M GLU PM 1 60 N N

5-2 ERU Streamline Document Review

M ERU Engineer

1 60

Streamline Approved? Y/N PDR Accepted? Y/N

N N

5-3 Prepare Draft Plans and Specifications Approval Lettter




of 71


Role Assignment

Seq. Default

Duration (Days)








5-4 Prepare Draft P&S Review Document

M ERU Engineer

3 Y N

-Plans and Specs Approval Letter -Streamline Design Approval


5-5 Issue Final Documents M ERU Engineer

4 Y Y

-Plans and Specs Approval Letter -Streamline Design Approval


6.3.2.2.3 Funding Phase


Role Assignment

Seq. Default

Duration (Days)





If document needs to be generated as an end point,


Loan Application Submitted

1 Milestone: Loan Application Review

1-1 Loan Application Completeness Review

M GLU PM 1 LA Complete? Y/N

N N

1-2 PA Loan Application Review

M PA 2

1-3 DOLA Loan Application Review

M DOLA 2

2 Milestone: Credit Report Finalized

2-1 Prepare Draft Credit Report

M DOLA 3 Y Y WPCRF Credit Report DOLA - WPCRF Credit Report Template.pdf

2-2 GLU Draft Credit Report Review

M GLU PM 4 N N

2-3 PA Draft Credit Report Review

M PA 4 N N

2-4 Finalized Credit Report M DOLA 5 Y N WPCRF Credit Report DOLA - WPCRF Credit Report Template.pdf

2-5 SRF Committee Meeting

M GLU PM, PA, DOLA

6 Financial Credit Report Accepted? Y/N

Y Y Final Credit Report

3 Milestone: Board Meeting Approval


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Role Assignment

Seq. Default

Duration (Days)





If document needs to be generated as an end point,


3-1 Authority Board Meeting

M GLU PM, PA, DOLA

7 Loan Approved? Y/N

N N

3-2 Prepare Draft Loan Approval Letter and Loan Agreement

M PA 8 Y Y

-WPCRF Approval Letter -WPCRF Draft Loac Agreement -WPCRF Directory -WPCRF Cover Letter

CWRPDA - WPCRF Approval Letter.doc; CWRPDA - WPCRF Exhibit C - 3.5% Template.xls; CWRPDA - WPCRF Draft Loan Agreement - DL 2%.doc; CWRPDA - WPCRF Directory.doc; CWRPDA - WPCRF Cover Letter.doc

3-3 Issue Final Loan Approval Letter and Loan Agreement

M PA 9 Y Y

-WPCRF Approval Letter -WPCRF Draft Loac Agreement -WPCRF Directory -WPCRF Cover Letter

CWRPDA - WPCRF Approval Letter.doc; CWRPDA - WPCRF Exhibit C - 3.5% Template.xls; CWRPDA - WPCRF Draft Loan Agreement - DL 2%.doc; CWRPDA - WPCRF Directory.doc; CWRPDA - WPCRF Cover Letter.doc

4 Milestone: Loan Execution

4-1 PA Loan Closing Review

M PA 10 N N

4-2 GLU Loan Closing Review

M GLU PM 10 N N

4-3 DOLA Loan Application Review

M DOLA 10 N N

4-4 Loan Execution M GLU PM 11 N N

4-5 Issue fully executed loan agreement and supporting docs

M PA 12 Y Y

-WPCRF Final Execution Letter -WPCRF Final Loan Agreement

[ENTITY NAME] - WPCRF Final Execution Letter.doc; [ENTITY NAME] – WPCRF Final Loan Agreement.PDF;

6.3.2.2.4 Construction Phase


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Role Assignment

Seq. Default

Duration (Days)

Special Data

Elements to be

Tracked

Upload? Issuance?


Document to be generated, action completed, etc.)




Pre-Bid Documents Submitted

1 Milestone: Bid Solicitation Review

1-1

Pre-Bid Document Review

M GLU PM 1 N N

1-2

Pre-Bid Meeting M GLU PM 2 N N

(Pre-Bid Meeting doc attached)

1-3

Pre-Bid Meeting Document Review

M GLU PM 3 N N

(Bid tabulation attached)

1-4

Bid Tabulation Review

M GLU PM 4 N N

(Contracting Documents attached)

1-5

Bidding Final Review

M GLU PM 5 Y N

Project Manager SRF Bid Documents Checklist

HOP Ch 8 - Attachment 1 Project Manager SRF Bid Documents Checklist.docx

Pay Request Submitted

2 Milestone: Pay Requests

2-1

GLU Pay Request Review

M GLU PM 1 N N

2-2

PA Pay Request Review

M PA 2 N N

2-3

Issue Verification Letter

M PA 3 Y Y Verification Letter

Change Order Request

3 Milestone: Change Orders


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Role Assignment

Seq. Default

Duration (Days)

Special Data

Elements to be

Tracked

Upload? Issuance?






Submitted

3-1

ERU Change Order Review

M ERU Engineer

1 N N

3-2

GLU Change Order Review

M GLU PM 1 N N

3-3

Prepare Change Order Approval Letter

M GLU PM 2 Y N CO Approval Letter

3-4

Issue Change Order Approval Letter

M GLU PM 3 Y Y CO Approval Letter

4 Milestone: Inspections

4-1

Construction Interim Inspection 1




4-2





4-3





4-4






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Role Assignment

Seq. Default

Duration (Days)

Special Data

Elements to be

Tracked

Upload? Issuance?






(30 days prior to Construction completion or 90% complete)

5 Milestone: Final Inspection

5-1

Construction Final Inspection

M GLU PM, ERU Engineer

1 Y Y Final Inspection Letter

6 Milestone: Project Closeout

6-1 Project Closeout M GLU PM 1 N N

CEOS Agency Portal – Admin Guide

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