Colorado Department of Public Health & Environment · PDF fileColorado Department of Public...

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CCEEOOSS AAGGEENNCCYY PPOORRTTAALL –– UUSSEERR GGUUIIDDEE

Colorado Department of Public Health & 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 DOCUMENT OVERVIEW ...................................................................................................................... 4

1.1 DOCUMENT PURPOSE ....................................................................................................................... 4

1.2 DEFINITIONS, ACRONYMS, AND ABBREVIATIONS ................................................................................. 4

1.3 PREREQUISITES ................................................................................................................................ 4

2 OVERVIEW OF BUSINESS PROCESSES IN CEOS ........................................................................... 5

2.1 ACCOUNTS AND SECURITY MANAGEMENT .......................................................................................... 5

2.1.1 Public Account Creation .......................................................................................................... 5

2.1.2 CDPHE Agency Account Creation .......................................................................................... 6

2.2 SUBMITTAL AND PERMIT MANAGEMENT .............................................................................................. 6

2.3 PERFORMANCE METRICS MANAGEMENT ............................................................................................ 8

3 WEB PART ............................................................................................................................................ 8

3.1 SUBMITTAL SUMMARY ....................................................................................................................... 8

3.2 MY TASKS ........................................................................................................................................ 9

3.3 MESSAGE CENTER ............................................................................................................................ 9

3.4 MY QUERIES ..................................................................................................................................... 9

3.4.1 System Default Queries .......................................................................................................... 9

3.4.2 Self-Created Queries ............................................................................................................... 9

4 ACCOUNT AND SECURITY MANAGEMENT.................................................................................... 10

4.1 MANAGE “MY ACCOUNT” ................................................................................................................. 10

4.2 MANAGE SYSTEM USERS ................................................................................................................ 11

4.2.1 Viewing User Information ...................................................................................................... 12

4.2.2 Creating New Agency User ................................................................................................... 15

4.3 MANAGE PUBLIC USERS .................................................................................................................. 16

4.3.1 Viewing User Information ...................................................................................................... 17

4.3.2 Change User’s Account Type and Account Association ....................................................... 18

4.3.3 Creating New Public User ..................................................................................................... 20

5 SUBMITTAL AND ISSUANCE MANAGEMENT ................................................................................ 20

5.1 OVERVIEW OF SUBMITTAL REVIEW FEATURES .................................................................................. 21

5.1.1 Submittal List ......................................................................................................................... 21

5.1.2 Summary of Review Status ................................................................................................... 21

5.1.3 Submission Info ..................................................................................................................... 22

5.1.4 Work Activities ....................................................................................................................... 23

5.1.5 Final Decision ........................................................................................................................ 25

5.1.6 Issuance ................................................................................................................................ 26

5.1.7 Correspondence .................................................................................................................... 26

5.1.8 Email History ......................................................................................................................... 27

5.2 PERMIT / CERTIFICATE MANAGER .................................................................................................... 28

5.3 TRACKING CORRESPONDENCES WITH FACILITY USERS ..................................................................... 29

5.4 MANAGE PAPER SUBMITTAL ............................................................................................................ 30

5.4.1 Create New Submittal ........................................................................................................... 30

5.4.2 Edit Pending Submittal .......................................................................................................... 31

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6 PROJECT MANAGEMENT ................................................................................................................. 32

6.1 CREATE A NEW PROJECT: ............................................................................................................... 32

6.2 MANAGE AN EXISTING PROJECT: ..................................................................................................... 33

7 ENTITY SEARCH ................................................................................................................................ 33

8 PERFORMANCE METRICS TRACKING ........................................................................................... 34

8.1 OVERVIEW OF REPORT VIEWER FUNCTIONS ..................................................................................... 35

8.1.1 Filtering Criteria ..................................................................................................................... 35

8.1.2 Export & Print Report ............................................................................................................ 35

8.2 APPLICATIONS PROCESSED REPORT ............................................................................................... 35

8.3 INTERMEDIATE MILESTONES REPORT ............................................................................................... 36

8.4 PENDING APPLICATIONS REPORT .................................................................................................... 37

9 ADDITIONAL CEOS FUNCTIONALITIES .......................................................................................... 38

9.1 CALENDAR ........................................................................................................................................... 38

9.1.1 Inspection Calendar .............................................................................................................. 39

9.1.2 Task Calendar ....................................................................................................................... 39

9.2 WORK TASK MANAGEMENT ............................................................................................................. 40

9.2.1 Tracking My Task .................................................................................................................. 42

10 OTHER HELPFUL INFORMATION ................................................................................................. 43

10.1 SUBMITTAL STATUS DESCRIPTIONS .............................................................................................. 43

10.2 PERMIT STATUS DESCRIPTIONS ................................................................................................... 44

10.3 INSPECTION STATUS DESCRIPTIONS ............................................................................................. 45

10.4 SUBMITTAL WORKFLOW ............................................................................................................... 46

10.4.1 Water Quality Control Division Work Flow ............................................................................ 46

10.4.2 Air Pollution Quality Control Division Work Flow ................................................................... 48

10.4.3 Grant and Loan Division Work Flow ...................................................................................... 51

CEOS Agency Portal-User Guide

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1 Document Overview

1.1 Document Purpose

This document serves the purpose of providing instructions on the usage of the Georgia CDPHE Online Permitting & Reporting Services System (CEOS). The documentation has been divided into two major sections:

Overview of business process

Detailed instructions on independent modules

1.2 Definitions, Acronyms, and Abbreviations

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

1.3 Prerequisites

Requirement Impact on Project

Internet Connection Necessary for connecting to the CEOS Submittal Site

Internet Explorer (version 7.0 or above) Optimal for capitalizing on the features of the CEOS System

PDF file viewer View any system-generated reports in PDF format

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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2 Overview of Business Processes in CEOS This section provides a high level overview of the business processes supported by CEOS similar to use case descriptions as a table.

2.1 Accounts and Security Management

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 an account.


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2.1.2 CDPHE Agency Account Creation

2.2 Submittal and Permit Management

The below diagram displays a high level description of how submittals are processed utilizing the CEOS system for both the Air and Water Branch.


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2.3 Performance Metrics Management

CEOS provides several management tools to track performance metric for CDPHE management, which include:

Dashboard Summary: to track branch wide submittal review status, as well as work task status of each staff (Please refer to Section 3)

Summary Reports: which include Submittals Processed Report, Intermediate Milestones Report, Pending Submittals Report, and Inspection Status Report (Please refer to Section 0)

Work Tasks Management Tool: using Calendar View and Grid View to intuitively track the progress of each work task. (Please refer to Section 9)

These tools will be described in the later sections of this guide.

3 Web Part The home screen of CEOS, also known as the dashboard, contains several elements customized to display to the user a general overview of current activities associated to them.

Submittals/ Request Summary

My Task

Message Center

My Queries

3.1 Submittal Summary

1The submittal, permit, and reporting summary of the dashboard display several breakdown analyses of the

system activities. In the ‘Submittal Summary’ the user can view the number of submittal that has been submitted alongside those that need attention, approved, amended, revised, withdrawn, or denied/failed in the CEOS system. The user can view the items that have been categorized by clicking on the number of submittals in that category. This will bring the user to ‘Submittal Review’ section of CEOS, displaying only those submittals that belonged to the specified category.


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3.2 My Tasks

2The ‘My Task’ feature is a useful feature that has been implemented so that the user can see what tasks

have been assigned to them. The list is ordered by the ‘Due Date’ descending so that the activities that have been overdue the longest take priority in the view. Currently ‘My Tasks’ has been configured to only show scheduled submittal statuses.

3CEOS provides additional visibility tools for users in multiple groups and/or who manages other users. The

filter tool above ‘My Task’ allows the user to view tasks for their associated groups or by individuals.

3.3 Message Center

4The ‘Message Center’ notifies the user of any sort of communication that requires attention. By clicking on

the notification, it will bring the user to the section where the message is displayed.

3.4 My Queries

5‘My Queries’ is versatile in its approach to provide information to the user. The details of these queries are

configured under ‘Report -> Query -> My Queries’. This allows the user to customize their results with precision. Unless the user is extremely familiar with the database structure, modification of these queries is not advised.

3.4.1 System Default Queries

Currently CEOS is able to pre-configure queries based on requirements. The pre-configured queries will be shown on every agency user account.

3.4.2 Self-Created Queries

The self-created query requires an in-depth knowledge of the current database structure in order for this tool to be useful. For example, if the current search filters did not contain a filter option, then a query could be created to compensate. In the example below, the query will return all the addresses in the database filtered by the city named ‘Atlanta’.


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Query Statement

Query Result

4 Account and Security Management This section contains details on not only how to manage the personal account but also details on managing other system users and public accounts.

4.1 Manage “My Account”

In ‘My Account’ the user can modify their personal information. Situations where a user might need to change their information could be if the user changed their e-mail or telephone number. Having a valid current e-mail address is extremely important for using CEOS in situations where the user password needs to be reset, the user wants to receive e-mail notifications when they are assigned a new task, and etc. Additionally, in this section, the user can change their password. If the user desires, the user can upload a digital signature that can be used when sending out e-mails generated by the system.


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My Account Information Page

My Account Change Password Section

My Account Digital Signature Upload

4.2 Manage System Users

From time to time, agency users will need to manage the account settings of both agency users. This module is only opened for managers. Cases where a user will need to access this section would be adding a new user or deleting a user from their group. To manage system users, navigate to ‘System Settings -> System Users’. This feature will only be available to those with certain access levels.


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System User Menu

In the above Search Screen, the administrator can search for a system user based on the search filter criteria. The search can be conducted by using the following fields:

User Name: Indicate the system user account name

First Name: User given name

Last Name: User family name

E-Mail: Email address

User Account Accepted: Yes. No, or All

Account Status: Choose a status for your account: Active, Inactive or All

Security Group: Group in which user is associated with (i.e. Grants and Loans Unit) A User can also sort the search results by simply clicking the corresponding label. (For example, click First Name label to sort the results in ascending/descending order).

4.2.1 Viewing User Information

System User Grid View


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In the above Search Results screen, the administrator can view any User Information by simply clicking the View /

Edit ( ) button. In the User Information screen, the administrator can navigate through the different sections for making updates, if required.

4.2.1.1 General Information

System User Detailed Information

In the above General Information screen, the administrator can update or change an user’s information through the following fields; First Name, Last Name, Employer, Job Title, Address Line 1, Address Line 2, City, State, Zip, Country, Phone Number, Extension, Mobile Number, and Email.

4.2.1.2 User Account Information

System User Account Activation

In the above User Account Information screen, the administrator can select the status of User Status to either active or inactive from the drop down list. By setting the user to ‘Inactive’, the user can no longer access the CEOS


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system. The administrator can also change the status of Account Approval Status to either Yes or No from the drop down list. If needed, the system provides a field to input notes about the user account.

4.2.1.3 Security Groups

Group Association Under System User Settings

In the above Security Groups screen, administrators can associate groups with a particular user by clicking the

button. At any point in time, the administrator can delete the group from the existing

Groups by simply clicking the delete ( ) button of the corresponding Group. The security group feature is extremely important due to the fact that the CEOS system relies heavily on the grouping to assign key tasks and to provide visibility.

4.2.1.4 System Roles


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Role and Group Association

In the above System Roles screen, an administrator can assign any System role to Groups by selecting the corresponding checkbox. Before assigning, the Role must be active by selecting the checkbox in the first column. By associating the group to the role, that user now has the role access level within the associated group.

4.2.2 Creating New Agency User

To create a new agency user, click the button on the agency user home page (System Setting -> Agency Users). In the New User Information screen, enter the necessary information in the following sections and

clicks the button to save the information of newly added user.

New System User Registration


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In addition, the user can designate the username and associate the user to a security group. In order to have the user account acknowledged, set the user status to active.

New System User Account Activation

4.3 Manage Public Users

By clicking System Setting -> Public Users, an admin user can open a search page with all currently existing public users displayed in the results grid-view by default.

Public User Account Grid View

In the above Search Screen, the administrator can search for a public user based on the search filter criteria. The administrator can search by using the following fields:

User Name: Indicate the system user account name

First Name: User given name

Last Name: User family name

Account Status: Choose a status for your account: Active or Inactive

Email: Email address


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The administrator can also sort the search results by clicking the corresponding label. (For example, click First Name label to sort the results in ascending/descending order).

4.3.1 Viewing User Information

Public User Account Management Tool

In the above Search Results screen, the administrator can view any User Information by clicking the View / Edit

( ) button. In the User Information screen, administrators can navigate through the different tabs to make any necessary updates. In addition, administrators can perform the following actions:

a. Click Change Status “ ” icon to change public user’s status.

b. Click Reset Password “ ” icon to reset public user’s login password.

c. Click Reset PIN “ ” icon to reset public user’s PIN.

4.3.1.1 General Information

Public Account Detail Menu

When the View / Edit ( ) button is clicked for the user, the administrator can update or change the public user information through the following fields; First Name, Last Name, User Name, Status, Company, Job Title, Primary Phone Number, Extension, Mobile Phone Number, Fax Number, Email, Address Line 1, Address Line 2, City, Country, State, and Zip.


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4.3.1.2 Address Information

Public Account Information

In the above screenshot, the administrator can update or change the public user address information through the following fields; Address Line 1, Address Line 2, City, country, State, and Zip.

4.3.2 Change User’s Account Type and Account Association

This section describes in detail on how to manage public user accounts so that public users can function properly on the Public Portal.

4.3.2.1 Change User’s Role

Within the public user profile, lies the ‘Manage Account Type’ sub menu. In this menu, the user has the ability to configure the account type of a public user. The user can select whether or not the user is a ‘Preparer’ or a ‘Responsible Official’. If the user was selected as a ‘Preparer’, the ‘Responsible Official’ would associate the ‘Preparer’ via the Public Portal. In addition to selecting the public user role, the type of submittal the ‘Responsible Official’ can utilize can also be selected.

Public Account and Facility Association


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4.3.2.2 Inactivate / Activate Associated Facility

In order to activate an associated facility for a public user account, click on the icon. This will prompt a menu for the user to either switch the account to ‘Active’, ‘Inactive’, or ‘Pending’. If the status is set to ‘Active’, the public user will be able to then create and submit submittal that was selected for that particular facility. If the status is set to ‘Inactive’ or ‘Pending’, the public user can still see the status but will not have any rights to that facility.

Besides being able to manage the associated facility, the agency can also see which ‘Responsible Official’ a ‘Preparer’ is associated with. The ‘Manage Account Association’ tab within ‘Manage Public User’ allows the user to view. CEOS is currently configured so that a ‘Responsible Official’ can be a ‘Preparer’ for another ‘Responsible Official’.

Public Account Association View

4.3.2.3 Issue / Reset PIN

For new ‘Responsible Official’, once their account is set up, they will need a PIN issued in order to submit submittals. In this module, the user would click on the image below to ‘Issue’ a PIN to the public user selected. The PIN will be sent in a form of an e-mail to the selected public user.


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Issue Pin Button

4.3.2.4 Reset Password

In certain cases a user might need their password reset. Through this module, the user can reset a public users password by clicking on the ‘lock’ button displayed in the below image.

Reset Password Button

4.3.3 Creating New Public User

An administrator also has the ability to add a new user by simply clicking the button. In the New User Information screen, a user can enter the necessary information in the following sections and clicks the

button to save the information of newly added user. After saving the user info, a message on the top of the screen will display “Save Successfully” to notify that the user account has been created. The newly created user will then receive an e-mail with new password. They will have to log into the Public Account using the information to reset his/her password, pin, and security questions.

5 Submittal and Issuance Management In this section, the features associated with the work flow and the actual work flow of the submittal process will be detailed. In the next part of this section, this document will discuss how to manage permits once CEOS has the permit issued.


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5.1 Overview of Submittal Review Features

The submittal review features provides the agency several tools to assist in the submittal review process. The submittal features allows the user to see the work activity done per submittal. The user can also view the submittal and its issuance. The section can be broken down into several parts:

Submittal List

Summary of Review Status

Submission Info

Work Activities

Final Decision

Issuance

Correspondence

Email History

5.1.1 Submittal List

When a public user submits a submittal, the submittal will appear in the ‘Submittal Review’ module of the ‘Submittal’ section. From this module, the user is given multiple search functions ranging from ‘Submittal ID’ to ‘Facility Name’. By clicking on ‘Facility’, the submittals will sort by ascending or descending order. By clicking on ‘Submittal Info’, the submittals will sort by submittal ID in ascending or descending order.

Submittal List

5.1.2 Summary of Review Status

The ‘Review Status’ currently displays the current scheduled task. If the submittal is complete, it will display ‘Complete’ and if the submittal is withdrawn, it will display ‘Withdraw’.


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5.1.3 Submission Info

By clicking on the icon on the ‘Submittal Review’ section, the submittal ‘Submission Info’ will open up. In this window, CEOS provides a header that provides additional detail of the submittal. The header has two active features currently: Receipt and Notification. The receipt function provides the digital record of the submission logging the users IP address. The send notification feature allows the user to e-mail the facility user directly.

In the actual ‘Submission Info’ module, the user can view the submittal in either PDF format per each section or in a digital version. To view the submittal as a PDF, the user can select from the ‘Form View’ column and click on the section that is desired to be viewed. If the user wants to view the digital version, the same logic would apply but the user would click on the respective field in the ‘Online Submittal’ column.

The last part of the ‘Submission Info’ section is the ‘Submittal Review History’. This displays any significant acitivites associated with the submittal, such as if the submittal was withdrawn, denied, or in the case below, put on hold.

If the submission had a request for withdrawal, revision, or termination, the status would display in this section for the user to either approve or deny the request.


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The ‘Submission Info’ documents tab displays all current documents associated with the submission. This could range from ‘Building Layout’ to ‘Individual Test Data’ depending on the requirement for the submittal. If documents were received by general mail, the user can scan and upload the documents associated with the submittal in the ‘Recevied Files for Required Documents’ section.

5.1.4 Work Activities

Under ‘Submittal Review’ and the ‘Work Activities’ tab, the user can view each task of the review process. The user can either filter by the ‘Status’ of the task or the ‘Assigned To’ individual. Work tasks highlighted in green marks the task completed, while tasks in tan means scheduled. Any task that is grey signifies that they are not currently accessible. Due to the importance of ‘Public Advisory Determination’, the task is highlighted in yellow and once completed, will be green.


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To view descriptions, documents, and additional information for each work

task, the user can click on the icon to display the detail description of the work task. Although each work task screen may differ slightly, the general format is typical of what is shown below. The detailed work task consists of a status, complete date, and description. Keep in mind that only the person assigned to the work task can change, upload documents, or save.

Currently, CEOS allows for four types of statuses, which are ‘Scheduled’, ‘Cancelled’, ‘Overdue’, and ‘Completed’. Once the task is triggered, the task is defaulted to ‘Scheduled. By setting a work task to ‘Cancelled’, it will grey out the item from the list of tasks in ‘Work Activity Info’ and will open the next task in the sequence. If the status is set to ‘Overdue’, the task will be highlighted in red in the ‘Work Activity Info’ as an overdue task. To complete a task, all the task criteria must be completed such as issuing a permit. A complete date is necessary for the task to be saved as ‘Completed’.

Some work tasks require supporting documents to be uploaded or a permit to be uploaded in order to complete

the task. By clicking the icon, the system will allow the user to upload documents associated with the submission. The documents can be viewed by clicking the item in the ‘Document’ column.


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The work task has an additional feature in which users can assign a particular person to the work task. In the right side of the screen, a side bar is displayed where the user can filter system users by groups or by name. By clicking on the ‘chain’ icon, new users are can be assigned or existing users un-assigned to the task. Once the task is completed, the side bar will disappear from the task.

Once a work task is completed, the work task can be accessed but the information cannot be modified. The sections will be greyed out. The only exception is the ‘Assigned to’ function which will be further described in the review process.

5.1.5 Final Decision

The ‘Final Decision’ tab allows the user to change the status of a submittal during the work flow process. The current statuses are listed below.

Admin Review – Default status when reviewing a submittal

Withdraw – Sets the submittal as withdrawn. All work flow is stopped.

Denied – Sets the submittal as denied. . All work flow is stopped.

Canceled – Sets the submittal as canceled. . All work flow is stopped.

On Hold – Submittal review is put on hold. This pauses the counter for the work flow and due date. To remove the ‘On Hold’ status, return to the ‘Final Decision’ window and select the ‘Resume’ button where the ‘Make Decision’ button was.

The user can monitor the actions taken by the ‘Submittal Review History’ grid below the ‘Decision’ section.


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5.1.6 Issuance

The ‘Issuance’ tab allows the user to view all permits that were issued. CEOS provides two tools for the user in this

section. The first one is the view option. By selecting the icon, the user can view the submitted permit

document. The second tool is the edit button. By selecting the icon, a new menu displays allowing the user to set the effective date, expiration date, change status, or add comments to the permit.

5.1.7 Correspondence

The ‘Correspondence’ section can be accessed in two different ways. If a public user has sent a correspondence to the CDPHE user who is responsible for their submittal, a notification on the dashboard’s ‘Message Center’ will be

displayed. Unread messages are tagged with a yellow flag as an indicator. By clicking on the icon, the conversation detail can be viewed. The screen displays the user who sent the correspondence and a time stamp of when the correspondence was sent.


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If no correspondence exists, one can be created by clicking on ‘New’. The below window will display asking for a ‘Category’ in reference to the matter described in the correspondence. Both the subject and message are mandatory fields in order for the message to be sent.

5.1.8 Email History

CDPHE users can utilize the ‘Email History’ section for reference of what notifications the public user received. By

clicking on the icon, the user can view the notification that was sent to the public user. The CDPHE user can resend the notification in situations where the public user did not receive the notification the first time.


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5.2 Permit / Certificate Manager

The ‘Permit/Certificate Manager’ provides a useful tool in managing permits that were issued through CEOS. The module can be found under the ‘Submittal List’ drop down menu.

The basic search functions allow the user to search permits via certain input parameters such as ‘App ID’, ‘Permit Number’, ‘Site Address’, and ‘Facility Name’. The permits can be further filtered by type of permit with the ‘App List’ function.


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If the user needs to refine his search further, by clicking the ‘Advanced Search’ option lets the user search permits by the date range of submitted/permit date, category, department, and by type.

Once the desired permit is found, the user has several options they can select from. The user can amend the permit by selecting the ‘Amend’ button. This will copy the previous submission and allow the user to submit a new submittal.

By clicking on the icon, the user can change the status of the permit. The edit button when selected will open a pop up where the user can define the effective permit dates and status and add comments. Currently the permit statuses can be set as 'Amend/Modify', 'Terminate', ‘Transfer’, and ‘’Change Contact’. If the user just wants

to view the permit, then the user can click on the icon to load a digital copy of the permit.

5.3 Tracking Correspondences with Facility users

CEOS provides a messaging utility, ‘Correspondence’, to allow the facility users communicate to the CDPHE directly. The Agency has several different ways to access this section. The user can access this section via the dashboard’s ‘Message Center’ or the submittal itself as detailed in the earlier sections. The user can also utilize the


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‘Correspondence’ module which can be found under the ‘Submittal’ tab. New messages are signaled by the icon that appears in the ‘Total Messages’ column. The correspondences are connected through the submittal identification. In order to find the correspondence the user is looking for, CEOS provides a basic search above the grid view. The user can search by the ‘Submittal ID’, ‘Submittal Type’, ‘Correspondence Category’, or the ‘Date Range’. The user can also filter the list by limiting the search to new messages by clicking on the checkbox for ‘New Messages Only’.

By clicking on the icon, the user can view the detail of the correspondence for the selected submittal. The screen will provide a prompt to allow the user to respond back to the facility user. The detail view provides the subject, create date, conversation, facility user name, and timestamps of when each message was sent. The user can also mark the conversation as unread by checking the checkbox. This allows the user to filter and come back to respond to the facility user at a later date.

5.4 Manage Paper Submittal

When the CDPHE receives a paper submission, CEOS provides the agency a way to enter and store the information into CEOS. This allows the agency to have an additional tool to manage paper submission alongside electronic submissions.

5.4.1 Create New Submittal

Once a paper submittal is received, the agency will need to determine which category the submittal would fall under. Once determined, the user can go to the ‘Submittal Module’ and under ‘Paper Submittal’, click ‘Create New Submittal’ to start the process.

At this point, the user can select the submittal type necessary and begin the submittal process


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The first part of the process involves selecting the facility user for the submittal. CEOS provides a search toolbar in order to search by the facility user’s first/last name, address, or the facility name.

If the submittal exists, please select the radio button to make the selection and click ‘Create Submittal’. If the user does not exist, then click on ‘New Facility User’.

The new facility user option allows the user to enter in the ‘Account Type’ the user is responsible for. The facility name contains an auto-fill feature. This allows the user to partially type in a facility name and allow the user to select from facilities that match what already has been entered.

The ‘First Name’, ‘Last Name’, ‘Phone Number’, ‘Email’, ‘Address’, ‘State’, and ‘Zip Code’ are required fields. The Email’ must be unique to the system or it will generate an error in the creation process.

5.4.2 Edit Pending Submittal

In certain cases the user might have not finished a paper submittal completely so CEOS has them categorized under pending submittals. These submittals can be found under the Submittal tab -> paper submittal -> edit pending submittal. The page is defaulted to list the submittal as a gallery view.


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By placing the mouse over the icon, the user will be able to view additional details pertaining to the submittal such as the status, updated date/time, owner, and full address. The user can also at this point decide that the submittal is no longer needed and can

delete the pending submittal by clicking on the icon.

Clicking the ‘edit’ button allows the user to continue on finishing the submittal from the point when the last submittal was saved.

6 Project Management After successful submission, facility user is able to keep track of the submission status of each submittal. The submittal can be tracked using the following steps:

6.1 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.

Step 6: 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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6.2 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

7 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.

Step 3: Select a desired entity record by clicking the icon, then a tree-view will show on the left hand side of the page and four tabs: ‘General Informaiton’, ‘Submittal’, ‘Issuance’, and ‘Inspection’ will show on the right hand side of the page


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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.

8 Performance Metrics Tracking With so many different features in CEOS, CEOS provides reporting and task management tools to allow the user gain better visibility of the work task status and progress. To access Report, simply click on the ‘Report’ tab.


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8.1 Overview of Report Viewer Functions

8.1.1 Filtering Criteria

From the report filtering criteria section, records selection can be set based on different individual criteria. Click on

the icon to access.

For example: Date range or Region can be specified to retrieve desired records.

8.1.2 Export & Print Report

Report can be saved by clicking the disk icon. Report can also be exported to different format, such as XML, CSV, PDF, Excel or Word.

8.2 Applications Processed Report

The ‘Application Processed Report’ provides a breakdown of the different types of applications that were processed and the median review time.


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The navigation bar on the side allows the user to look up applications that were used in generating the report. By double clicking on the individual application number, the user will be directed towards the detail application section of the report. This provides the user with a high visibility of the amount of time an application review process takes.

Be sure to click the icon to open the report to view the full details.

8.3 Intermediate Milestones Report

The ‘Intermediate Milestone Report’ plays an intricate role in informing the user how long it has taken a task to be completed for a particular submittal. As an example, the WLA form was selected. The report displays all the work


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activities associated with the particular submittal. The report then breaks down to the number of submittal completed and the length it took to complete.

By utilizing the side navigation bar, the user can navigate to a particular submittal in question. The detail reporting provides information the status, date started, and assigned to for each particular task for that submittal type. This provides the user with a high visibility of each type of work task.

8.4 Pending Applications Report

The ‘Pending Application Report’ can be filtered by application type and age. The report will provide the number of total applications not completed.

The application detail will be listed by the submittal number. It will show the submittal number, the most current task, status, start date, and assigned o user.


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9 Additional CEOS Functionalities

9.1 Calendar

The inspection calendar can be viewed displaying by the week, month, and year. Any scheduled inspection that falls in the date range of the view will be displayed in green. The calendar provides a hyperlink so the user can click on the hyperlink to jump to the specified inspection.


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9.1.1 Inspection Calendar

9.1.2 Task Calendar

The task calendar allows the user to see what tasks are assigned to them and can view them by the week, month, or year. The tasks are highlighted in green and will display the date scheduled, the status, and the duration. If the tasks are viewed by month, the hyperlink will direct the user to my task rather than the task itself.


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9.2 Work Task Management

‘Work Task Management’ is a powerful tool that can modify work task assignments in several different ways. The basic search bar allows the user to search by task name, task type, or filter by status. If additional parameters are needed, the user can use the ‘Advance Search’ option to view additional parameters.

The advance search lets the user specify the date range – start, due, and complete date.

By selecting the icon next to the work task, the user will navigate to the task information menu. In this menu, the user can specify the task name, change the status, due/start date, and type of work item. The user can add additional information in order to track, modify, or simply add a task description.


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By clicking the button, the user can now associate whomever they want the work task to be assigned to. Multiple users can be selected by checking the checkbox of the desired users.


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9.2.1 Tracking My Task


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10 Other Helpful Information

10.1 Submittal Status Descriptions

Submittal Status Status Description

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

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

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

Admin Review Start The submittal 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 submittal form is complete; Submission ID remains the same when status is updated.

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

Tech Review Completed The submittal has been technical reviewed.

Public Comment Period Open

The public notice stage has begun.

Public Comment Period Closed

The public notice stage is complete.

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

Permit Issued The permit has been issued to the facility user.

Withdraw Submittal has been withdrawn by the Facility user; 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 submittal was requested and approved for termination. The submittal can no longer be altered and all work flow is halted.

Modification The submittal was requested for modification/update.


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Submittal Status Status Description

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

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

Rejected

Submittal has been rejected for a permit (either because permit is not needed or work has already been completed); with this status, submittal 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; facility user/agency user must make a new submission to request for a permit.

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

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

10.2 Permit Status Descriptions

Issuance Status Status Description

Issued Permit has been issued.

Expired Permit has expired; this occurs when the facility user 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.


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Issuance Status Status Description

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

10.3 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 Submittal 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 Facility user has requested an inspection for an available date and time

Request Ready Submittal is ready for facility user 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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10.4 Submittal Workflow

10.4.1 Water Quality Control Division Work Flow

10.4.1.1 Construction Stormwater Permit

10.4.1.1.1 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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10.4.1.1.2 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




10.4.1.2 Construction Dewatering or Ground Water Remediation Permit

10.4.1.2.1 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


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SEQ #


Mandatory

Upload Docum

ent?

Role Assignment

Default Task

Duration (Days)

Issuance?




Template

5 Sign and Issue Final Certification




10.4.1.2.2 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




10.4.2 Air Pollution Quality Control Division Work Flow

10.4.2.1 APEN – Condensate Storage Tanks

10.4.2.1.1 New Application for Coverage under GENERAL PERMIT Workflow

This work flow will not be applicablein pilot phase.

SEQ #

Work Task Name

Optional /

Mandatory

Upload Docume

nt?

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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SEQ #

Work Task Name

Optional /

Mandatory

Upload Docume

nt?


Default Task

Duration (Days)

Issue Permit/APEN

?



Template

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

10.4.2.1.2 APEN Submittal for Update Only Workflow

SEQ #

Work Task Name

Optional /

Mandatory

Upload Docume

nt?


Default Task

Duration (Days)

Issue Permit/AP

EN?

Special Data Elements to be Tracked (besides person, due date, complete date, task status, comments)

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

3 Fee Management



10.4.2.2 APEN – Reciprocating Internal Combustion Engines

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

This work flow will not be applicable in pilot phase.


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SEQ #

Work Task Name

Optional /

Mandatory

Upload Docume

nt?


Default Task

Duration (Days)

Issue Permit/APE

N?

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

4 Issue Final Letter


Y

10.4.2.2.2 APEN Update Workflow

SEQ #

Work Task Name

Optional /

Mandatory

Upload Docume

nt?


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




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10.4.3 Grant and Loan Division Work Flow

10.4.3.1 Drinking Water Revolving Fund Workflow

10.4.3.1.1 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

10.4.3.1.2 Design Phase


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


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Optional /

Mandatory

Role Assignment



Tracked

Upload

?

Issuance?


action completed,

etc.)


template name

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 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

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


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

Finding of No Significant Impact


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Optional /

Mandatory

Role Assignment



Tracked

Upload

?

Issuance?


action completed,

etc.)


template name

Impact Template

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


M GLU PM 7 Y N

PNA and FONSI Approval Letter

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

1-9-

b


M GLU PM 8 Y Y



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

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


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Optional /

Mandatory

Role Assignment



Tracked

Upload

?

Issuance?


action completed,

etc.)


template name

Documents + (Plans and Specs) Submitted

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



If 6-3 - Self-Cert = Partial


M GLU PM 2 Y N



5-4 Prepare Draft Self-Cert Review

M ERU Enginee

3 Y N SRF Self Certification

ERU - DW SRF Self Certification Form


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Optional /

Mandatory

Role Assignment



Tracked

Upload

?

Issuance?


action completed,

etc.)


template name

Document r Form Review Memo

Review Memo

5-5 Issue Final Plans & Specs Approval Letter

M ERU Engineer

4 Y Y



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


M GLU PM 2 Y 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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Optional /

Mandatory

Role Assignment



Tracked

Upload

?

Issuance?


action completed,

etc.)


template name

5-5 Issue Final Documents

M ERU Engineer

4 Y Y



10.4.3.1.3 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,

action completed, etc.)



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


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Role Assignment

Seq. Default

Duration (Days)


Upload? Issuance?






name

2-1

Prepare Draft Credit Report

M DOLA 3 Y Y DWRF Credit Report

DOLA - DWRF 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 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


of 88



Role Assignment

Seq. Default

Duration (Days)


Upload? Issuance?






name

Directory.doc; CWRPDA - DWRF Cover Letter.doc

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


of 88



Role Assignment

Seq. Default

Duration (Days)


Upload? Issuance?






name

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;

10.4.3.1.4 Construction Phase



Role Assignment

Seq. Default

Duration (Days)


Tracked Upload? Issuance?


action completed,

etc.)

If document needs to be

generated as an end point,

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

1-4 Bid Tabulation Review

M GLU PM 4 N N


of 88



Role Assignment

Seq. Default

Duration (Days)




action completed,

etc.)



provide template

name

attached)

(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 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 M GLU PM 3 Y Y CO Approval


of 88



Role Assignment

Seq. Default

Duration (Days)




action completed,

etc.)



provide template

name

Order Approval Letter

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













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

5 Milestone: Final Inspection


of 88



Role Assignment

Seq. Default

Duration (Days)




action completed,

etc.)



provide template

name

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

10.4.3.2 Water Pollution Control Revolving Fund Workflow

10.4.3.2.1 Planning Phase

Trigger ID Work Task Name Optional / Mandatory

Role Assignment

Seq. Default

Duration (Days)








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


of 88


Role Assignment

Seq. Default

Duration (Days)









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

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


of 88


Role Assignment

Seq. Default

Duration (Days)









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


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) +

6 Milestone: Project Needs Assessment (PNA) Review


of 88


Role Assignment

Seq. Default

Duration (Days)









Environmental Checklist Submitted

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

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- PA - DE Grant M PA 2 N N


of 88


Role Assignment

Seq. Default

Duration (Days)









3-a

Recommendation Review

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

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



of 88


Role Assignment

Seq. Default

Duration (Days)









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

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


of 88


Role Assignment

Seq. Default

Duration (Days)









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

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

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


of 88


Role Assignment

Seq. Default

Duration (Days)









Letter -WPCRF Procedure Memo -WPCRF Directory - D&E

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

10.4.3.2.2 Design Phase


of 88



Role Assignment

Seq. Default

Duration (Days)




action completed,

etc.)



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


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


M GLU PM 6 Y N PNA and CatEx Approval Letter

HOP Ch 4 - Attachment 10 Project Needs Assessment and CatEx


of 88



Role Assignment

Seq. Default

Duration (Days)




action completed,

etc.)



provide template

name

Approval Letter

1-

9-a


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



1-

5-b

Issue Final EA decision document

M Division Director

4 Y Y



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 &

M GLU PM 7 Y N PNA and FONSI

HOP Ch 4 - Attachment 9


of 88



Role Assignment

Seq. Default

Duration (Days)




action completed,

etc.)



provide template

name

Environmental Approval Letter

Approval Letter

Project Needs Assessment and FNSI Approval Letter

1-

9-b


M GLU PM 8 Y Y



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 4 Milestone: Site Application Reviewed


of 88



Role Assignment

Seq. Default

Duration (Days)




action completed,

etc.)



provide template

name

Application Submitted

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%

5-3

Prepare Draft Self-Cert Review Document

M ERU Engineer

2 Y N


ERU - WPC SRF Self Certification Form Review Memo

5-4

Prepare Draft Plans and Specifications Approval

M GLU PM 3 Y N


HOP Ch 5 - Attachment 4b WPC Plans and Specs


of 88



Role Assignment

Seq. Default

Duration (Days)




action completed,

etc.)



provide template

name

Letter Approval Letter

5-5

Issue Final Plans & Specs Approval Letter

M GLU PM 4 Y Y


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

If 6-3 - Self-Cert = Partial

5-3

Prepare Draft Plans and Specifications Approval Letter

M GLU PM 2 Y N



5-4

Prepare Draft Self-Cert Review Document

M ERU Engineer

3 Y N


ERU - WPC SRF Self Certification Form Review Memo

5-5

Issue Final Plans & Specs Approval Letter

M ERU Engineer

4 Y Y




of 88



Role Assignment

Seq. Default

Duration (Days)




action completed,

etc.)



provide template

name

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

M GLU PM 2 Y N



5-4 Prepare Draft P&S Review Document

M ERU Engineer

3 Y N

-Plans and Specs Approval Letter -Streamline Design



of 88



Role Assignment

Seq. Default

Duration (Days)




action completed,

etc.)



provide template

name

Approval

5-5 Issue Final Documents

M ERU Engineer

4 Y Y



10.4.3.2.3 Funding Phase


Name

Optional /

Mandatory

Role Assignment

Seq. Default

Duration (Days)

Special Data

Elements to be Tracked

Upload? Issuance?






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


of 88


Name

Optional /

Mandatory

Role Assignment

Seq. Default

Duration (Days)

Special Data


Upload? Issuance?






name

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

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

CWRPDA - WPCRF Approval Letter.doc; CWRPDA - WPCRF Exhibit C - 3.5% Template.xls; CWRPDA - WPCRF


of 88


Name

Optional /

Mandatory

Role Assignment

Seq. Default

Duration (Days)

Special Data


Upload? Issuance?






name

Letter 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


of 88


Name

Optional /

Mandatory

Role Assignment

Seq. Default

Duration (Days)

Special Data


Upload? Issuance?






name

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;

10.4.3.2.4 Construction Phase



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


of 88



Role Assignment

Seq. Default

Duration (Days)

Special Data

Elements to be

Tracked

Upload? Issuance?






(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 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


of 88



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

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