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TRANSCRIPT
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
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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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ID Actor Name Responsibilities
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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ID Actor Name Responsibilities
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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ID Role Name Responsibilities
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
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
CEOS Agency Portal-Admin Guide
Page 25 of 71
ID Role Name Responsibilities
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
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 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
3 Section Manager (PM2)
Y Y Y Y Y Y Y Y Access to “System Users” and
CEOS Agency Portal-Admin Guide
Page 26 of 71
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
4 Program Manager (PM3)
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 N/A N/A Y Access to “My Task” only
N/A
8 Permit Writer Cannot reassign task
Y Read-Only Access
N/A N/A N/A Y Access to “My Task” only
N/A
9 Records Manager Cannot reassign task
Y Read-Only Access
N/A N/A N/A Y Access to “My Task” only
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
14 Local governments/jurisdiction
Cannot reassign task
Read-Only Access
Read-Only Access
N/A N/A N/A Y Access to “My Task” only
N/A
15 Environmental Protection Specialist
Cannot reassign task
Read-Only Access
Y N/A N/A N/A N/A Access to “My Task” only
N/A
16 Watershed Planning and Management Agencies
Cannot reassign task
Read-Only Access
Y N/A N/A N/A N/A Access to “My Task” only
N/A
17 State Contractor Cannot reassign task
Read-Only Access
Y N/A N/A N/A N/A Access to “My Task” only
N/A
18 Financial analyst Cannot reassign task
Read-Only Access
Y N/A N/A N/A N/A Access to “My Task” only
N/A
19 Credit Analyst Cannot reassign task
Read-Only Access
Y N/A N/A N/A N/A Access to “My Task” only
N/A
20 Grant Evaluation Committee Member
Cannot reassign task
Read-Only Access
Y N/A N/A N/A N/A Access to “My Task” only
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
CEOS Agency Portal-Admin Guide
Page 27 of 71
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.
CEOS Agency Portal-Admin Guide
Page 28 of 71
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.
CEOS Agency Portal-Admin Guide
Page 29 of 71
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
CEOS Agency Portal-Admin Guide
Page 30 of 71
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
M Yes Administrative Staff
Y 1) Issuance Type 2) Issuance Description 3) Generate/upload issuance document
COR030000 Certification Template
CEOS Agency Portal-Admin Guide
Page 31 of 71
6.1.1.2 Modification Requests Stormwater Construction Certification 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 Administrative Staff
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 Technical Review M No Administrative Staff
N
3 Fee Determination M No Administrative Staff
N 1) Facility categories and subcategories
4 Sign and Issue Final Permit
M Yes Administrative Staff
Y 1) Issuance Type 2) Issuance Description 3) Generate/upload issuance document
COR030000 Certification Template
6.1.2 Construction Dewatering or Ground Water Remediation Permit
6.1.2.1 New Stormwater Dewatering Certification 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
COR070000 Permit Template COR315000 Permit Template
3 Technical Review M No Permit Engineer
10 N
4 Fee Determination M No Administrative Staff
N 1) Facility categories and subcategories
-Low Complexity $820
-High Complexity $2,000
-Other
5 Sign and Issue Final Certification
M Yes Administrative Staff
Y 1) Issuance Type 2) Issuance Description 3) Generate/upload issuance document
COR070000 Permit Template COR315000 Permit
CEOS Agency Portal-Admin Guide
Page 32 of 71
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
Template
6.1.2.2 Modification Requests Stormwater Dewatering Certification 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 Administrative Staff
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 Technical Review M No Administrative Staff
N
3 Fee Determination M No Administrative Staff
N 1) Facility categories and subcategories
4 Sign and Issue Final Permit
M Yes Administrative Staff
Y 1) Issuance Type 2) Issuance Description 3) Generate/upload issuance document
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
1 Submittal Type Determination and Completeness Review
M No Log-In Technicians
10 N 1) Submittal Type: New/Update 2) Complete Package? Yes / No 3) Comments
1) Completeness letter template 2) Email alert body text
CEOS Agency Portal-Admin Guide
Page 33 of 71
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
M No Administrative Staff
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
M No Permit Engineer
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?
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 Log-In Technicians
10 N 1) Submittal Type: New/Update 2) Complete Package? Yes / No 3) Comments
1) Completeness letter template 2) Email alert body text
2 Technical Review
M No Permit Engineer
5 N 1) Production Levels 2) Control Device(s) Used 3) Minor/Syn Minor Source 4) Site-Specific Emission Factors?
None
CEOS Agency Portal-Admin Guide
Page 34 of 71
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
3 Fee Management
M No Administrative Staff
5 N 1) Required Fee? Yes / No 2) If required, Fee Category 3) Fee Amount 4) Comments
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
1 Submittal Type Determination and Completeness Review
M No Log-In Technicians
10 N 1) Submittal Type: New/Update/AOS Permanent Replacement 2) Complete Package? Yes / No 3) Comments
1) Completeness letter template 2) Email alert body text
2 Technical Review
M Yes Permit Engineer
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
M No Administrative Staff
5 N 1) Required Fee? Yes / No 2) If required, Fee Category 3) Fee Amount 4) Comments
3 Prepare Approval Letter
M Yes Administrative Staff
N GP02Approval Letter Template
CEOS Agency Portal-Admin Guide
Page 35 of 71
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
M No Administrative Staff
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
?
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 Log-In Technicians
10 N 1) Submittal Type: New/Update/AOS Permanent Replacement 2) Complete Package? Yes / No 3) Comments
1) Completeness letter template 2) Email alert body text
2 Technical Review
M Yes Permit Engineer
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
M No Administrative Staff
5 N 1) Required Fee? Yes / No 2) If required, Fee Category 3) Fee Amount 4) Comments
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
CEOS Agency Portal-Admin Guide
Page 36 of 71
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
CEOS Agency Portal-Admin Guide
Page 37 of 71
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
CEOS Agency Portal-Admin Guide
Page 38 of 71
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
CEOS Agency Portal-Admin Guide
Page 39 of 71
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
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
GLU PM, DOLA, PA, ERU Engineer
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
HOP Ch 2 - Attachment 8 Pre-Qualification Review Letter
4-5 Issue Pre-Qual Review Letter
M GLU PM 8 Grant Recommendation Amount
Y Y Pre-Qualification Review Letter
HOP Ch 2 - Attachment 8 Pre-Qualification Review Letter
CEOS Agency Portal-Admin Guide
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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
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
O, show if 3.Planning Grant Decision = Y
GLU PM, PA
10 Y Y Planning grant agreement
HOP Ch 2 - Attachment 9 Planning grant agreement example
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
CEOS Agency Portal-Admin Guide
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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
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
GLU - DE Grant Recommendation Review
M GLU PM 2 N N
7-2-
b
DOLA - DE Grant Recommendation Review
M DOLA 2 N N
7-3-
b
PA - DE Grant Recommendation Review
M PA 2 N N
CEOS Agency Portal-Admin Guide
Page 42 of 71
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
7-4-
b
ERU - DE Grant Recommendation Review
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
NEPA - DE Grant Recommendation Review
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
CEOS Agency Portal-Admin Guide
Page 43 of 71
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
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
CEOS Agency Portal-Admin Guide
Page 44 of 71
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
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
CEOS Agency Portal-Admin Guide
Page 45 of 71
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
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)
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
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
CEOS Agency Portal-Admin Guide
Page 46 of 71
Trigger ID Work Task Name Optional / Mandatory
Role Assignment
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
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
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
CEOS Agency Portal-Admin Guide
Page 47 of 71
Trigger ID Work Task Name Optional / Mandatory
Role Assignment
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
1-9-b Issue Final PNA & Environmental Approval Letter
M GLU PM 8 Y Y PNA and FONSI Approval Letter
HOP Ch 4 - Attachment 9 Project Needs Assessment and FNSI 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
CEOS Agency Portal-Admin Guide
Page 48 of 71
Trigger ID Work Task Name Optional / Mandatory
Role Assignment
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
Approval Letter
If 6-3 - Self-Cert = Partial
5-3 Prepare Draft Plans and Specifications Approval Letter
M GLU PM 2 Y N Plans and Specs Approval Letter
HOP Ch 5 - Attachment 4a DW Plans and Specs Approval Letter
5-4 Prepare Draft Self-Cert Review Document
M ERU Engineer 3 Y N SRF Self Certification Form Review Memo
ERU - DW SRF Self Certification Form Review Memo
5-5 Issue Final Plans & Specs Approval Letter
M ERU Engineer 4 Y Y Plans and Specs Approval Letter
HOP Ch 5 - Attachment 4a DW 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
5-1 GLU Contract Document 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 Letter
M GLU PM 2 Y N Plans and Specs Approval Letter
HOP Ch 5 - Attachment 4a DW Plans and Specs Approval Letter
5-4 Prepare Draft P&S Review Document
M ERU Engineer 3 Y N -Plans and Specs Approval Letter -Streamline Design Approval
HOP Ch 5 - Attachment 4a DW Plans and Specs Approval Letter
CEOS Agency Portal-Admin Guide
Page 49 of 71
Trigger ID Work Task Name Optional / Mandatory
Role Assignment
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
5-5 Issue Final Documents M ERU Engineer 4 Y Y -Plans and Specs Approval Letter -Streamline Design Approval
HOP Ch 5 - Attachment 4a DW Plans and Specs Approval Letter
6.3.2.1.3 Funding Phase
Trigger ID Work Task
Name Optional / Mandatory
Role Assignment
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
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
CEOS Agency Portal-Admin Guide
Page 50 of 71
Trigger ID Work Task
Name Optional / Mandatory
Role Assignment
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
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
CEOS Agency Portal-Admin Guide
Page 51 of 71
Trigger ID Work Task
Name Optional / Mandatory
Role Assignment
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
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;
CEOS Agency Portal-Admin Guide
Page 52 of 71
6.3.2.1.4 Construction Phase
Trigger ID Work Task
Name Optional / Mandatory
Role Assignment
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
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
CEOS Agency Portal-Admin Guide
Page 53 of 71
Trigger ID Work Task
Name Optional / Mandatory
Role Assignment
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
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
4-2 Construction Interim Inspection 2
O GLU PM, ERU Engineer
1 Y Y PM Inspection Letter
HOP Ch 10 - Attachment 2 PM Inspection Letter.docx
CEOS Agency Portal-Admin Guide
Page 54 of 71
Trigger ID Work Task
Name Optional / Mandatory
Role Assignment
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
4-3 Construction Interim Inspection 3
O GLU PM, ERU Engineer
1 Y Y PM Inspection Letter
HOP Ch 10 - Attachment 2 PM Inspection Letter.docx
4-4 Construction Interim Inspection 4
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
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
CEOS Agency Portal-Admin Guide
Page 55 of 71
Trigger ID
Work Task Name
Optional / Mandator
y
Role Assignmen
t
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 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
CEOS Agency Portal-Admin Guide
Page 56 of 71
Trigger ID
Work Task Name
Optional / Mandator
y
Role Assignmen
t
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
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
GLU PM, DOLA, PA, ERU Engineer
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
HOP Ch 2 - Attachment 8 Pre-Qualification Review Letter
4-5
Issue Pre-Qual Review Letter
M GLU PM 8 Grant Recommendation Amount
Y Y Pre-Qualification Review Letter
HOP Ch 2 - Attachment 8 Pre-Qualification Review Letter
CEOS Agency Portal-Admin Guide
Page 57 of 71
Trigger ID
Work Task Name
Optional / Mandator
y
Role Assignmen
t
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
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
O, show if 3.Planning Grant Decision = Y
GLU PM, PA
10 Y Y Planning grant agreement
HOP Ch 2 - Attachment 9 Planning grant agreement example
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
CEOS Agency Portal-Admin Guide
Page 58 of 71
Trigger ID
Work Task Name
Optional / Mandator
y
Role Assignmen
t
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
6-5
NEPA PNA Review
M NEPA 1 45 NEPA Determination: CatEx or FONSI
Y N Final Environmental Memo
HOP Ch 4 - Attachment 7 Final 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
GLU - DE Grant Recommendation Review
M GLU PM 2 N N
7-2-b
DOLA - DE Grant Recommendation Review
M DOLA 2 N N
CEOS Agency Portal-Admin Guide
Page 59 of 71
Trigger ID
Work Task Name
Optional / Mandator
y
Role Assignmen
t
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
7-3-b
PA - DE Grant Recommendation Review
M PA 2 N N
7-4-b
ERU - DE Grant Recommendation Review
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
NEPA - DE Grant Recommendation Review
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
CEOS Agency Portal-Admin Guide
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Trigger ID
Work Task Name
Optional / Mandator
y
Role Assignmen
t
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
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 -
CEOS Agency Portal-Admin Guide
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Trigger ID
Work Task Name
Optional / Mandator
y
Role Assignmen
t
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
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
CEOS Agency Portal-Admin Guide
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Trigger ID
Work Task Name
Optional / Mandator
y
Role Assignmen
t
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
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
CEOS Agency Portal-Admin Guide
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Trigger ID Work Task Name Optional / Mandatory
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Seq. Default
Duration (Days)
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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 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
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
CEOS Agency Portal-Admin Guide
Page 64 of 71
Trigger ID Work Task Name Optional / Mandatory
Role Assignment
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
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
1-9-b Issue Final PNA & Environmental Approval Letter
M GLU PM 8 Y Y PNA and FONSI Approval Letter
HOP Ch 4 - Attachment 9 Project Needs Assessment and FNSI 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
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 - WPC SRF Self Certification Form Review Memo
CEOS Agency Portal-Admin Guide
Page 65 of 71
Trigger ID Work Task Name Optional / Mandatory
Role Assignment
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
5-4 Prepare Draft Plans and Specifications Approval Letter
M GLU PM 3 Y N Plans and Specs Approval Letter
HOP Ch 5 - Attachment 4b WPC 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 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 Plans and Specs Approval Letter
HOP Ch 5 - Attachment 4b WPC Plans and Specs Approval Letter
5-4 Prepare Draft Self-Cert Review Document
M ERU Engineer
3 Y N SRF Self Certification Form Review Memo
ERU - WPC SRF Self Certification Form Review Memo
5-5 Issue Final Plans & Specs Approval Letter
M ERU Engineer
4 Y Y Plans and Specs Approval Letter
HOP Ch 5 - Attachment 4b WPC 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
5-1 GLU Contract Document 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 Plans and Specs Approval Letter
HOP Ch 5 - Attachment 4b WPC Plans and Specs Approval Letter
CEOS Agency Portal-Admin Guide
Page 66 of 71
Trigger ID Work Task Name Optional / Mandatory
Role Assignment
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
5-4 Prepare Draft P&S Review Document
M ERU Engineer
3 Y N
-Plans and Specs Approval Letter -Streamline Design Approval
HOP Ch 5 - Attachment 4b WPC Plans and Specs Approval Letter
5-5 Issue Final Documents M ERU Engineer
4 Y Y
-Plans and Specs Approval Letter -Streamline Design Approval
HOP Ch 5 - Attachment 4b WPC Plans and Specs Approval Letter
6.3.2.2.3 Funding Phase
Trigger ID Work Task Name Optional / Mandatory
Role Assignment
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
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
CEOS Agency Portal-Admin Guide
Page 67 of 71
Trigger ID Work Task Name Optional / Mandatory
Role Assignment
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
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
CEOS Agency Portal-Admin Guide
Page 68 of 71
Trigger ID Work Task
Name Optional / Mandatory
Role Assignment
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
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
CEOS Agency Portal-Admin Guide
Page 69 of 71
Trigger ID Work Task
Name Optional / Mandatory
Role Assignment
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
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
O GLU PM, ERU Engineer
1 Y Y PM Inspection Letter
HOP Ch 10 - Attachment 2 PM Inspection Letter.docx
4-2
Construction Interim Inspection 2
O GLU PM, ERU Engineer
1 Y Y PM Inspection Letter
HOP Ch 10 - Attachment 2 PM Inspection Letter.docx
4-3
Construction Interim Inspection 3
O GLU PM, ERU Engineer
1 Y Y PM Inspection Letter
HOP Ch 10 - Attachment 2 PM Inspection Letter.docx
4-4
Construction Interim Inspection 4
O GLU PM, ERU Engineer
1 Y Y PM Inspection Letter
HOP Ch 10 - Attachment 2 PM Inspection Letter.docx
CEOS Agency Portal-Admin Guide
Page 70 of 71
Trigger ID Work Task
Name Optional / Mandatory
Role Assignment
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
(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
Page 71 of 71