1

DCP Checklist for Local Agency Federal Aid Projects

2

Acronym/abbreviation list

AC = Advanced Construction ALB = Apparent Low BidderATP = Area Transportation PartnershipArmy COE/Corps = Army Corps of Engineers COE = Corps of Engineers (US Army)DBE = Disadvantaged Business EnterpriseDCP = Delegated Contract ProcessDNR = Department of Natural ResourcesDOT/MnDOT = Minnesota Department of Transportation DSAE = District State Aid EngineerEA = Environmental Assessment EE = Engineers EstimateEIS = Environmental Impact StatementeSAM = Electronic State Aid ManualFFY = Federal Fiscal Year FHWA = Federal Highway AdministrationGM (greater MN) = Counties outside the Metro districtHSIP = Highway Safety Improvement Program

LPA = you, the Local Public Agency (County or City)MPCA = Minnesota Pollution Control Agency MPO = Metropolitan Planning OrganizationNEPA = National Environmental Policy ActNPDES = National Pollutant Discharge Elimination SystemOJT = On the Job TrainingPIF = Public Interest FindingPDR = Project Development ReportR/W = Right of Way RGN = Race Gender Neutral RR = Rail RoadSAAS = State Aid Accounting SystemSALT = State Aid for Local TransportationSAM = State Aid ManualSAP = State Aid Project (no federal funds) SEQ = Statement of Estimated Quantities SP = State Project (federal funds)STIP = State Transportation Improvement Program

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What is the DCP?

• States are responsible to ensure that LPA are aware of the applicable federal aid program requirements, and to ensure monitoring and oversight to assure compliance with federal requirements.

• Thus, the DCP was created to provide guidance towards that end.

4

Organization of the DCP Checklist

• The DCP checklist outlines the roles and responsibilities of the LPA and State Aid in conducting the DCP. The checklist is in a two column format: the left column are tasks associated with the LPA, the right column are tasks for State Aid.

• It contains hyperlinks which allow the user to access the forms and information from the process description. It is our hope that this will provide easy access to the most current forms and information pertaining to the DCP.

(Sample DCP Checklist page)

5

Subjects in this training module

• Project Sponsor

• Federal Projects – Other requirements

• Funding

• Various State Aid programs and funding

• Federal funds – how to get them, what you need to do, how to keep them. Ineligible items.

• ATP

• STIP

• Amendments

• Checklist

• An issue if……

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Project Sponsor

• In order to be a recipient of a federal aid project, the recipient must either be a public agency, or the project must be sponsored by a public agency on behalf of the recipient.

• The project recipient/sponsor must be qualified to administer a federal aid construction contract.

• The DSAE will determine if a project sponsor is qualified. Qualification is determined on a project-by-project basis.

• If a project sponsor elects to use consultants for engineering services, the LPA shall provide a full-time employee of the agency, qualified to be in responsible charge of the project.

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Sponsoring a project for non State Aid partners

• The sponsor will assist in the preparation of and sign the environmental documents required for the project to meet any state and federal requirements.

• The sponsor will also aid in the preparation of and sign the construction plans as a registered Professional Engineer as appropriate.

• The sponsor will act as the fiscal agent, fronting any necessary funds and passing through the federal funds from the FHWA and the DOT.

• A separate agreement between the project proposer and the sponsor is recommended to outline roles and responsibilities specific to the individual project.

8

Federal project – other requirements

• A DCP agency agreement between LPA and state is required.

• Approval is required before reimbursable expenses are incurred.

• Reimbursable program – not a grant

• Follow the DCP Checklist

• OR Full Oversight Process

• Must be listed in the STIP

• Must undergo a NEPA review

• Must be Authorized by the FHWA prior to advertising

• Is subject to Davis Bacon Laws

9

Funding

• Review the project funding sources

• Funding sources determine the plan preparation and review requirements.

• SP number denotes federal funds, an SAP number does not have federal funding.

• You may have multiple project numbers for one plan with multiple partners and/or multiple state aid routes.

• See finance section on how payments are made.

• See slide on eligibility for hints and help on Par (federal funds eligible) and NonPar (not federally eligible).

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Project Selection: ATP - STIP

• Projects selected by ATP’s

• Authorizations based on State FY (July 1 – June 30)

• Federal Funds based on Federal FY (October 1 - September 30)

• ATPs put selected projects into draft STIP (May)

• STIP is typically approved in November or December every year

• Projects must be in STIP to be authorized

11

STIP Calendar

Calendar Math

State FY-Begins July 1 of the year proceeding Jul Aug Sep Oct Nov Dec Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec

Federal FY - Begins October 1 of the year proceeding Jul Aug Sep Oct Nov Dec Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec

Calendar Year - Begins January 1 of current year Jul Aug Sep Oct Nov Dec Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec

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STIP amendments

Formal – (Require approval from the FHWA) when:

• Adding new individual FHWA funded projects.

• Adding a regionally significant project.

• The change impacts financial constraint, including total cost increases or decreases meeting the formal STIP Amendment thresholds.

• Adding or removing a phase of work such as preliminary engineering, R/W, construction, etc. to the project which increases or decreases the total project cost.

• Results in project scope change which changes work type such as bridge rehab to replacement, resurface to reconstruct, adding additional work - bridge/lane/intersection/route.

• Changing project limit/termini by more than 0.3 miles in any direction.

• The change impacts air quality conformity for projects in an MPO.

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STIP amendments (continued)

Administrative - (Approved by MnDOT) when:

• The increase or decrease in cost estimate meeting FHWA administrative STIP modification thresholds.

• Change in STIP year.

• The change adds a locally funded project to an existing federally funded project in the STIP if the revised total project cost is greater than $2 million (no action if less).

• The change includes making a technical correction.

• Adding or removing AC (includes adding new AC) increase or decrease existing AC amount, or taking an existing AC off a project.

• Removing a project currently programmed in the STIP.

• Splitting a project into two or more projects. Splitting projects have to be located within the original planned location, no change in combined total cost, and no shift in state fiscal year.

Accessing the DCP Checklist from the web

Greater Minnesota Metro

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DCP Checklist: Overview

• The checklist is not all inclusive.

• Send in all the forms.

• Federal requirements will apply to all work included in the construction contract.

• Use the current DCP Checklist and forms – not one you’ve saved. Changes are made without notification.

• Contact us if you have any questions.

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Full Oversight Process

• Used on

• Projects of Division Interest

• Projects on the National Highway System

• Projects Funded by other FHWA Divisions - FLAP

• In addition to regular plans process:

• Plans, specifications, estimate and ad must be reviewed and approved by FHWA prior to advertising and bid.

• FHWA must concur in award of Projects of Division Interest

• FHWA must concur in contract changes on Projects of Division Interest

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An issue if…

Phased Projects

• When a SAP project precedes a federal project (even HSIP) a PM must be processed in advance of the nonfederal project to cover all the phases of work on that road.

• If the HSIP project is foreseeable when the grading project is done, it would be considered a phased project and the grading project would have to be included in a PM and Buy America would apply to the SAP contract.

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The four parts of the DCP Checklist

• Part 1 – Project Development

• Your project from a twinkle in the eye to permission to advertise

• Part 2 – Bid Procedures

• Advertising through award

• Part 3 - Construction

• Part 4 – Completion

• Payments through close out

Part 1: Project Development

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Part 1: Project DevelopmentOverview

• Now you’re ready to roll up you’re sleeves and get to work on the project. As you go through the checklist, you’ll notice it has tasks in two columns.

• LPA – This column shows what you’ll need to do.

• MnDOT – This column shows what State Aid does in response.

• Ok, here we go with the process of building a project.

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Part 1: Project DevelopmentEnvironnemental documentation/sections 1-1 and 1-2

• 1-1 LPA prepares and submits PM or EA to DSAE by December 1 of year prior to bidding. DSAE reviews/approves. Generically referred to as PDR.

Generally 18 month process from public involvement to contractor start.

• 1-2 DSAE sends approved PDR to SALT for review and approval. SALT reviews and requests changes or approves (requests FHWA approval if necessary) and notifies LPA.

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Part 1: Project DevelopmentPDRs -- eSAM guidance

• Guidance in State Aid Manual Chapter 5.1 – Environmental and Design Studies

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Part 1: Project DevelopmentSALT environmental resources

• Agency resources and information and forms can be found on the Forms & Information webpage.

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Part 1: Project DevelopmentNEPA

• Environmental reviews must be done on any project funded with federal money – including: Preliminary Engineering, R/W, Construction, Construction Engineering, as approved by ATP.

• Three levels of action. • EIS - (Rare): EA - (< 12/year): CAT Ex - PM (most common)

• Environmental Assessment Worksheet which is a question and answer form used to satisfy the Minnesota Environmental Policy Act. • Valid for three years from date of approval or last federal action such as:• Amendments• Authorization of phased projects

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Part 1: Project DevelopmentNEPA considerations

• Staged Construction: A project split into two phases must have both phases approved with the earliest let plan to both be eligible for federal funding.

• Adding an SAP or Local project federalizes all the work.

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Part 1: Project DevelopmentPDRs – PM Writer

• Developed using

• Project Memo Writer

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Part 1: Project DevelopmentPDRs – work on MnDOT R/W

• Developed using

• Projects with work on MnDOT R/W need to follow the Environmental Due Diligence (EDD). See EDD for Property Acquisition - MnDOT Policies.

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Part 1: Project DevelopmenteSAM Chapter 5.1.III: Location Study

• Location Study covers the existing roadway, its environment, deficiencies and needs.

• Highway Section

• Logical Termini

• Independent Utility

• Purpose and Need

• Alternatives

• Related Information

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Part 1: Project DevelopmenteSAM Chapter 5.1.IV: Public Interest

• Public Involvement – NEPA requires results of project studies and impacts disclosed, and comments solicited from interested and affected parties

• Distribution of Project Study Results

• Public Hearings

• Related Information

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Part 1: Project DevelopmenteSAM Chapter 5.1.V: Agency Coordination

• Early coordination with agencies with an interest in the project should begin early in the process.

• Who are these agencies? See Water Permitting Agencies.

• The project proposer must identify which agency has jurisdiction or authority over these resources.

• If the aquatic resource is considered a ‘water of the United States’, it will fall under the COE jurisdiction and a Section 404 permit will be required.

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Part 1: Project DevelopmentA word on COE Permits

• Early coordination with the area COE representative is HIGHLY recommended.

• Omar Ortiz from the COE is the liaison person for State Aid.

• Contact Omar with questions about process or if you anticipate complications

Omar Ortiz – Sr. Project Manager I USACE180 5th Street East, Suite 700

St. Paul, MN 55101

Phone: 651-290-5358

Email: omar.m.ortiz@usace.army.mil

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Part 1: Project DevelopmentCOE Permit Reference Guide

• Located on the Environmental Forms & Information webpage.

• Developed by COE and State Aid Division

• Intended to help local Agencies with COE Permitting

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Part 1: Project DevelopmenteSAM Chapter 5.1.VI: Social, Economic and Environmental Study

• Environmental studies must be conducted and findings/determinations, both beneficial and detrimental, must be documented for both temporary and permanent impacts, including offsite construction areas.

• See eSAM section Social, Economic and Environmental Study (Chapter 5.1.VI) for a robust list, with explanation and links, to various studies.

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Part 1: Project DevelopmenteSAM Chapter 5.1.VII: Design Study

• Design Study section includes

• Design Study

• Design Memo (aka Study Report)

• Variance

• Design Exception

• Addendum

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Part 1: Project DevelopmentPDR Amendments needed when…

• Work is added or changed to the federal project as described in the STIP.

• Independent Utility or not?

• Endpoints changed by .3 miles or more? Work Type?

• If laws have changed since the original PDR was approved, and the project has not been authorized yet – such as addition of Endangered Species.

Note – this can slow things down when projects are sent in for authorization!

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Part 1: Project DevelopmentPDR considerations

• Staged Construction: A project split into two phases must have both phases approved with the earliest let plan, to both be eligible for federal funding.

• All work included in a contract must be in the approved PDR.

• Does the PDR match the plans? Work type? Endpoints?

• The PDR must be submitted to the DSAE by December 1st of the year prior to bidding. A PDR is good for three years. If no action is taken within three years of approval, the PDR will need to be re-reviewed before proceeding.

• Appropriate design tables

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Part 1: Project DevelopmenteSAM Chapter 2: Right of Way

• Minnesota law requires that all property acquisition follow the Uniform Relocation and Real Property Acquisition Policies Act of 1970 (Uniform Act or The Act).

• Uniform Act must be followed on all property acquisition by local agencies, regardless of funding source.

• R/W activities are normally not initiated until after environmental action has been completed. Some exception.

• Occasionally federal funds available for R/W acquisition.

• Property acquisition which is in condemnation but not settled may be documented with a PIF to allow authorization.

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Part 1: Project DevelopmentDCP 01/sections 1-3, 1-4 and 1-5

• 1-3 LPA submits Request for Contracting Authority (DCP 01).

• 1-4 DSAE reviews the DCP 01 to determine if the agency is "adequately staffed & suitably equipped to undertake and satisfactorily complete the work."

• If approved, the DSAE signs DCP 01.

• 1-5 If no (or expired) Agency DCP Agreement on file, SALT prepares one and sends to LPA.

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Part 1: Project DevelopmentAgency DCP agreement/sections 1-6, 1-7, 1-8 and 1-9

These steps are only necessary when an Agency Agreement is not on file:

• 1-6 LPA Clerk/Auditor reviews audit requirements

• 1-7 LPA Financial officer determines if sufficient financial resources are available to bid & award a contract

• 1-8 LPA reviews/approves Agency DCP Agreement and forward to SALT for execution.

• 1-9 SALT executes & distributes Agency DCP Agreement.

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Part 1: Project DevelopmentPlan preparation/section 1-10

• 1-10 LPA prepares Plans in conformance with State Aid Manual Plans and Proposals Chapter 5.4 EXCEPT projects that will require approval by MnDOT must adhere to MnDOT Design Guidance webpage.

• April 1st - deadline for plan packages to SALT (GM) or Metro State Aid.

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Part 1: Project DevelopmenteSAM Chapter 5.4.II: Basic Plan Requirements

• For detailed lists of what should be included refer to eSAM Chapter 5.4 section 2.

• General

• Title Sheet

• Estimated Quantities & Typical Section Sheers

• General Layout Sheet(s)

• Plan and Profile Sheets

• Cross Section Sheets

• Borrow Pits

• Bridge Plan Sheets

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Part 1: Project DevelopmentPlans – funding eligibility lists

• Funding participation guidance in eSAM - Chapter 5.4, VI

• State Aid Funding Eligibility List

• Federal Funding Eligibility List

• Bridge Funding Eligibility List

• Items NOT Eligible for Federal Participation

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Part 1: Project DevelopmenteSAM Chapter 5.4.VIII: Design Standards

• Geometric and Roadway Design Standards as adopted in the State Aid Rules, as well as current FHWA-MnDOT Stewardship Agreement shall apply. Where State Aid Rules or eSAM do not cover a specific requirement, MnDOT Road Design Manual should be followed.

• Roadway Design - SALT Pavement webpage has lots of good information and design helps.

• Bridge Standards – State Aid Geometric Design standards apply to all new, replacement or rehabilitation projects. State Aid Bridge website is an excellent resource.

• Where design does not meet standards, a Variance (State Aid) or Design Exception (FHWA) is required.

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Part 1: Project DevelopmentPlans – common questions/issues

Q: Can nonfederal projects be added to federal project contract for better bids and fewer contracts to administer?

A: Yes, HOWEVER those projects become federalized –

Q: Can I name a specific item in my plans or proposals?

A: Proprietary items are only allowed with a PIF or certification.

Funding:

Q: Why do I need separate columns on SEQ and EE?

A: Each column will be set up for funding, so the columns must be split by Federally Eligible (PAR - participating), Federally Ineligible (Non-PAR – non participating), rural, municipal, storm sewer, etc. If in doubt, ask your DSAE.

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Part 1: Project DevelopmentPlans – common questions/issues (continued)

Q: Can I use add Alternatives in my bid?

A: Yes. Alternatives are:

• Used to control contract costs with tight budget

• Listed in order of preference,

• Low Bid based on combination – in order, up to amount of funds available for project

• Usually used for Alternate Pavement Types

• Concrete vs Bituminous

• Plan must show typical sections for each

• SEQ must list all like items (Base Bid), then separate out items specific to each type

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Part 1: Project DevelopmentPlans – common questions/issues (continued)

Q: What is an AC project?

A: When the project is to be let before there are “real” federal funds available to pay the contractor. There are two types.

• Traditional AC agreement or one that there are federal funds listed in the STIP for a future FY but the project owner wants to do the construction sooner rather than later.

• Cash flow AC agreement used on projects with larger amounts of federal funds in the same fiscal year that the project is authorized in.

• We have also used AC as a tool to keep projects authorized late in the fall off the inactive project list in the spring.

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Part 1: Project DevelopmentR/W submittal/section 1-11, 1-12 and 1-13

• 1-11 LPA acquires necessary R/W

• 1-12 LPA submits R/W Cert #1 and R/W Cert #1 Checklist to District R/W Engineer.

• 1-13 District R/W Engineer certifies the R/W.

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Part 1: Project DevelopmentSubmittals/sections 1-14, 1-15 and 1-16

These steps apply only if project includes a bridge needing State Aid Bridge Review and approval.

• 1-14 LPA submits bridge plans to State Aid Bridge Engineer (if applicable).

• 1-15 LPA submits application for bridge funds to DSAE (if applicable).

• 1-16 DSAE reviews and approves the application for bridge funds, forwards to SALT.

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Part 1: Project DevelopmentDCP 02/section 1-17

• 1-17 LPA submits DCP 02 to DSAE (GM) or Project Manager (Metro)*

• Plan – signed by County/City Engineer, Designer**

• Plan review checklist

• Completed R/W Certificate No. 1 or 1A

• Completed Utility Certificate, if utilities on project

• Signed Engineer’s Estimate, matching items/quantities in plan SEQ

• Lab Testing & Plan Inspections Services Request

• Executed RR Agreement if applicable

• Approved permits (completed NPDES Application if contractor will obtain)

All these forms available in DCP Checklist.

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Part 1: Project DevelopmentDCP 02

• The above items must be submitted by April 1st. • GM

• If you can’t make the April 1st deadline, contact your DSAE to discuss a possible later submittal date.

• METRO

• Maximum of one year extension.

• Need approval for extensions

• approval is not automatic

• extension request deadlines December 31st year previous

• Funding in next program year is not guaranteed.

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Part 1: Project DevelopmentPackage Review/ 1-18, 1-19 and 1-20

• 1-18 DSAE reviews submittal. May recommend revision and resubmittal. DSAE approves the plan for State Aid Rules/policy compliance. In GM the package is forwarded to SALT.

• 1-19 GM SALT/ METRO Project Manager reviews the submittal package and notifies LPA of any missing components.

• 1-20 LPA revises plan as necessary and resubmits.

52

Part 1: Project DevelopmentAgenda/sections 1-21, 1-22, 1-23, 1-24 and 1-25

Now it’s time for State Aid to get busy.

• 1-21 GM SALT/METRO Project Manager requests authorization of federal funds

• 1-22 GM SALT/METRO Project Manager requests DBE goal determination and OJT hours.

• 1-23 MnDOT Office of Civil Rights sets goal and OJT on project

• 1-24 GM SALT/METRO Project Manager reviews plan for conformance with approved PDR. (Routes through MnDOT if impacts on Trunk Highway).

• 1-25 GM SALT/METRO Project Manager approves plan for federal funding.

53

Part 1: Project DevelopmentProject development/section 1-26

• When all the ducks are in a row and marching in the same direction, State Aid will notify you of project approval, and will discuss the bid opening date. Which means….

• 1-26 GM SALT/METRO Project Manager must have the following before a bid date can be set:

• Authorization

• Any permits – COE, DNR, MPCA, etc.

• Traffic and Erosion Control Plans

• Approved Bridge Plan

• Approved Design Exceptions or Variances.

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Part 1: Project DevelopmentProject development/sections 1-27 and 1-28

• 1-27 GM SALT/METRO Project Manager notifies LPA by phone or email of project approval to advertise.

• 1-28 GM SALT/METRO Project Manager requests bid opening date and time from LPA.

DO NOT PLACE AD WITHOUT SALT OR PROJECT MANAGER NOTIFICATION AND REQUIRED LANGUAGE DISCUSSED BELOW!!!!!

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Part 1: Project DevelopmentAgenda/sections 1-29, 1-30, 1-31 and 1-32

• 1-29 GM SALT notifies DSAE of bid opening date.

• 1-29 METRO Project Manager – This step is N/A.

• 1-30 GM SALT/METRO Project Manager sends State Bridge Bond Grant approval letter to LPA (if applicable).

• 1-31 GM SALT sends Transmittal Letter and proposal package to LPA

• 1-31 METRO Project Manager notifies LPA of approved plan and proposal documents (available electronically).

• 1-32 LPA notifies GM SALT/METRO Project Manager if bid opening date is revised.

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Part 1: Project DevelopmentProposed package/section 1-33

• 1-33 GM LPA prepares the bid proposal which must include specs, schedule of materials control, DBE goal documentation and advertisement language.

• 1-33 Metro Proposal submitted to, and approved by, Project Manager previously.

Do not use special provision boiler plates for trunk highway projects, follow the link provided in the checklist to the SALT Electronic Proposal Document Tool.

DO NOT PLACE AD WITHOUT SALT OR PROJECT MANAGER

NOTIFICATION AND REQUIRED LANGUAGE

DISCUSSED BELOW.

Part 2: Bid Procedures

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Part 2: Bid ProceduresOverview

• Bid Procedures - ad placement, length of advertisement and addendums

• Bid Opening - check debarment (SAM) list, open bids, review for completeness and accuracy, and notify SALT (GM) or Project Manager (Metro)

• Plan submittal, process and considerations

• Authorization

• Proposal Documentation

• Plan approval to advertise

• Common Issues

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Part 2: Bid ProceduresAdvertising process/sections 2-1, 2-2, 2-3 and 2-4

• 2-1 LPA sends a copy of the ad as it will be published to SALT (GM) BEFORE it is submitted for publication.

• 2-2 LPA places ad for bid opening in accordance with state statutes, and,

• 2-3 LPA sells plan/proposal packages.

• 2-4 SALT monitors wage rate changes.

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Part 2: Bid ProceduresAdvertising process/sections 2-5, 2-6, 2-7, 2-8 and 2-9

• 2-5 LPA prepares and distributes addenda if needed.

• 2-6 (GM) DSAE approves addenda and notifies SALT of approval.

• 2-6 (METRO) Project Manager receives addenda.

• 2-7 DSAE reviews bid opening procedures with LPA.

• 2-8 LPA checks the federal debarment list (SAM) and opens bids

• 2-9 DSAE attends at their discretion

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Part 2: Bid ProceduresBid opening/sections 2-10,2-11, 2-12 and 2-13

• 2-10 LPA reviews proposals for completeness, errors and unbalanced bids.

• 2-11 LPA notifies SALT (GM)/ Project Manager (METRO) of low bidder and amount by phone.

• 2-11a LPA provides bid abstract (with all bidders) and DBE goal from Back Cover of Proposal (if DBE Goal) to SALT (GM)/Project Manager (METRO).

• 2-12 LPA prepares and submits a Justification Memo if bid is either more or less than 10 percent different from the engineers estimate.

• 2-13 DSAE determines if project needs additional funds and may find some.

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Part 2: Bid ProceduresHey, can I…?

Q: What if my HSIP striping project gets really good bids, can I extend the project farther down the road?

A: If you are just doing work within the shoulders of the road, and not working in an historic or tribal property, you may extend it - but you must get permission before awarding it – Call your DSAE!

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Part 2: Bid ProceduresBid opening/sections 2-14 and 2-15

• 2-14 Immediately following the bid opening,

• LPA notifies ALB to submit Request for DBE Certification to Civil Rights Office (DCP 03-GM and DCP 03-METRO).

• ALB sends MnDOT Office of Civil Rights required documentation within five calendar days of bid opening; cc SALT (GM)/Project Manager (METRO).

• 2-15 Immediately following the bid opening,

• LPA sends Pre-Award Contract Information (DCP 04) to Civil Rights Office.

• DO NOT AWARD UNTIL NOTIFIED BY CIVIL RIGHTS OFFICE

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Part 2: Bid ProceduresProjects WITH DBE goal and OJT

• 2-16 Civil Rights Office reviews/certifies DBE participation & notifies LPA & SALT (GM)/Project Manager (METRO).

• 2-17 LPA awards to lowest responsible bidder or rejects bids.

(skip to 2-20)

OR

For Projects WITHOUT a Numerical DBE Goal & RGN

66

Part 2: Bid ProceduresProjects WITHOUT a DBE goal

• 2-18 LPA awards to lowest responsible bidder or rejects bids.

• 2-19 LPA sends Post-Award Contract Information Race Gender Neutral (DCP 07) to Civil Rights Office, including:

• Copy of Award letter

• Bid Abstract

67

Part 2: Bid ProceduresAfter the award/sections 2-20, 2-21, 2-22 and 2-23

• 2-20 For projects requiring a NPDES permit, that was not obtained by the LPA before bid opening, LPA sends NPDES requirements to Contractor, including:

• NPDES Application Notice

• NPDES Application (owner portion completed)

• NPDES Declaration

• 2-21 LPA sends Post-Award Documentation (DCP 05) to DSAE (electronically)

• 2-22 DSAE sends a Notice to Proceed to LPA upon receipt of signed NPDES Declaration.

• 2-23 DSAE forwards copy of complete bid proposal to District Materials Engineer/ Independent Assurance Sampler

• State Materials Engineer (at Maplewood Lab)

68

Part 2: Bid ProceduresAfter the award/sections 2-24,2-25, 2-26 and 2-27

• 2-24 LPA sends Post-Award Documentation (DCP 08-GM & DCP 08-METRO). Submit electronically!

• 2-25 SALT (GM) or Project Manager (METRO) prepares Funding Participation Distribution & forwards to State Aid Finance.

• 2-26 SALT notifies LPA of State Bridge Bond grant amount, if any.

• 2-27 LPA reviews Participation Distribution against the Project Setup under Federal Aid Projects in SAAS Web Reporting.

Part 2: Bid ProceduresFunding summary example

70

Part 2: Bid ProceduresAfter the award/sections 2-28, 2-29 and 2-30

• 2-28 LPA sends 2 copies of the NPDES Permit Card to the DSAE.

• 2-29 DSAE scans a copy of NPDES Permit Card and saves in files.

• 2-30 SALT (GM) or Project Manager (METRO) monitors elapsed time to flag overdue submittals beyond bid opening date.

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Part 2: Bid ProceduresAfter the award/construction contacts

• Utilize the SALT Construction webpage

• SALT Construction Engineer

• Metro

• SALT Construction Specialists

• D1-D4

• D6-D8

• Metro

Part 3: Construction

73

Part 3: ConstructionConstruction

• The steps and tools available to document and guide local governments through the construction process on state and federal funded contracts are found in the construction section of these two links. The scope of each is detailed on the following two slides.

• State Aid Manual

• State Aid website

74

Part 3: ConstructionState Aid Manual

• This electronic document contains an overview of the entire State Aid process. Chapter 6, the Construction Chapter, contains an overview of the Construction process, with many links to forms and guidance documents.

• State Aid Manual

75

Part 3: ConstructionState Aid website

The State Aid Construction webpage contains detailed information on the Construction process and divides the material into four areas, including:

• Pay Item Forms

• Testing Forms

• Contract Administration Forms

• Information and Resources

Additional information for local governments in the Metro District can be sound on the Metro State Aid Construction webpage.

76

Part 3: ConstructionState Aid construction training

• For further detail, see the State Aid Construction training.

Part 4: Completion

78

Part 4: CompletionSection 4-1

• 4-1 LPA notifies DSAE of project completion using Change in Contract Construction Status form.

• GM- LPA submits the final Change in Contract Construction Status.

• Metro – LPA fills out and retains Change in Contract Construction Status form in project files.

79

Part 4: CompletionSections 4-2, 4-3 and 4-4

• 4-2 (GM) DSAE conducts the final inspection.

• 4-2 (Metro) Metro State Aid Construction conducts inspection at 95 percent complete or punch list phase.

• Final Inspection Report

• 4-3 The Contractor now submits the DBE Total Payment Affidavit to the MnDOT Office of Civil Rights.

• 4-4 MnDOT Civil Rights Office clears project.

80

Part 4: CompletionSection 4-5

• 4-5 LPA submits copy of Materials Certification Exceptions Summary and Tester Inventory Project Roster to District Materials Engineer for certification that all Independent Assurance requirements have been met.

• Then, the LPA will send it to the DSAE.

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Part 4: CompletionSection 4-6 and 4-7

• 4-6 The LPA contacts the Labor Compliance Unit regarding labor holds.

• 4-7 LPA prepares the Final Estimate and makes final payment to Contractor.

• If the finaling process, and payment to the contractor is anticipated to exceed 90 days, the LPA should process a DCP partial pay request to stay off the inactive list.

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Part 4: CompletionSection 4-8

• 4-8 LPA submits DCP Final Payment Request for federal aid share and bridge bonding funds (if any) to DSAE.

• While it is no longer required to submit the Certificate of Performance form to State Aid, note that MN Statute 160.17 Subd.3 requires that the work be certified to the county board or the town board, and the certificate filed in the office of the county auditor or town clerk.

• See the DCP Payment Request Guide for detailed instructions on preparation of the DCP Final Payment Request.

Part 4: CompletionFinal Pay Request

This form can be found on the State Aid DCP Processing webpage.

Part 4: CompletionFinal Contract Voucher

This form can be found on the State Aid Construction webpage.

Part 4: CompletionContractors Certificate of Final Acceptance

This form can be found on the State Aid Construction webpage.

Part 4: CompletionMaterials Certification Exceptions Summary

This form can be found on the State Aid Construction webpage.

Part 4: CompletionOverrun Justification

This form can be found on the State Aid Construction webpage.

Part 4: CompletionState Aid Payment Request

This form can be found on the State Aid DCP Processing webpage.

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Part 4: CompletionSections 4-9, 4-10, 4-11, 4-12, 4-13, 4-14 and 4-15

• 4-9 DSAE reviews/approves/submits DCP Final Payment Request package to SALT.

• 4-10 DSAE reviews/approves/submits State Aid Payment Request to SAF (include Bid Abstract if this is the first State Aid Payment Request).

• 4-11 SALT reviews/approves/forwards DCP Final Payment Request to SAF.

• 4-12 SAF reimburses the LPA for the final Federal aid & bridge bonding share.

• 4-13 SAF releases funds in accordance with State Aid Rules.

• 4-14 LPA retains records according to MnDOT retention schedule - 10 years from date of final federal action.

• 4-15 Audit may be conducted by FHWA or MnDOT.

And that’s it in a nutshell, a straightforward and step-by-step process to administer your federal aid project. The DCP process is all straight answers, and no song and dance.

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DCP Checklist: Completion

Well….. Maybe a song……..

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Questions?

Contact your DSAE.