Early in the planning stage, a school district should work with its OSPI Regional Coordinator (See "003: Regional Coordinators and District Assignments" in the Introduction section of this manual) to determine if it has School Construction Assistance Program (SCAP) eligibility that can be used toward one or multiple projects (See Chapter 3: School Construction Assistance Program Eligibility).

The application process of requesting SCAP funding assistance for a project begins with the submission of form D-3, OSPI approval of that form and then the issuance of form D-4. However, before a district can submit form D-3, it must have a completed and approved Study and Survey report, which verifies square footages of district facilities, updates the district long-term capital plan, looks at its bond-to-debt capacity, among other things. (See Chapter 11: Advanced Planning—The Study and Survey).

Once a project has begun the application process by being issued a D-4, there are several steps the district must reach during the design phase before it will be allowed to sign construction contracts (or, in the case of GC/CM and PDB projects, execute the final GMP). This chapter details each step of the D-Form, how those steps can vary depending on the project delivery method, key deadlines for districts to pay attention to, lessons learned and more.

SCAP is a unique grant program in that the funds are not yet available to be issued to the district at the point when it begins this application process. The purpose of the D-form process is to help OSPI track a project's status, and viability as it moved toward eligibility for state funding assistance. 

In its current form, SCAP is mainly designed for a Design-Bid-Build (DBB) project delivery method but can also accommodate General Contractor/Construction Manager (GC/CM) and Design-Build (DB) methods. See Chapter 4: Project Procurement Methods Supported by SCAP. This chapter will outline the process of the D-Forms by the three procurement types it can accommodate (DBB, GC/CM and DB). 

D-Forms Summary Chart for Design-Bid-Build (DBB) Projects

The D-1 is an application for reimbursement for the Study and Survey (See Chapter 11: Advance Planning--The Study and Survey). The intent of the Study and Survey is to update and have certified by an architect the school district’s facilities inventory, update its long-term capital plan, communicate the district’s financial status, among other things. This includes a PDF report submitted to OSPI, as well as an update of the inventory in ICOS. A Study and Survey must have been submitted and approved within six years of submitting a D-3 (applying for SCAP funding support of a project). Once the D-1 has been submitted and the Study and Survey has been received and approved by OSPI, a D-2 is awarded allowing the district to submit a claim for reimbursement.   

Front-funding is the process by which a district elects to proceed with a project before state assistance funding is available, assuming the financial risk that the funding may not be awarded. State assistance funds are released annually in July, at which time districts are notified whether their project(s) will receive funding.

A district may front-fund a project if it can certify that it has sufficient financial resources to cover the full cost of the project should state funding not become available. Front-funding allows the district to proceed with bidding and construction before the annual July release of state assistance funds.
If a district is dependent on the state's share of project funding, the project cannot be front-funded (and is therefore considered non-front-funded). In that case, bidding and construction activities must be scheduled to occur after the state assistance funds have been released.

What the "(1)" Means

For front-funded projects whose SCAP funds have not yet been released, OSPI issues a D-6(1), D-8(1), and D-10(1) in place of the standard D-6, D-8, and D-10. The "(1)" designation indicates that the project has been authorized to proceed under the front-funding provisions, but the project's SCAP funds have not yet been released. Once the state assistance funds are released, OSPI issues a standard D-10, replacing the D-10(1), to confirm that the project's SCAP funds have been secured. The "(1)" designation also authorizes the project to proceed with applicable milestones that would otherwise require the state funds to have been released.

D-3/D-4 (Application for Project Approval)

The D-3 is an application for state funding assistance for a new, new-in-lieu (replacement) or modernization project with state funding assistance. 

After a district has secured or is near to securing local funds through a bond, levy, impact fees or other source. Projects cannot proceed past D-4 if local funds are not yet secured. Submit an individual D-3 for separate projects.  

D-4 approvals are issued by OSPI on the 15th day of every month. D-3 forms must be submitted at least four-to-six weeks prior to the D-4 issuance date.  

Key D-4 Dates: 

• The last business day in October before the November 15th D-4 issuance date is the final opportunity for the year to capture the prior year's enrollment projections (Form 1049).

• A project must have received a D-4 by January 31st, and the district must be able to certify funding for the project (either total project costs or local share) to be eligible for that year's release of funds.

D-3 Items Submission Checklist (For Design-Bid-Build Projects)

Setting up D-Form Authorize Signees

Individuals included on the Resolution with Signatures of Authorized District Personnel will each need to create an EDS account to be able to sign D-Forms (this can be done at the EDS web page) and then given access to the district’s ICOS profile (see "Set up and Access" in Chapter 2: Inventory and Condition of Schools)

The project architect will also need to have an EDS account and have access to the district’s ICOS profile in order to e-sign the Estimate of Construction at D-7.  

D-5/D-6 (Application for Preliminary Funding Status)

The D-5 form is essentially a check-in during design phase but with some key assurances provided by the district. The Environmental Review (SEPA) is typically the most time-sensitive item to be submitted with the D-5 and the site review/building walkthrough with the district’s regional coordinator often occurs around this time, as well.  

The D-5 must be submitted to OSPI no later than one year from the D-4 issuance date.  

The D-6, or D-6(1) in the case of front-funded projects prior to their release of funds, is the approval document (with letter) issued for the D-5 per WAC 392-342-050. It is important to note that a D-6 will not be issued with non-front-funded projects until the funds are made available by the Legislature, July 15th of that project’s release year.  

D-5 Items Submission Checklist (For Design-Bid-Build Projects)

Site Walkthrough with OSPI Regional Coordinator 

Pursuant to WAC 392-342-020, OSPI “together with the school district shall conduct a review and evaluation of sites for new and existing state funding assisted projects.” While not specifically a component of the D-5 requirements, this walkthrough is typically done with the regional coordinator around the time of the D-5 submission. With that said, school districts should refer to these guidelines prior to finalizing its selection of a site. 

In selecting sites for schools, a district shall consider the follow:  

• The property upon which the school facility is or will be located is free of all encumbrances that would detrimentally interfere with the construction, operation, and useful life of the facility; 
• The site is of sufficient size to meet the needs of the facility. The minimum acreage of the site should be five usable acres and one additional usable acre for each one hundred students or portion thereof of projected maximum enrollment plus an additional five usable acres if the school contains any grade above grade six. A district considering the use of a site that is less than the recommended minimum usable acreage should assure that: 
  • The health and safety of the students will not be in jeopardy (see Health & Safety Worksheet below); 
  • The internal spaces within the proposed facility will be adequate for the proposed educational program; 
  • The neighborhood in which the school facility is or will be situated will not be detrimentally impacted by lack of parking for students, employees, and the public; and 
  • The physical education and recreational program requirements will be met. 
• A site review or predesign conference has been conducted with all appropriate local code agencies in order to determine design constraints; 
• A geotechnical engineer has conducted a limited subsurface investigation to gather basic information regarding potential foundation and subgrade performance. 

Health & Safety Worksheet 

Like the site walkthrough, The Health & Safety worksheet is not technically part of the D-5 application but is often submitted at that time. While not submitting it at the time of the D-5 submission will not necessarily hold up the issuance of the D-6(1), for the project to be eligible to receive SCAP funding in that given release yet it will need to be submitted to and accepted by OSPI no later than June 30th of that year.  

The Health & Safety worksheet is a contributing factor for determining priority ranking of projects seeking SCAP funding assistance. (See Chapter 9: SCAP Priority System). 

D-7/D-8 (Application to Proceed with Bid Opening) 

In the case of DBB, the D-7 is an application for the district to open bids for the project and select a low-bid general contractor. On a GC/CM or DB project, the D-7 is considered an application to begin or continue negotiating the final MACC agreement. In both cases, the D-7 sets the baseline in determining the estimated budget of the project prior to the D-9. 

The D-7 must be submitted: 

• No later than one year from the D-6 issuance date to stay in the D-Form process 

• (It is suggested to submit the D-7 application) at least four weeks BEFORE the expected date of bid opening or final MACC negotiation to ensure enough review time.  

• No later than June 30th of the project’s release of funds year if the district wishes to keep the project in that assigned release year.  

D-7 Items Submission Checklist (For Design-Bid-Build Projects)

All D-Forms are submitted digitally through ICOS (See Chapter 2: Inventory and Condition of Schools)

Area Analysis Plan Diagram for D-7

The area analysis diagram for the D-7 submission is a floor plan of the building that identifies the gross square footage of each project area and the proposed work within those areas. Building spaces should be measured in accordance with the "Area Definitions and Measurements" in Chapter 11. 

Additionally, see the "Area Analysis and Plan Diagram" section of Chapter 11 for more guidance.

Opening Bids with Design-Bid-Build

The D-8 or D-8(1), in the case of front-funded projects, is the approval documents (with letter) issued for the D-7 (WAC 392-344-200) authorizing the school district to proceed with bid openings. A project using Design-Bid-Build delivery method may not open bids without this approval.

Form D-8(1) is provided to districts as a grant of authority to proceed with bid openings without SCAP-secured funding status, applicable only to "front-funded" projects (see the "Front-Funding versus Non-Front-Funding" section of this chapter for more details). 

D-9/D-10 (Application for Authorization to Sign Construction Contracts)   

The D-9 is an application for the district to sign contracts with the project's Board-accepted contractor. Note that these forms closely resemble the D-7 application, except that they use actual board-approved contract amounts, not A/E estimates. A construction contract cannot be signed until all D-9 requirements are fulfilled and a D-10 is issued.

The D-9 must be submitted no more than 90 days from the D-8 issuance date unless an extension has been granted.  

A D-10 or D-10(1) must be issued before construction contracts can be signed and building construction can begin, including foundation work, pilings, or any other work associated with the building itself.

D-9 Extension Request and Approval 

If the project is coming in at more than 10 percent of the estimated total project cost established by the D-8, then the district may request an extension of 90 extra days (for a total of 180 days from when the D-8 was issued) for submitting the D-9. This may be done only once per project.  

To request an extended 90 days for submitting the D-9, the district should write a letter addressing its regional coordinator before the first 90 days are up.   

D-9 Items Submission Checklist (For Design-Bid-Build Projects)

All D-Forms are submitted digitally through ICOS (See Chapter 2: Inventory and Condition of Schools)