Early in the planning stage, a school district should work with its OSPI Regional Coordinator (See "Participants, Roles and Partnerships" 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 an 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 with 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 certain alternate public works, the final GMP, or Guaranteed Maximum Price). 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 determine a project’s status, progress, and viability so that OSPI can make a formal request for the funds to the Legislature on the district’s behalf.

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 General Contractor/Construction Management Projects) 

 Contact your OSPI Regional Coordinator with questions. 

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 when a district applying for SCAP funding certifies that it has the financial capacity to pay the full project cost without relying on the state assistance. The district may proceed past a D-8 with the project before SCAP funding is available. Historically, SCAP funding has been released annually in July. However, funding is not guaranteed until the Legislature passes the capital budget. Once the capital budget is passed and the project has met the applicable funding milestones, OSPI releases the state assistance funds. 

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. This does not apply to mini-MACC's or early work packages involving non-building construction in GC/CM and Progressive Design-Build projects. These activities may proceed before the release of state assistance funds; however, the school district assumes the financial risk for proceeding before those funds are available. 

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 GC/CM 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 Negotiate the MACC) 

On a GC/CM project, the D-7 is an application to begin or continue negotiating the final MACC agreement. The D-7 establishes the estimated project costs that are used in the D-8 and provides the basis for comparison with the actual costs submitted at the D-9. 

The D-7 must be submitted:

1. No later than one year from the D-6 issuance date to stay in the D-Form process
2. 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 General Contractor/Construction Management)

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. 

See the "Area Analysis and Plan Diagram" section of Chapter 11 for more guidance.

"Negotiating the MACC" and SCAP

Unlike Design-Bid-Build (DBB) projects, GC/CM projects may advertise, open, and award early subcontract bid packages before the D-8 is issued. These early bid packages, sometimes referred to as mini-MACC's, allow the GC/CM to procure portions of the work while the project continues through design and the SCAP approval process. The D-7 review therefore does not generally delay the award of early bid packages on a GC/CM project. 

Early bid packages may not include direct construction of the building or other work that constitutes breaking ground as defined by OSPI. See "Breaking Ground" in the Terms Used section of this manual's Introduction chapter. 

"Final GMP Amendment"

The Final Guaranteed Maximum Price (GMP) Amendment is the final amendment establishing the project's Guaranteed Maximum Price before building construction begins. While GC/CM projects may include one or more early bid packages prior to this point, those packages are limited to work that does not involve building construction. Activities such as foundation work, piling installation, structural concrete, or other work that initiates construction of the building may not begin until the Final GMP Amendment has been executed. For SCAP purposes, execution of the Final GMP Amendment serves a similar function to execution of the construction contract in a design-bid-build project. The D-10 or D-10(1) must be issued before the Final GMP Amendment can be executed or building construction can begin. 

For SCAP purposes, execution of the Final GMP Amendment serves a similar function to execution of the construction contract in a design-bid-build project and requires issuance of the D-10 or D-10(1).

D-9/D-10 (Application for Authorization to Sign MACC Agreement)

The D-9 is an application for the district to sign the Final MACC Agreement with the project's board-accepted contractor. These forms closely resemble the D-7 application, except that they use actual board-approved contract amounts rather than A/E estimates. The MACC Agreement cannot be signed until all D-9 requirements have been fulfilled and a D-10 or D-10(1) has been issued.

A D-10 or D-10(1) must be issued before a GC/CM project may execute the Final GMP Amendment, sign the MACC Agreement, or begin building construction, including foundation work, pilings, or other work associated with the building itself.

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

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. The extension may be done only once per project, and OSPI approval is required.

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 GC/CM Projects)

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