601: (GC/CM) D-Forms Overview

601: (GC/CM) D-Forms Overview

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) 

D-Form Application Highlights Approval (Issued by OSPI) Deadline for Next D-Form Application
D-1: Study and Survey Grant Application
  • Project Planning
  • Certify Facility Inventory
 D-2 The district must have an updated and approved Study and Survey within six years of submitting a D-3. OSPI reserves the right to request an update to that Study and Survey within that six-year period.

D-3: Project Application

Occurs when submitted a project for SCAP funding
  • Eligibility Calculation
 D-4 A D-5 is due one year (or sooner) after receiving a D-4
D-5: Application for Preliminary Funding Status
  • Environmental Review (SEPA)
  • Site Visit by Regional Coordinator
 D-6 A D-7 is due one year (or sooner) after receiving a D-6 or D-6(1)

D-7: Application to Negotiate the MACC

For GCCM, a D-8 or D-8(1) (see "Front-Funding versus Non-Front-Funding" in this chapter) is not required before establishing or bidding mini-MACC's. Unlike Design-Bid-Build projects, where the D-8/D-8(1) is associated with authorization to proceed with the construction bid, GCCM projects may establish and bid mini-MACC's before the D-8/D-8(1) is submitted. However, mini-MACC's may not include direct construction of the building, including groundbreaking (see "001: Terms Used" in the introduction chapter for details on groundbreaking). 
  • Contracts
  • Cost Estimates
  • Area Analysis
  • Agency Approvals
 D-8

A D-9 is due 90 days after receiving a D-8 or D-8(1). If the project is estimated at least 10 percent over budget and the school district can show that, it can request an extension of an extra 90 days. This must be approved by OSPI, however. 

When making this request, MACC amendments to this point must be submitted to OSPI. OSPI may consider the extent of bidding completed when reviewing the amendment, as bids received for only a portion of the MACC may not provide enough information to determine whether the project is actually over budget.

D-9: Application for Authorization to Sign MACC Agreement

A D-10 or D-10(1) must be received before the final MACC can be signed
  • Advertisements
  • Bid Tabulation
  • Bid Form
  • Final Billings
 D-10 Projects cannot break ground on building until D-10(1) or D-10. See "001: Terms Used" in the Introduction chapter for more information on "breaking ground."
D-11: Application to Release Retainage
  • Final Payment to General Contractor
 D-12  

 Contact your OSPI Regional Coordinator with questions.