Minnesota Department of Transportation

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Audit

Pre-Awards

The MnDOT Office of Audit conducts Pre-Award Audits on contracts prior to contract execution.

Consultant Pre-Award Package

If MnDOT requests a Pre-Award for a Professional/Technical Contract, then a Consultant Pre-Award Audit Information Package (PDF) will need to be completed by the consultant (when the consultant costs are $50,000 or more), and their sub-consultants (when the sub-consultants costs are $10,000 or more for each sub-consultant).

It is the Prime's responsibility to ensure their sub-consultants have submitted all their documents for the pre-award.

The Consultant Pre-Award Audit Information Package (PDF) consists of the following:

  • Pre-Award Questionnaire – A brief set of questions regarding the most current company information.
  • Sample of an Employee Timesheet.
  • Sample of an Employee Expense Report.
  • Fee Schedule and/or a Billing Rate Schedule, if applicable.
  • Most recent fiscal year’s overhead rate acceptance letter. If you do not have a MnDOT overhead rate acceptance letter, submit the following items based on how your overhead rate was prepared:
    • CPA Prepared Overhead Rate
      • Overhead Calculation
      • Internal Control Questionnaire
      • Financial Statements
      • Certification of Final Indirect Costs
      • National Compensation Matrix
      • Approval Letters from Other State if Available
    • Cognizant Audit from your Home State
      • Overhead Calculation
      • Internal Control Questionnaire
      • Financial Statements
      • Cognizant Letter
      • Certification of Final Indirect Costs
      • National Compensation Matrix
    • In-House Prepared Overhead Rate
      • Overhead Rate Calculation and Supporting Workpapers
      • MnDOT Overhead Rate Questionnaire
      • Financial Statements
        • Profit and Loss Statement
        • Balance Sheet
      • Certification of Final Indirect Costs
      • National Compensation Matrix
      • Approval Letters from Other State if Available

If the Pre-Award is in response to an RFP, please submit a copy of the budget in Microsoft Excel format.

Transit Pre-Award Package

If MnDOT requests a Pre-Award for a Transit Contract, then the Transit Pre-Award Package will need to be completed by the grantee.

The Transit Capital Pre-Award Package consists of the following:

  • Copy of Application and Supporting Documents - Including Financial Statements
  • Transit Accounting Questionnaire (PDF)
  • Budget Amount and Quantities (Example: Number of buses and requested dollar amount)
  • Transit System Contact Information
    • Contact Name and Title
    • Address
    • Phone
    • Email

General information

The Pre-Award cannot be completed without all the information listed above. Missing information can delay the Pre-Award process; therefore, it is very important to provide all information on the Pre-Award at the time of submittal, including the sub-consultants information (if applicable).

A Pre-Award Package will need to be submitted on each Pre-Award that MnDOT requests. The Pre-Award Package should be sent to the MnDOT personnel who has requested the Pre-Award. If you have questions regarding the Pre-Award Package, please email auditpreawards.dot@state.mn.us.

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