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 Package (PDF) will need to be completed by the consultant and their sub-consultants if the sub-consultants costs are $10,000 or more.

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

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

  • Pre-Award Questionnaire (PDF) – 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 years 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
      • Statement of Overhead
      • Internal Control Questionnaire
      • Financial Statements
      • Certification of Final Indirect Costs
      • Approval Letters from Other State if Available
    • Cognizant Audit from your Home State
      • Statement of Overhead
      • Internal Control Questionnaire
      • Financial Statements
      • Cognizant Letter
      • Certification of Final Indirect Costs
    • In-House Prepared Overhead Rate
      • Overhead Rate Calculation and Supporting Workpapers
      • National Compensation Matrix
      • MnDOT Overhead Rate Questionnaire
      • Financial Statements
        • Profit and Loss Statement
        • Balance Sheet
      • Certification of Final Indirect Costs
      • 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
  • 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 contact Randy Stallkampat the MnDOT Office of Audit:

Randy Stallkamp, Pre-Award, Rates and Consultant Liaison Unit
Phone: 651-366-4131
Email: randy.stallkamp@state.mn.us