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
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.
Guidance video
- Pre-Award Package and Overhead Calculations Seminar - June 15, 2020 (YouTube): This seminar provides guidance to MnDOT consultants to help clarify the MnDOT Audit Pre-Award process and identify required supporting documents.
- FHR Cost Detail template (Excel)