USDA Rural Development Position 1 MN 1780 Guide 1 Page 1 Rev 2 2005 by rca16788

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									USDA-Rural Development               Position 1              MN 1780, Guide 1
Page 1                                                          (Rev. 2/2005)




                                  PROCESSING CHECKLIST
                                     (Public Bodies)



APPLICANT __________________________         PROJECT _______________________

COUNTY ___________________________           A/O ___________________________

POPULATION ________________________          MHI ___________________________

IRS #   ___________________________          DUNS # ________________________

CAIVRS # __________________________



MAYOR ____________________________           ADDRESS _______________________

PHONE _________________________              FAX ______________________


CLERK __________________________             ADDRESS ______________________

PHONE __________________________             FAX ______________________


ENGINEER   ______________________            ADDRESS ______________________

PHONE __________________________             FAX _________________________


ATTORNEY   _______________________           ADDRESS _______________________

PHONE ___________________________            FAX ________________________


BOND COUNSEL _____________________           ADDRESS ______________________

PHONE ___________________________            FAX_________________________


FISCAL __________________________            ADDRESS _____________________

PHONE ___________________________         Fax ___________________________
? = copy to MRWA                              & = copy to Environmental Spec.
! = copy to State Civil Rights Manager        $ = copy to State Engineer
# = copy to S/O along with checklist
* = Indicates item must be reviewed by OGC for Closing or Final Opinion

APP = Applicant                                   F/O = Finance Office
OGC = USDA, Office of General Counsel             ATTR = Attorney
A/O = Rural Development Office                    ENG = Project Engineer
B.C. = Bond Counsel                               S/O = State Office, USDA
USDA-Rural Development                        Position 1                MN 1780, Guide 1
Page 2                                                                       (Rev. 2005)
                                                1780.33
                                        APPLICATION - STAGE I

ITEM              ACTION                    FORM                  BY   Copy#    DATE       POS.
         Pre-Application         MN 1780 Guide      2
    1    Conference   1780.31    MN 1780 Guide      31     APP          2                   3
$                                MN
         Request for Qualifications 1780 Guide      39
    2    of Engineering Services 1780.39(b)(1)             APP          2                   6
#        Application for
    3    Federal Assistance      SF-424.2                  APP          2                   3
         Notice of Intent to     MN 1780 Guide      38
    4    File Application        publication               APP          1                   3
         DUNS#                   (866) 705-5711
    5    www.dnb.com/US/duns_update/index.html             APP          1                   3
         Intergovernmental
    6    Review (E.O. 12372)      letter                   RDC          1                   3
#                                 Request Letter           APP          1
         RD Authorized            1780.1(b)                S/O                              3
    7    Income Survey            MN 1780 Guide 9          Approval     1
                                  RD MN 1900-D,
    8    Conflict of Interest     Guide 1                  APP          1                   3
         Debarment/Suspension
    9    Certification            AD-1047                  APP          1                   3
         Debarment/Suspension     http://epls.arnet.gov/
    10            Check           computer printout        A/O          1                   3
         Financial Statements
    11   or Audit                 Applicant Documents      APP          1                   3
         User                     1780.39(c )
    12   Documentation            MN 1780 Guide 10         APP          1                   3
                                  1780.35(c )
    13   Current Rate Schedule    MN 1780 Guide 10         APP          1                   3
                                  6/30/04 Commentary
                                  Sample Certification     APP          1
#        Other Credit             MN S I 1780-6 Ex A
    14   Information              Other Lender Criteria    S/O          1                   3
                                  Underwriting Program     A/O          1
                                  Staff In. 6, Att. 2      A/O          1
                                  Docket Narrative         A/O          1

    15   CAIVRS Report            computer printout        A/O          1                   3
#        Elig. Determination      MN 1780 Guide 3
    16   and Recommendation                                A/O          2                   3
         Project Selection
    17   Criteria                 RUS 1780 Bulletin 1      S/O          2                   3
#        Notice of Eligibility    MN 1780 Guide 32
    18   Review Action            1780.32(b)               A/O          2                   3

    19   CPAP Update             CPAP                      A/O          1                   3
                                 1780.39(a)
    20   Application Conference MN 1780 Guide 31           A/O          1                   3
         Vulnerability Assessmt
    21   Emergency Response Plan MN 1780 Guide 35          App.         1                   3
Page 3                                       Position 1                    MN 1780, Guide 1
                                                                              (Rev. 2005)
                                       APPLICATION - STAGE II

ITEM          ACTION                       FORM                  BY      Copy#    DATE        POS.
?&$ Preliminary                   RUS 1780 Bulletins 2-5
 22 Eng Report                    MN 1780 Guide 6          ENG            4                    6
     Field Office Review          MN 1780 Guide 42         A/O            2
 23 S/O Eng Review                Memo                     S/O            1                    6
&$   Environmental Report         RUS Bulletin             APP/Eng
                                  1794-602 or MPCA EAW                    3                    7
         SHPO Notification        MN 1794 Guide 1          Eng            1                    7
         Standard Flood Hazard
         Determination            FEMA Form 81-93        Eng              1                    7
    24   Tribal - Section 106C    Letters                A/O              1                    7
         Notice of Availability   publication & SERP     APP & A/O        1                    7
         Farmland impact          prelim notice          APP & A/O        1                    7
         Wetland impact           prelim/final           APP & A/O        1                    7
         Floodplain impact        prelim/final           APP & A/O        1                    7
           Notify Applicant       letter                 A/O              1                    7
         FONSI                    publication            APP & A/O        1                    7
         Proposed Method          1780.81                Bond
    25   of Finance               letter                 Counsel          1                    5
*        Public Hearing           Affidavit of Publication
    26        1780.19(b)          Meeting Minutes        APP              1                    5
*        Legal Services           Debarment Check        APP, ATTR;
    27   Agreement                RUS Bulletin 1780-7    USDA signs       3                    5
         Agreement for            EJCDC E-510            APP, ENG;
    28   Engineering Services     RUS Bull.1780-26 Ex A USDA signs        3                    6
         Accounting System        S.I. 1780-4 1(ii)      A/O
    29   Approval                 MN 1780 Guide 4        Auditor          1                    3

    30   Option Agreement        RD 440-34                 APP, ATTR      1                    5
                                 1780.44(g)
    31   Appraisal Report        FmHA 442-10               A/O            1                    8
$        Documentation on Health 1780.10 (c )(1)           MPCA or
    32   & Sanitary Hazard       1780.13 (b) (1)           Health Dept    2                    3
$        Projected Project
  33     Costs Budget            < 1 yr. old               Engineer       3                    6
$#       Underwriting Program
  34     Loan Determination      CPAP Output               A/O            1                    3
*        Equal Opportunity
  35     Agreement               RD 400-1                  APP            1                    2
*
  36     Assurance Agreement      RD 400-4                 APP            1                    3
         Drug-Free Workplace
    37   Certification            AD-1049                  APP            1                    3
         Certification for        FmHA 1940-Q,
    38   Grants and Loans         Exhibit A-1              APP            1                    3
         Prohibited Tying
    39   Certification            MN 1780 Guide 7          APP            1                    3

    40   Project Summary          MN 1780 Guide 36         A/O            2                    1
         Proposed Letter
    41   of Conditions            MN 1780 Guide 13         A/O            1                    3
*        State Office             1780.36
    42   Application Review       memo                     S/O            1                    3

    43
Page 4                                   Position 1                    MN 1780, Guide 1
                                                                           (Rev. 2005)
                                 OBLIGATION - STAGE III

ITEM              ACTION                  FORM                  BY   Copy#    DATE        POS.
*#       Letter of               MN 1780 Guide 13
  44     Conditions              letter                  A/O          8                    3
#
  45     Letter of Intent        RD 1942-46              APP          2                    3
!        Civil Rights            RECD
  46     Certification           2006-38                 A/O          2                    3
!
  47     Compliance Review       RD 400-8                A/O          2                    5
#        Operating Budget        1780.7(f)
  48     with New Rate Sched.    1780.35(c )             APP          2                    3
#        Other Credit            < 6 mths of Oblig.
  49                                                     A/O          1                    3
  50     CAIVRS Report           < 6 mths of Oblig.      A/O          1                    3
         Request for
    51   Obligation of Funds     RD 1940-1               APP, A/O     3                    2

    52   CPAP update             CPAP                    A/O          1                    2
         Post Obligation
    53   Application Meeting     running record          A/O          1                    3
*
    54   Loan Resolution         RUS Bulletin 1780-27    APP, ATTR    1                    5
         Auth. to Proceed with   MN 1780 Guide 34
 55      Preliminary Designs     EJCDC Ex. A.1.02        APP          1                    5
&$                               Date Due:                                                 6
 56      Preliminary Designs                             ENG          3                   file
         Preliminary Designs     MN 1780 Guide 40        A/O &
    57   Review                                          S/O ENG      1                    6
*        Right-of-Way Map        MN 1780 Guide   22
    58   with Certificate        on map                  APP, ENG     1                    5
*                                1780.44(g)(1)
    59   ROW Certificate         RD 442-21               APP          1                    5
*        Opinion of Counsel      1780.44(g)(1)
    60   on Right-of-Way         RD 442-22               ATTR         1                    5
*        Preliminary             1780.44(g)(2)
    61   Title Opinion           MN 1924 Guide   9        ATTR        1                    5
                                 MN 1780 Guide   34       APP
         Auth. to Proceed with   RUS Bulletion   1780-26 Ex. C
 62      Final Designs           MN 1780 Guide   11                   1                    5
?&$      Final Plans and         Date Due:                                                 6
 63      Updated Cost Estimate                          ENG           4                   file
                                 MN 1780 Guide 12
    64   Final Plan Review       Memo                   S/O ENG       1                    6
         Closing                 1780.44(h)
    65   Instructions            Memo                   OGC           5                    5
         Other Funds             1780.44(f)
    66   Evidence                Documentation          APP           1                    2
*        Regulatory Agency       1780.57 (g)&(h)        Health,
    67   Approval Permit         letter                 MPCA, etc.    1                    6
         Authorization to Bid    MN 1780 Guide 15
    68   Construction            letter                 A/O           1                    6
         Owner's Instructions    RUS Bulletin 1780-26
    69   Regarding Bidding       Exhibit B              APP           1                    6
         Bid Form                RUS Bulletin 1780-26 Exhibit F
         Bid Bond                EJCDC C-430
    70   Bid Tabulation                                 ENG           2                    6
         Compliance Statement    RD 400-6
         Revised Project Budget
         Arch/Eng Recommend.    letter
Page 5                                     Position 1                    MN 1780, Guide 1
                                                                             (Rev. 2005)

                             BIDDING AND CLOSING - STAGE IV

ITEM              ACTION                    FORM                 BY    Copy#    DATE        POS.
         Contractor Debarment      computer
    71   Suspension Check          printout               A/O           1                    6
*        Evidence of Acquisition   1780.44(g)
    72   of Necessary Property     documentation          APP           1                    5
*        Evidence of               Preliminary Title
    73   Exceptions Cleared on     Opinion                APP           1                    5
         Construction Contracts    MN 1780 Guide 16
    74   Authorization             RUS Bulletin 1780-26   A/O           1                    6

    75   Notice of Award           EJCDC C-510            APP           1                    6
         Affirmative Steps on
    76   Minority Procurement      MN 1780 Guide 5        APP           1                    3
         Interim Financing         9/27/04 Commentary
    77   Commitment Ltr.           RUS Bulletin 1780-10   A/O           1                    5
         Interim Financing
    78   Documentation             documentation          Lender        1                    5
                                   1780.39(g)
    79   Insurance                 certificate            APP           1                    8
*                                  1780.39(g)(3)
    80   Fidelity Bond             RD 440-24              APP           1                    8
         Construction                                     ENG                                6
    81   Contracts Completed       MN 1780 Guide 12       & ATTR        5                   file

    82   Dept. of Labor Ltr.       MN 1780 Guide 14       A/O           1                    6
         Construction File         Construction Guide     1780.76
         Debarment/Suspension
    83   Check                     computer printout      A/O           1                    3
*
    84   Grant Agreement           RUS Bulletin 1780-12   APP, A/O      2                    2
*        Temporary Bond Opinion    Letter                 Bond
    85   Copy of Temp Bond         Copy of Bond           Counsel       1                    5
         Certification on
    86   Collection Policies       RD 1910-11             APP           1                    3
         Graduation                MN 1780 Guide 23
    87   Certification                                    APP           1                    3
*                                  per OGC Closing        APP, A/O,
    88   Loan Closing              Instructions           ATTR, B.C.    1                    5
         Loan Closing                                     A/O to
    89   Information               MN 1780 Guide 20       Finance       1                    5
         Operational Review        RUS SI 1780-2 (3.2)a
    90   at Loan Closing           MN 1780 Guide 37       A/O           1                    3
!
    91   Compliance Review      RD 400-8                  A/O           2                    5
*                               1780.83                                                      5
    92   Bond Transcript        bound document            B.C.          1                   file
*                               1780.44(g)(2)
    93   Final Title Opinion    RD 1927-10                ATTR          1                    5
*        Waiver of Encumbrances 1780.44(g)(2)(ii)
    94   Exceptions & Reservati MN 1780 Guide 19          S/O           1                    5
         Final Opinion
    95   on Loan Closing        memo                      OGC           2                    5

    96   CPAP update               CPAP                   A/O           1                    2
         Servicing File            Servicing Guide
?        Warranty Inspection
    97   Letter                    MN 1780 Guide 30       A/O           1                    3
                                   MN 1780, Guide 1
                                                                            (Rev. 2005)

                          CONSTRUCTION GUIDE     1780.76

               ACTION                     FORM               BY     Copy#      DATE       POS.
      Pre-construction
      Conference               MN 1780 Guide 29        A/O           1                    6,8

      Notice to Proceed        EJCDC C-550             APP           1                    6,8

      Notice to Contractors    RD 400-3                A/O           1                    6,8
      Qualifications of
      Resident Inspector       résumé                  ENG           1                     3
      Resident Inspector
      Approval                 letter                  S/O           1                     3
      Project Funds
      Tracking System                                  A/O           1                     1

      Invoices                Documentation            APP & A/O     1                     2
                              MN 1780 Guide 24
$&    Partial Pay Estimate    MN 1780 Guide 28
      Contract Change Orders EJCDC C-941               ALL           6                    5,7
      Resident Inspector
      Reports / Diary         MN 1780 Guide 17         ENG           1                     3
      Engineer's Meeting
      Minutes                 MN 1780 Guide 18         ENG           1                     3
      RD Inspection                                    Constr. A.
      Reports                 MN 1780 Guide 25         A/O           1                     3
&     Environmental Report
      Mitigation Verification MN 1780 Guide 33         APP / ENG     1                     3
      Certification of
      Contractors Release     RD 1924-9                Contractor    1                    6,8
      Release by
      Claimants- 1780.75(c.) RD 1924-10                Contractor    1                    6,8
?$&   Cert. of Substantial    MN 1780 Guide 27         Contractor
      Completion              punch list               APP, ENG      1                    6,8
      Cert. of Final
      Approval                MN 1780 Guide 8          ENG           1                    6,8
      Regulatory Agency
      Operating Permit        Documentation            APP           1                     1
?
      Warranty Inspection      MN 1780 Guide 25        S/O, A/O      1                     3
                  Due Date:

      Running Record
      Correspondence                                                                       4
                                 MN 1780, Guide 1
                                                                  (Rev. 2005)

                              SERVICING GUIDE

              ACTION                   FORM           DATE DUE   DATE COMPLETED POS.
Quarterly Reports             Borrower Report
 or Waiver Letter             Letter from A/O                                    8
Warranty Inspection
Due 9-11 month                MN 1780 Guide 25                                   6
Directors Report - RD 442-4   RUS Staff Instruction
Due 9-11 month                1780-2(3.2)(a)(i)(B)                               3
Operational Review            MN 1780 Guide 37
                              If Award > $500,000
Audit or                      Then A-133 Audit Due
Management Report             9 months from
  Includes:                   year-end.
     Rate Schedule            If Award < $500,000
     Board Membership         or Loan Balance is
                              >$1 million Then
     1780.47                  Water Program Audit
     S.I. 1780-4              Due 150 days from                                  8
     MN 1780 Guide 21         year-end.
     Bulletin 1780-16         If Loan Balance is
     Bulletin 1780-17         <$1 million and A/O
     Bulletin 1780-30         approves, Then a
     Bulletin 1780-31         Management Report is
                              Due 60 days from
                              year-end.
                              See Staff Instruction
                              1780-4 (4)(ii)(b)
Security Inspections          MN Checklist
Due Every 3 years             MN 1780 Guide 25                                   6
                              MN 1780 Guide 37
                              RUS Staff Instruction
                              1780-2 3.2

Compliance Review             RD 400-8
Due every 3 years             Instruction                                        5
until 2 consecutive           1901-E
in compliance, then
every six years

Graduation Reviews           AN #3900 (1951-F)
Due 5 years after            Attachment 2
loan closing                 Underwriting Program
Loans closed in even ending years                                                3
will be reviewed in even ending years
and loans closed in odd ending years
will be reviewed in odd ending years.

Financing Statements                                                             1

Insurance                                                                        7

Fidelity Bond                                                                    7




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