The PM enters negotiations

Qualified Consultant Pools

UDOT develops various pools of qualified consultants and contractors. Each pool is a list of prequalified consultants or contractors in specific work disciplines. The pool pre-qualification process assists UDOT and LG PMs in selecting the most qualified consultant for their project in a streamlined manner.

Consultants may submit a proposal of qualifications in any of the work disciplines matching their expertise. The specific Pool Solicitation outlines the description and qualification requirements for each work discipline and guides consultants in preparing their proposal for UDOT consideration. Consultant proposals are evaluated and scored on the criteria stated or identified in the solicitation. Scoring criteria are given a maximum number of possible points. A threshold score is established in the pool solicitation for qualifying for the pool. UDOT assembles teams with the appropriate expertise to review and score consultant proposals. UDOT posts the pool solicitation on the UDOT website and notifies consultants through the Consultant Services Department Email Notification List. The pool submission deadlines are identified in the solicitation. Consultants are notified of the results and the final list of qualified consultants is posted on the Consultant Services website. Qualification in any consultant pool does not guarantee a contract.

The qualified consultant pools are in place for three to five years for use by UDOT and LG partners. Utah Code §63G -6a-507 (Approved vendor list procurement process) states that prequalified lists of consultants may not be used for a term longer than 18 months (Subsection [5][b][ii]). Pool consultants are required to submit a Requalification Certification Form (RCF) every 18 months within the pool period to stay listed as qualified for a work discipline without going through a new competitive procurement process. The submission should include changes to key personnel from the original proposal as it may affect a consultant’s qualification status. The Department reserves the right to disqualify a firm if necessary to protect the interests of UDOT and the state. UDOT encourages Disadvantaged Business Enterprises (DBEs) and Women Business Enterprises (WBEs) to respond to the pool solicitations. UDOT encourages prime consultants to use DBEs and/or WBEs as subconsultants.

Pool Small Purchase Contract Process

The UDOT/LG PM considers at least three proposals from consultants listed as qualified under the work discipline most closely related to the scope of work and will select the most qualified. The consultants will then be contacted by the UDOT/LG PM to begin the negotiation phase for the contract.

Request for Pool Letter of Qualifications (RPLOQ) Contract Process

Consultants are shortlisted and invited to prepare and submit proposals by the deadline given to the UDOT/LG PM and the Consultant Services manager based on instructions outlined in the RPLOQ Format Instructions and the RPLOQ Form. Consultants may choose to decline the invitation in writing. Pursuant to Utah Code §63G-6a-1503 (Evaluation committee for design professional services), consultants may not contact or communicate with any member or potential member of a selection team regarding an RPLOQ once the RPLOQ invitation has been received by the consultant. The only

exceptions are to acknowledge receipt of the RPLOQ invitation, submit a proposal, or submit a declination to the invitation. Consultants may communicate with the Consultant Services Manager or other Consultant Services staff at any time during the process.

Solicitations Solicitations (Standard/Streamlined/RLOI)

Consultants will review and comply with the solicitation advertised on the Project Solicitations website and through the Consultant Services Department Email Notification List.

Pursuant to Utah Code §63G-6a-1503 (Evaluation committee for design professional services) consultants may not contact or communicate with any member or potential member of a selection team regarding the solicitation once it has been advertised. The solicitation process allows for consultants to request a one-on-one meeting with the UDOT/LG PM and, at the discretion of the Department, appropriate discipline leads. Consultant Services manages the scheduling and format of these meetings. These one-on-one meetings with UDOT should not be viewed as marketing opportunities and are not mandatory for consultants who intend to submit a proposal. Consultants may communicate with Consultant Services staff at any time during the process. All interested consultants may prepare and submit a proposal to the email address identified and by the deadline given in the solicitation. Consultants should be prepared to receive and follow instructions related to interviews as determined by the selection team and as provided by Consultant Services.

Consultant Financial Screening Requirement

UDOT must financially screen consultants prior to awarding any type of project work through the qualified consultant pool, an RPLOQ, or a solicitation. For details on the financial screening process, see . If a selected consultant is not financially screened and approved within two weeks of the selection date, the consultant may be disqualified.

Section 5: Financial Screening and Insurance

Financial Screening

Financial screening is required for firms interested in becoming eligible for UDOT Consultant Services contracts as a prime or subconsultants.

The purpose of financial screening is to provide reasonable assurance that the consultant’s financial statements, presented Indirect Cost Rate (ICR), hourly billing rates, and direct costs comply with 2 CFR Part 200 (Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards), and 48 CFR Part 31 (Contract Costs Principles and Procedures).

Per Utah Administrative Rule R907‐66‐7 (2) (Consultant Financial Screening and Auditing), consultants are required to submit their firm’s financial screening application (including all required supporting documents) within 90 days of their most recent fiscal year‐end or 60 days prior to the anniversary date of their previous financial screening application approval, whichever occurs first. Consultants that require an extension may send a request to csscreening@utah.gov for consideration. Consultants will need to be financially screened to the level required by the type of contract and services they will be performing. Additional information regarding the financial screening application and matrix, financial screening levels, required documentation, escalation process, Frequently Asked Questions may be found on the UDOT Consulta nt Services Financial Screening website.

The financial screening process consists of verification, procedures as necessary to: risk assessment, desk review, and audit

Accept a firm’s presented indirect cost rate(s), or Develop/provide rate(s) to new entities that do not have an existing financial history, or

Reject presented rate(s) when screening processes do not result in reasonable assurance of compliance, or

Recommend adjustments to presented rate(s) in order to accept compliant rate(s), or Develop/assign acceptable rate(s) for non-compliant consultant presentations, or Provide financial screening approval for firms that do not present/ require indirect cost rate(s).

The AASHTO Uniform Audit & Accounting Guide has been developed as guidance for Architectural and Engineering (A/E) Consulting Firms, independent CPAs, and state DOT auditors to assist with the preparation, review, and audit of ICR Schedules (statements of direct labor, fringe benefits, and general overhead).

Insurance

UDOT requires all prime consultants to have current insurance coverage before execution of a contract. Consultants must submit a compliant Acord 25 Certificate of Liability Insurance for each type of required insurance. The example Acord 25 Certificate contains all the required items that must be included on each compliant certificate. Any certificate that is submitted without the required information may delay the consultant’s insurance certification requirement and prevent execution of a contract. Depending on the type of services provided and contract dollar value, the following insurances may be required:

Commercial General Liability

Commercial Auto Liability

Commercial Professional Liability Unmanned Aircraft High Risk Blasting Health Insurance

Worker’s Compensation and Employer’s

Liability Insurance Data Integrity Insurance

Valuable Papers Product Liability

Umbrella and/or Excess insurance

Watercraft and Aircraft Liability

Refer to the Consultant Services Insurance Matrix to determine which types and policy coverage amounts are required.

If a consultant performs work that in their opinion does not present a liability risk for UDOT, the consultant may request a waiver to the minimum liability insurance coverage required.

Insurance must be maintained in force until all activities under contract with UDOT are completed and accepted by UDOT. For specific insurance policy requirements see the Consultant Services - Insurance Guidelines.

Please note these insurance guidelines do not apply to Design/Build projects. For a Design/Build project, the consultant will need to follow the requirements outlined in the RFQ/RFP for the project. If the minimum insurance coverage is insufficient for a specific project, UDOT may require a consultant to obtain additional insurance. The UDOT/LG PM and the consultant may use the Consultant Services Professional Liability Risk Assessment to assess additional insurance needs.

Section 6: Contracting

The UDOT contracting types vary depending on the scope of the project, expertise needed, funding source, and value of the contract. All contracts are managed and developed within UDOT’s contract management system.

Contract Management System

The contract management system tracks consultant selections, contracts, qualified consultant pools and pool management, federal - aid agreements, consultant profiles, financial screening and insurance coverage, and invoicing. UDOT PMs and consultants must use the contract management system for all contracting and invoicing. The system provides status of the contract visible to the consultant and the UDOT PM. UDOT provides several training sessions for assistance.

UDOT PMs use the contract management system for contract requests, negotiation with the consultant, developing and managing contract documents, and managing invoices. For a consultant contract to be set up in UDOT’s contract management system, the consultant must provide firm information such as key personnel, titles, and rates. Once the consultant is financially screened and has provided a certificate of insurance to UDOT, Consultant Services updates the information in the contract management system.

Contract Types

UDOT uses three types of contracts: project-specific, current-expense, and on-call. Contracts are limited based on the contract type, selection method, and fee type used and are written after consultant selection through the competitive or non-competitive procurement process.

Project-Specific Contracts

Project-specific contracts are contracts with a single project funding source between the Department and consultant for the performance of services with a defined scope of work related to a specific project.

Current-Expense Contracts

Current-expense contracts are contracts with a single department overhead funding source between the Department and consultant for the performance of services with a defined scope of work.

On-Call Contracts

On-call contracts are written for as-needed services with multiple funding sources. Project-specific work task orders (WTOs) are issued under on-call contracts for the performance of services. A WTO is requested by the UDOT PM through the contract management system. On-call contract NTP and WTO NTP must be issued prior to work being performed.

On-call contracts have the following requirements:

Unit Price Fee Type

Duration

Maximum Amount per Contract Maximum Amount per Project Local Government Projects

On-call contracts must use the unit price fee type and a fixed fee rate of 10 percent. The basis for this requirement is due to the short schedule, size, duration, and complexity of the on-call contract. Contract duration is 22 months or less from the time a PM requests a contract. The first 18 months will be for work on various WTOs. New WTOs cannot be requested in the final 3 months. These final 3 months are reserved to complete any outstanding WTO items, submitting payment requests, and issuing final payments. No date extensions are allowed. The maximum contract amount is $250,000 for the base contract including all modifications. The maximum cumulative amount per project for WTO’s on any on -call contract per consultant is $70,000. The intent is to allow for contracting on multiple projects when needed. On-call contracts may not be used for LG projects unless approved by the Consultant Services Manager as an exception.

Contract Fee Types

UDOT uses three fee types when contracting with a consultant. The UDOT / LG PM selects the fee type based on the scope of work and the consultant financial screening level. Below is an outline of the fee types.

COST PLUS FIXED FEE (CPFF)

UNIT PRICE (UP)

LUMP SUM (LS)

This fee type is most often used when it is not possible at the time of procurement to fully estimate the extent or duration of the work. The fee type is flexible enough to allow for actual cost reimbursement including direct labor costs, indirect costs, and fixed fee amount, plus any other direct expenses or costs, subject to the maximum-not-to-exceed contract amount (see the Fixed Fee Calculations Form). This fee type is often used when the scope of work is well defined or services, labor, material or equipment needed are certain, but the quantities may be unknown. The unit price rate may include raw labor, overhead and fixed fee (profit) or a negotiated rate for a specific element of service (see the Fixed Fee Calculations Form). The fee type provides for cost reimbursement only for staff and items listed in the contract, up to the negotiated rate including direct labor costs, indirect costs, and fixed fee amount, plus any other direct expenses or costs, subject to the maximum-not-to-exceed contract amount.

This fee type is used only when the contracting agency has established the extent, scope, complexity, character, and duration of the work to be required to a degree that fair and reasonable compensation, including a fixed fee, can be determined at the time of negotiation.

Federal-Aid Agreement

The federal-aid agreement (FAA) is a contract that defines the respective roles and requirements between a state agency and a local public agency (LPA). Pursuant to 23 CFR Section 635.105 (Supervising Agency), a state agency requires a FAA to be signed by the LPA and UDOT for any project in which a LPA is receiving federal funds as part of their oversight responsibilities to ensure compliance with all federal requirements.

The FAA is initiated by the UDOT PM through the contract management system. This agreement includes all costs associated with the project including the LGs required share of the project cost (local match) and the roles and responsibilities for both UDOT and the LG. If project costs increase after the execution of the FAA, the local match may increase as well and a modification to the FAA may be required.

The FAA states the LG is responsible for 100 percent of any overruns that exceed the FHWA participation amount and any ineligible costs.

Once the FAA is executed, a consultant contract for services may be requested.

Contract Negotiation

It is the responsibility of the UDOT/LG PM to negotiate the necessary scope of work and to deliver the project in a timely and cost-effective manner. If the first-ranked consultant and UDOT/LG PM cannot come to an agreement, negotiations are terminated and the UDOT/LG PM and negotiation team will begin negotiations with the secondr anked firm. If there is a change in key personnel during contract negotiations, the new personnel must be equal to or better than the key personnel identified on the proposal. If the UDOT/LG PM and/or selection team determines the revised project key personnel is not equal to or better than the originally proposed team, negotiations will be discontinued and UDOT will move to the secondr anked firm. If the change in key personnel is after NTP and UDOT/LG does not approve the change, UDOT will reflect the change on the consultant project evaluation and reserves the right to terminate the contract.

Contract Preparation

Consultants must prepare the required documentation and information listed below for all contracts and contract modification requests. This information must be submitted as a complete package in the contract management system for the UDOT/LG PMs review and approval. Consultants must obtain access to and become familiar with UDOT’s contract management system. They must also identify a contract administrator within their firm to be responsible for maintaining the firm’s information.

Executive Summary

The executive summary is required for the prime consultant on all contracts and contract modifications and must include:

A brief description of work being performed or brief description of why a modification is necessary along with a description of the project location if applicable.

The prime and subconsultants with firm roles, responsibilities, and deliverables.

Contract assumptions to assure the contract has been fully scoped or identify contract unknowns with as much detail as possible so the need for any future modification may be justified.

Contract phasing if applicable, and why phasing is necessary to the contract.

Fee type for the contract and description of why it’s the best fee type for the contract.

Work Plan

The work plan must include a detailed description of tasks to be performed, materials to be delivered, equipment to be used, meetings to attend, standards to be followed including any other responsibilities and commitments.

Staffing Plan/Hours Derivation

The staffing plan must include all staff that will be used on the contract including the current rate of pay and the proposal rate for the contract. If the current rate and proposal rate are different, an explanation is required as to how the proposal rate was calculated. Hours derivation must contain a list of the personnel that will be performing services on the contract with labor hours estimated by task.

Cost Proposal Labor Costs

Labor costs must be detailed based upon the estimated number of hours for each staff member. Necessary information includes (names, titles, rates, and estimated hours).

Other Direct Costs (ODC)

ODC items needed for the contract must be detailed. These include costs such as reproduction, travel, mileage reimbursement, material tests, equipment, postage, etc. ODC’s are entered as a number of units multiplied by the unit rate. These costs are not eligible for mark-ups (e.g. fixed fee and consultant overhead).

Subconsultant Information

If subconsultants are used, the subconsultant must provide a Work Plan, Staffing Plan, and Cost Proposal to be included in the contract. Subconsultant costs are direct costs not eligible for markups by the prime (e.g. fixed fee and consultant overhead).

Work Schedule

Consultants must provide a work schedule including milestone and deliverable due dates.

Certificate of Insurance

UDOT requires all prime consultants to have current insurance coverage before execution of a contract. Insurance must be maintained and in force until all activities under contract with UDOT are completed and accepted by UDOT. For specific insurance policy requirements see the Consultant Services Insurance Guidelines.

Notice to Proceed (NTP) Contract Approval and Notice to Proceed

Consultant Services generates the contract or contract modification and routes it through an electronic routing application for appropriate approvals and signatures. Upon contract execution, Consultant Services will issue NTP and a copy of the contract to all parties. Consultant Services is the only agent authorized to issue NTP. Consultants will not be compensated for any work done prior to NTP. It is the responsibility of the UDOT/LG PM to ensure the consultant does not work or incur costs until NTP is issued.

Early NTP

Under limited circumstances, the UDOT/LG PM may request an early NTP from Consultant Services for the consultant to begin work prior to a standard NTP. The UDOT/LG PM must include justification and concurrence from the program manager for early NTP consideration. Consultant Services will verify the funding has been approved and the consultant is financially screened with a current certificate of insurance. In general, an early NTP is limited to $25,000 and 30 days unless otherwise approved.

Consultant Services requires consultant concurrence with the following terms:

1

2

3

4

The consultant will negotiate in good faith to sign the contract regardless of any issues which may arise between the time of early NTP and execution of the contract. Any disputes occurring during the early NTP phase will be handled pursuant to general UDOT terms and conditions and the executed contract.

Payment will not be issued until after execution of a contract or modification.

Limitation of services to be performed during the early NTP.

Consultant Services will send a request to the Director of Preconstruction for review and approval. If the contract is anticipated to be over $1,000,000, the Director of Preconstruction will obtain the deputy director’s approval. Consultant Services will issue the early NTP to the consultant via email identifying the limitations.

Contract Modifications

As necessary, the UDOT/LG PM may request a modification to the contract for scope, schedule, alternate staff, or budget. Contract modifications for scope or budget require the same documentation as the base contract and follow the same approval process.

Contract date extensions may be requested by the consultant or the UDOT PM in the contract management system. Once requested, Consultant Services will route the contract date extension for approval and issue NTP.

If a consultant requires alternate staff to assist on a project after a contract has been executed, the consultant will request an Alternate Staff Transaction in the contract management system. The UDOT PM will review and approve the alternate staff in the contract management system. For unit price contracts, alternate staff must be approved by the UDOT PM prior to any work being performed by that individual. Any work performed prior to the alternate staff NTP date will not be eligible for reimbursement on a unit price contract.

Conflict of Interest (COI)

23 CFR 1.33 (Conflicts of Interest), no person performing services for the Department/LG in connection with a project shall have, directly or indirectly, any financial or other personal interest, other than employment or retention by the Department/LG in a contract or subcontract for such project. Refer to the UDOT Guidance for Consultant Conflict of Interest for additional information.

UDOT Policy 05-30 (Code of Ethics and Conflict of Interest) defines the expectations of employee ethical and responsible behavior with regard to conflicts of interest, private business activities, and rules with which all employees are expected to comply.

All individuals involved in the procurement of consultants are required to sign the Conflict of Interest and Confidentiality Form. Individuals must affirm or certify they have no conflict of interest either real or potential as to any matter which is entrusted to them in their job or assignment. Additionally, they must disclose a potential conflict of interest prior to receiving consultant or contractor proposals.

UDOT Conflict of Interest Committee

UDOT’s Project Development Division has created a Conflict of Interest Committee to review and address potential conflict concerns on a case-by-case basis. The disclosed information is forwarded to the Consultant Services Manager for screening who makes a determination or forwards the information to the Committee for a determination.

Consultant Acting as UDOT Project Manager, Consultant Services Support and/or Program Management Support Conflict of Interest

When UDOT retains consultants to perform UDOT Project Management Services, Consultant Services Support, and/or Program Management Support, it is imperative that consultants in these roles represent UDOT in an equitable, ethical, and unbiased manner. Consultants acting in any of these roles must inquire about and disclose potential conflicts of interest between their firm, other consultants they manage, and the project(s). All potential conflicts of interest must be disclosed to the UDOT program manager. In cases of potential conflicts of interest, the UDOT program manager and the consultant will work together to determine how to best mitigate the conflict or escalate to the Conflict of Interest Committee.

Construction Engineering and Design by Same Consultant Conflict of Interest

UDOT may retain consultants to perform both design and construction engineering management (CEM) on the same project. UDOT recognizes there are times when having the same consultant perform both design and CEM is advantageous. However, UDOT is aware there may be negative perceptions among consultants or potential conflicts of interest when a consultant performing CEM for a project also performs the design services for the same project. FHWA outlines this potential conflict in the Consultant Services Procurement, Management, and Administration of Engineering and Design Related Services - Questions and Answers Section VIII.

UDOT project management teams must consider and evaluate possible conflicts of interest when selecting a consultant resident engineer employed by the same design consultant team. If the UDOT project management team considers selecting a resident engineer employed by the same design consultant team, they will be required to submit documentation with an explanation of benefits to the Director of Project Development or the Director of Preconstruction for approval prior to the consultant selection. This requirement does not apply to LG projects. LGs will be advised of UDOT’s concerns and allowed to determine their own ways of resolving potential conflicts of interest.

DB Conflict of Interest

The UDOT Conflict of Interest Committee will review any potential conflict of interest in DB projects. Specific details regarding individual and organizational conflict for DB teams are outlined by UDOT’s Innovative Contracting Division in each RFQ/RFP for DB projects. For DB program management services, if eligible subconsultants to the prime consultant choose to pursue participation on the DB team, they and the program management consultant, will be required to submit a mitigation plan to UDOT and receive UDOT approval of that plan.

Environmental Conflict of Interest

If a consultant is selected to prepare an EIS for a project, the consultant team must affirm they do not have any financial or other interest in the outcome of the environmental project nor do they have any agreement, enforceable promise, or guarantee to provide future work on the project. As part of the contract documents, the consultant and any subconsultants must provide a signed Conflict of Interest Disclosure Statement - Environmental Documents.

Section 7: Contract Administration and Monitoring

Contract administration and monitoring is required per 23 CFR 172.5 (Program management and oversight) to ensure the project scope of work, schedule, and budget are being met as per the contract specifications. The UDOT/LG PM will oversee the consultant’s progress, payments, and performance. Guidance for contract oversight and management is provided by UDOT’s Preconstruction Division, including processes for financial management, PM and consultant training, contract evaluation, and project closeout. The UDOT Project Manager Guide and the UDOT Project Financial Management Guide are additional resources to assist UDOT PMs in their roles and responsibilities.

Use of Consultant and/or Corporate Logos

Consultant and/or corporate logos or branding identification may not be displayed in public documents or products produced for UDOT such as plan sheets, environmental documents, or placement on cover pages and headers/footers. For a complete list of restrictions, refer to Use of Consultant and Corporate Logos Memo.

DTS Requirements

The Utah Department of Technology Services (DTS) oversees procurement and contracting for all consultants providing hardware, software, and IT services to UDOT. Consultant Services performs a cursory review of all contract work plans to determine the nature of the services; If there are items for hardware, software or technology (other than Intelligent Transportation Systems (ITS) or project specific websites or software), the consultant will work through the designated UDOT Region coordinator to DTS.

If the services are for Intelligent Transportation Systems (ITS) or project specific websites or software, Consultant Services will ensure compliance with DTS guidelines and continue through the standard procurement and contracting method.

Intelligent Transportation System

Consultants selected under the ITS work disciplines under the General Engineering Pool may install, integrate, and upgrade State furnished ITS devices or equipment only. Consultants who create or provide ITS devices which are not state furnished must be procured through DTS and not through a Consultant Services contract.

Project Websites

Consultants who provide a project website as part of a project-specific contract must agree to the following:

Project websites will not be hosted, managed, or maintained on a state server or be hosted, managed, or maintained by UDOT.

Websites do not, or will not, have any direct/real-time access or interface with a UDOT project database, automated application, or tool.

Websites will not have access behind the state firewall.

Access to the website must not require a logon/password or account.

The website may be informational only (the only information to be received or entered will be related to gathering feedback).

DTS resources will not be required to implement the project website.

There will not be an IT service or software application purchased or developed by UDOT personnel, consultants, or contractors.

Errors and Omissions

The Department expects engineering consultants designing transportation projects to exercise an appropriate standard of care and to provide quality services to the Department.

On occasion, errors and omissions are the result of negligence or gross negligence. Errors and omissions are normally identified during construction but could also be identified during the design and advertising phases. The discovery of an error or omission triggers information gathering on the scope of the problem, actions and responsibilities of the various parties, and the potential validity and extent of any claims that may arise. For written policy regarding errors and omissions, please refer to the UDOT Policy 08-07 (Errors and Omissions on Projects).

Invoicing

Consultants must submit a monthly invoice to the UDOT/LG PM for all contracts and WTOs for approval through the contract management system. The invoice generated will provide details as outlined in the project contract including fee type, approved staff, and direct costs. Per FAR 31.201-2(d) (Contracts With Commercial Organizations), consultants must maintain adequate records to demonstrate that

costs have been incurred and are allocable to government contracts. Consultants are required to upload supporting documentation for the invoice into the contract management system such as labor reports, direct expenses, and subconsultant expenses. The UDOT PM is responsible for the project budget and is authorized to manage the consultant and may request additional supporting documentation if needed. Once the UDOT/LG PM approves the consultant invoice submittal, it is forwarded to the UDOT Comptroller’s Office for processing. The following is general guidance for invoicing by contract fee type.

Cost Plus Fixed Fee Invoice

Should include a breakdown of actual costs including direct labor, overhead, and fixed fee amount, plus any other direct expenses or costs.

Unit Price Invoice

Should include cost only for staff and items listed in the contract, up to the negotiated rates. Staff or other direct costs that are not on the contract or contract modification at the time of service may not be invoiced.

Lump Sum Invoice

Should include percent work complete during the invoice period, Supporting documentation is not necessary for lump sum invoices.

Invoice Payments

Consultants, have several options for receipt of invoice payments. For additional information, contact the Division of Finance - Services & Information.

Consultant Performance Evaluation

In accordance with 23 CFR 172.9(d)(2) (Contracts and Administration), UDOT must monitor and provide feedback on the consultant’s work. The UDOT LG/PM prepares an evaluation on consultant’s performance for each contract. An evaluation may be performed as necessary during the contract term, to improve performance and the quality of project deliverables. A final evaluation is required at the time of final invoice approval by the UDOT/LG PM. Completed performance evaluation data will be archived for consideration as an element of past performance in future consultant selections.

The UDOT/LG PM and consultant should be proactive about initiating and scheduling the consultant project evaluations at project intervals. The UDOT/LG PM and if applicable, technical lead, will evaluate all categories (environmental services, design, construction engineering management, etc.) that align with the contract. The consultant will be provided a copy of the evaluation and may request an amendment through the UDOT/LG PM.

Contract Closure

Contract closure occurs after the final invoice is submitted by the consultant, the UDOT/LG PM completes and uploads final consultant evaluation, and the final invoice is approved and paid. Contract closure steps are as follows: Consultant submits final invoice for the contract. UDOT PM completes and uploads the final consultant project evaluation and approves the final invoice. Comptroller’s Office approves and pays the final invoice. Unexpended project dollars are unencumbered and unexpended pool dollars are released.

Contracts under $300,000 are closed in the contract management system. Contracts over $300,000 are reviewed by Internal Audit. Once the review is complete, the contract is closed in the contract management system.

Contract Audit

Per Utah Administrative Rule R907-66-7(3) (Consultant Financial Screening and Auditing) the Department Office of Internal Audit may conduct an audit to determine costs are allowable and in compliance with the requirements of 2 CFR Part 200 (Uniform Administration Requirements, Cost Principles, and Audit Requirements for Federal Awards). UDOT’s Office of Internal Audit may review any contract based on a risk assessment. A review will be performed for cost plus fixed fee and unit price contracts over $300,000. A review will consist of analyzing the negotiated overhead and/or labor rates and the direct costs established in the contract. The Office of Internal Audit conducts reviews to determine the allowability of costs incurred by the consultant, which then allows the financial closure of the contract. For any auditing questions, please see the Internal Audit website for contact information or to submit a report.

Internal Audit may request supporting documentation for all invoiced costs. Documentation may include timesheets and job costing reports for labor hours and rates, receipts and invoicing for direct costs (travel, printing, mileage, etc.). Subconsultant costs also require supporting documentation, including the contract with the subconsultant, invoices, and payment records. The Office of Internal Audit can also be requested to complete a cognizant review. This review process analyzes the workpapers created by the CPA to ensure compliance with appropriate audit standards as disclosed in the Uniform Audit & Accounting Guide published by AASHTO Committee on Internal and External Audit.

Appendix A: Legal References; UDOTs Authority to Contract

FHWA/UDOT Utah Stewardship and Oversight Agreement

2 CFR Part 200 (Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards)

Title 23 - United States Code (Highways)

Title 23 Code of Federal Regulations, Part 172 (Procurement, Management, and Administration of Engineering and Design Related Services)

40 USC Chapter 11 (Selection of Architects and Engineers)

FHWA Consultant Services Procurement, Management, and Administration of Engineering and Design Related Services - Ques tions and Answers Section VIII

Title 48 Code of Feder al Regulations (Federal Acquisition Regulations System)

Utah Code Title 63, Chapter 6a (Utah Procurement Code)

Utah Code Title 72 (T ransportation)

Utah Administrative Rule R907-66 (Procurement of Consultant Services - Procedures and Contract Administration)

UDOT Policies and Procedures

UDOT Consultant Services Contract Terms and Conditions