UDOT Consultant Services Manual of Instruction 2020

CONSULTANT SERVICES MANUAL OF INSTRUCTION Edition 2020

Table of Contents Section 1: Forward............................................ 01 Section 2: UDOT’s Authority to Contract.......02 Authority to Contract......................................... 02

Section 3: Doing Business With UDOT...........03 UDOT Partnerships and Resources.................... 03 Internal Partners................................................ 03 External Partners................................................ 03

Section 4: Consultant Selection...................... 05

Qualified Consultant Pools................................ 07 Pool Selection Types.......................................... 07 Solicitations........................................................ 08 Other Selection Methods................................... 09

Internal Partners.............................................. 11

Steps Prior to Selection...................................... 11 Qualified Consultant Pools................................ 12 Solicitations........................................................ 13 Federal Aid for Project Management................ 14

External Partners............................................. 15

General Information: New Consultants Working with UDOT Consultant Services..........15 Qualified Consultant Pools................................ 16 Solicitations........................................................ 17 Consultant Financial Screening Requirement...17

Section 5: Financial Screening and Insurance............................................................ 18

Financial Screening............................................ 18 Insurance............................................................ 19

Section 6: Contracting...................................... 20 Contract Management System.......................... 20 Contract Types.................................................... 20 Contract Fee Types............................................. 21 Federal-Aid Agreement...................................... 22 Contract Negotiation.......................................... 22 Contract Preparation.......................................... 22 Notice to Proceed (NTP)..................................... 24 Contract Modifications...................................... 24 Conflict of Interest (COI).................................... 25

Section 7: Contract Administration and Monitoring......................................................... 27

Use of Consultant and/or Corporate Logos.......27 DTS Requirements.............................................. 27 Errors and Omissions......................................... 28 Invoicing ............................................................ 28 Consultant Performance Evaluation.................. 29 Contract Closure................................................. 30 Contract Audit ................................................... 30

Appendix A: Legal References; UDOTs Authority to Contract....................................... 31

Acronyms Below is a list of frequently used acronyms related to Consultant Services. A comprehensive list of acronyms is provided in the UDOT Acronym and Terminology List.

AASHTO

American Association of State Highway and Transportation Officials

LG

Local Government

LGA

Local Government Agency

ACEC

American Council of Engineering Companies

LGPM

Local Government Project Manager

CEM

Construction Engineering Management

LOI

Letters of Interest

MOI

Manual of Instruction

CFR

Code of Federal Regulations

NTP

Notice to Proceed

CMGC

Construction Management/ General Contractor

PM

Project Manager

CMS

Contract Management System

QBS

Qualifications Based Selection

CPFF

Cost Plus Fixed Fee

QC/QA

Quality Control/Quality Assurance

COI

Conflict of Interest

R709

Authorization of Funding Request

CS

Consultant Services

RCF

DB

Design Build

Requalification Certification Form

DBE

Disadvantaged Business Enterprise

RFP

Request for Proposal

RFQ

Request for Qualifications

DTS

Department of Technology Services

RLOI

Request for Letter of Interest

EA

Environmental Assessment

RPLOQ

Request for Pool Letter of Qualification

EIS

Environmental Impact Statement

ROW

Right of Way

FAA

Federal-aid Agreement

SOW

Scope of Work

FAR

Federal Acquisition Regulations

STIP

Statewide Transportation Improvement Program

FHWA

Federal Highway Administration

UP

Unit Price

ICE

Independent Cost Estimate

UDOT

ITS

Intelligent Transportation Systems

Utah Department of Transportation

WBE

Woman in Business Enterprise

01 Section 1: Forward The Consultant Services Division has developed this Manual of Instruction as information and guidance related to the engineering and professional services contracting process. Our goal is to provide relevant information to Utah Department of Transportation (UDOT) staff, Local Government (LG) agencies, and consultant firms interested in contracting with UDOT on transportation related programs and projects. The policies and procedures outlined within this manual are required by, and have been developed to ensure compliance with state and federal laws, regulations, and rules.

Narrative and content within this manual is formatted into categories identifying sections that may be relevant to the reader, as follows:

General Audience

Unhighlighted text is primarily intended as an overview of the UDOT processes and procedures for which Consultant Services is responsible. This includes information related to the procurement and administration of engineering and professional services for UDOT programs and projects.

Internal Partners

Orange shaded text is primarily intended for employees and divisions within UDOT, and Utah Local Government Agencies that are responsible for management of UDOT’s programs and projects which may require contracting with consultants.

External Partners

Blue shaded text is primarily intended for consultants and contractors that provide engineering, and professional services for UDOT programs and projects.

While highlighted text will help readers navigate the information most relevant to them, readers are strongly encouraged to read through the entire topic as necessary in order to understand the full context.

By clicking on the links throughout this manual, readers will be directed to the related internal content or additional external resources.

Consultant Services Manual of Instruction (MOI)

02 Section 2: UDOT’s Authority to Contract FE

T

RAL DE STATE

The UDOT Consultant Services Division (Consultant Services) is responsible for the procurement and administration of design and professional services necessary for UDOT programs and projects. Consultant Services procures services under the authority and guidance of federal and state laws, regulations, and rules.

UDO

Authority to Contract

40 U.S. Code 1101‐1104 (Selection of Architects and Engineers): Commonly referred to as the Brooks Act, requires the procurement of architectural and engineering services on the basis of demonstrated competence and qualification for the type of professional services required. This is also known as a Qualifications Based Selection (QBS).

In compliance with QBS, UDOT considers consultant proposals and ranks them based upon which consultant is most qualified for performance of the project. UDOT will then enter into negotiation with the first ranked consultant. If UDOT is unable to negotiate a satisfactory contract with the first ranked consultant, negotiations will begin with the next most qualified consultant.

Title 23, Code of Federal Regulations Part 172 (Procurement, Management, and Administration of Engineering and Design Related Services): Code requires UDOT to prepare and maintain written policies and procedures for the procurement, management, and administration of engineering and design-related services for contracts using federal-aid funds.

Utah Code Title 72, Chapter 2, Part 2, Section 206 (Department Authority to Contract): Outlines UDOT’s authority to contract with entities concerning the planning, construction, lease, or other acquisition, installation, or financing of transportation projects.

Utah Administrative Rule R907‐66 (Procurement of Consultant Services): Establishes UDOT procedures for procuring services of design, engineering, engineering‐related services, and other professional services (all referred to as consultants) and administering the attendant contracts using federal-aid highway program funding or Utah State funding.

This Rule defines “Consultant” as an expert that UDOT contracts with to perform professional services necessary to the planning, progress, and completion o f any d esign, engineering, and engineering related service. It also defines “Other Professional Services” such as grant writing, asset management, transportation research, prototype development, technology transfer, project‐related public involvement, right of way acquisition services, a nd any o ther service deemed necessary by the Director.

Title 23, United States Code, Section 106(h) (Project approval and oversight): If federal funds are used for major projects, the UDOT/FHWA Stewardship Oversight Agreement assists in identifying and determining if the project is a “major project.” FHWA must approve any contract, revision of a contract, or settlement of a contract for design services expected to exceed the amount specifically defined in 23 U.S.C. 106(h)(1).

For more information regarding the applicable laws, regulations, and rules governing Consultant Services processes see Appendix A (Legal References).

Consultant Services Manual of Instruction (MOI)

03 Section 3: Doing Business With UDOT UDOT Partnerships and Resources UDOT relies on contractors and consultants to help improve transportation throughout Utah. UDOT delivers successful transportation projects in large part due to successful contract partnerships with qualified experts throughout Utah. Some of these partners are outlined below.

Internal Partners

Internal partners are the various areas within UDOT that manage delivery of UDOT’s programs and projects. These internal partners may use consultants to deliver UDOT programs and projects.

Some of those internal partners are listed below.

Project Development Operations Technology & Innovation UDOT Regions Program Development Procurement Services Office of Internal Audit Comptroller’s Office

External Partners

External partners have roles in delivering projects and supporting UDOT’s programs, either in an oversight role such as FHWA, as partners in planning and programming in the urban areas, or as contractors or consultants providing contracted services. Some of those external partners are listed below.

Consultants and Contractors Federal Highway Administration (FHWA) Local Government Agencies (LG) Federal Transit Authority (FTA) American Council of Engineering Companies (ACEC) Association of General Contractors (AGC) Metropolitan Planning Organization (MPO) Cache Metropolitan Planning Organization (CMPO) Dixie Metropolitan Planning Organization (DMPO) Mountainland Association of Governments (MAG) Wasatch Front Regional Council (WFRC)

Consultant Services Manual of Instruction (MOI)

04 UDOT has developed a few resources to help our external partners anticipate and prepare for upcoming UDOT projects: UDOT’s Statewide Transportation Improvement Program (STIP) is a six-year plan of highway and transit projects for the State of Utah. The STIP is maintained daily and includes transportation projects on the state, city, and county highway systems as well as projects in the national parks, national forests, and Indian reservations. External partners can access this plan via the above link to gain a broader understanding of UDOT’s funding timelines and upcoming projects.

UDOT’s Consultant Marketing Report contains current information regarding ongoing projects, including current project status, UDOT project managers (PMs) assigned, locations, and project values. This information is more detailed than the STIP and provides more in-depth information on UDOT’s current projects. External partners can use this information to anticipate upcoming solicitations and to estimate workloads, and project costs.

Consultant Services Manual of Instruction (MOI)

05 Section 4: Consultant Selection Engineering and professional services are obtained through competitive or non� competitive procurement processes as required by federal and state laws, regulations, and rules. The competitive procurement process requires that a QBS be performed by UDOT / Local Government (LG). QBS methods make up the majority of consultant selections for UDOT. The non�competitive procurement process may be used when specific conditions exist allowing selection and negotiation to take place with a single consultant (e.g. emergency selection, sole source).

UDOT uses three primary selection methods to contract with a consultant for most services: Small Purchase Pools, Requests for Pool Letter of Qualifications (RPLOQs), and Solicitations.

Small Purchase Pools

Requests for Pool Letter of Qualification (RPLOQs)

Solicitations

The chart found on the following page provides an overview of the process for each of these methods.

Consultant Services Manual of Instruction (MOI)

06 UDOT / LG Project Manager (PM) Determines Need for Consultant(s) Development of Qualified Consultant Pool UDOT Develops Pool Requirements and Advertises

Consultants Respond

UDOT Evaluates and Publishes Qualified Consultant Pool

UDOT / LG PM Develops SOW / ICE

UDOT / LG PM Develops SOW / ICE

Small Purchase Pools (GE, ROW, Structural Design & Management)

RPLOQs (GE, ROW)

Solicitations

Simple and Small Projects

Intermediate and Mid-Sized Projects that Exceed Small Purchase Cap

**Large and / or Complex Projects

$0 to $200,000 ICE ($250,000 Contract Cap)

$200,000 - $600,000 ICE

Recommend RPLOQ if ICE over $200,000

($750,000 Contract Cap)

ICE Above $600,000

Recommend Solicitation if ICE over $600,000

(No Contract Cap)

UDOT Evaluates and Selects from Qualified Consultant Pool

UDOT Develops RPLOQ Requirements, Shortlists, and Invites Specific Consultants from the Pool to Respond

UDOT Develops Solicitation Requirements and Advertises (RLOI, RFQ)

Consultant Accepts Selection

Consultants Respond to RPLOQ Invitation

UDOT / LG PM and Consultant Negotiate Contract Scope, Schedule, Budget

UDOT Evaluates and Selects a Consultant

UDOT Compiles Contract and Routes for Signature Contract NTP

UDOT / LG PM and Consultant Negotiate Contract Scope, Schedule, Budget UDOT Compiles Contract and Routes for Signature Contract NTP

Consultants Respond to Advertisement UDOT Evaluates (Interviews if needed) and Selects a Consultant UDOT / LG PM and Consultant Negotiate Contract Scope, Schedule, Budget UDOT Compiles Contract and Routes for Signature Contract NTP

* Acronyms on this graphic are defined in the list of acronyms at the beginning of this document. ** Refer to page 9 for additional conditions to determine if a solicitation is warranted.

Consultant Services Manual of Instruction (MOI)

07 Qualified Consultant Pools

UDOT develops various pools of qualified consultants and contractors which is intended to streamline the QBS process for UDOT and LG PMs. UDOT advertises a Solicitation for Each Pool. All consultants or contractors interested in being qualified are invited to submit a proposal in specific areas which UDOT calls work disciplines.

In general, the qualified consultant pool periods are in place for three to five years. Consultant cumulative pool dollar caps are established by UDOT for each pool period. Details on the cumulative pool and contract limits can be found in the Consultant Selection Matrix. It is the responsibility of all parties (UDOT, consultants, and LGs) to ensure consultant pool dollars are available and that the contract will stay within the selection method’s procurement limits.

General Engineering (GE) Services Pool

The General Engineering Services Pool is a list of prequalified consultants in specific work disciplines. UDOT and LGs may consider consultants in the General Engineering Services Pool for design and engineering-related service contracts.

Structural Design and Management Support Services Pool

The Structural Design and Management Support Services Pool is a list of prequalified consultants for the augmentation of UDOT Structures Division design staff for structural design and management support services contracts.

Right of Way Acquisition Services Pool

The Right-of-Way Acquisition Services Pool is a list of prequalified consultants for right-of-way acquisition and acquisition-related service contracts.

UDOT Contractor Structural and Geotechnical Repairs Pool

The UDOT Contractor Structural And Geotechnical Repairs Pool is a list of prequalified contractors for bridge collisions, emergency repairs to structures, and geotechnical repairs. Contractors will be selected from the pool by the UDOT Structures Division based on project-specific bids. Services may range from a phase of needed work to the entire project. While the pool solicitation will be advertised through Consultant Services, specific contracts written from the pool will be processed through UDOT Construction. The selection method will be determined on a project-by-project basis dependent on the emergency status and level of risk of each situation.

Pool Selection Types Small Purchase

After determining that a consultant is needed, UDOT or the LG may consider selecting a consultant from one of the qualified consultant pools if the total contract value will not exceed the small purchase contract cap. The small purchase contract cap is based upon the simplified acquisition threshold established by 48 CFR 2.101 (Definitions). The small purchase limit applies to the cumulative amount of all small purchase contracts and work task orders per consultant per project phase.

Consultant Services Manual of Instruction (MOI)

08 To request a small purchase contract, the UDOT/LG PM must: 1 2 3

Identify and review a minimum of three consultant proposals from the qualified consultant pool in the work discipline that corresponds with the project scope.

Select the most qualified of those three consultants for their project based upon demonstrated qualifications provided in the consultants’ pool proposals.

Notify the consultant and begin contract negotiations.

Note: If the UDOT/LG PM anticipates the contract amount will exceed the small purchase cap, an alternate selection method must be used.

Request for Pool Letter of Qualifications (RPLOQ)

After determining that a consultant is needed, UDOT or the LG may consider selecting a consultant from one of the qualified consultant pools using the RPLOQ Consultant Selection Process if the total contract value will not exceed the RPLOQ contract cap.

Solicitations

A solicitation is the document used by UDOT to obtain consultants’ proposals. The conditions outlined below may warrant the advertisement of a solicitation to procure services.

The contract may exceed the RPLOQ contract cap amount.

A broader audience of proposers is desired.

The scope of work (SOW) warrants this selection method.

*The project is an environmental assessment (EA) or environmental impact statement (EIS).

The services are not available through a qualified consultant pool.

*Note: a solicitation must be issued for all EA and EIS projects.

Solicitation Types – Standard, Streamlined, and Request for Letter of Interest (RLOI) UDOT has three types of solicitations: standard, streamlined, and request for letter of interest (RLOI). Each of the solicitation types allows the UDOT/LG PM to select a consultant based on the needs of the project. Project scope and needs should be clearly assessed so that the appropriate type of solicitation can be used. Consultant Services will assist the UDOT/LG PM in determining the appropriate solicitation type, working with the selection team in developing the SOW, selection criteria, criteria weighting, and advertisement. Consultant Services will also assist with interviews (if interviews are necessary), selection, debriefing, contract negotiations, and financial screening of the consultant. The solicitation process may take up to three months to complete (from contract request to contract Notice to Proceed [NTP]).

Consultant Services Manual of Instruction (MOI)

09 Standard Solicitation

Consultants prepare a proposal which addresses specific project and format requirements.

The selection team scores the proposals and selects the most-qualified proposal.

The selection team may interview consultants based on the process outlined in the solicitation.

Streamlined Solicitation

Consultants prepare a proposal which addresses specific project and format requirements.

The selection team scores the proposals and selects the most-qualified proposal.

The selection team will conduct consultant interviews only in the case of a direct tie in scores for the first ranking.

Request for Letter of Interest (RLOI) Consultants address key components of their team and the project in a letter format.

The selection team reviews the letters, shortlists the firms based on predetermined criteria, and interviews the shortlisted consultant teams.

The interview format is determined in the scoping meeting prior to advertisement. Interviews are scored by consent of the selection team and the most-qualified firm is selected.

Other Selection Methods

UDOT may use other selection methods as determined by the Department. Noncompetitive procurement may be used (1) if a service is only available from a single source; (2) if there is an emergency which will not allow time for competitive procurement; or (3) if after receiving proposals from several sources, the competition is determined to be inadequate or impractical to re-compete under a new solicitation, per 23 CFR 172.7 (Procurement methods and procedures).

Emergency Selection

UDOT reserves the right to contract with consultants during emergency events when serious and immediate need for services cannot be met through normal Consultant Services procurement avenues. Pursuant to 23 CFR 172.7 (Procurement methods and procedures) and Utah Code §63G6a-803 (Emergency procurement) and in accordance with UDOT Policy 02A-01 (Procurement) the UDOT Procurement Division may authorize an emergency procurement. Employees will contact the Procurement Division as soon as possible, and the Procurement Division will review and authorize the emergency procurement. The Procurement Division’s authorization may occur after the emergency procurement has occurred.

In an emergency, only those supplies, services, or construction items necessary to respond to the emergency may be acquired without the execution of a state contract. Once the emergency is

Consultant Services Manual of Instruction (MOI)

10 ended and emergency repairs have been made, the situation will be evaluated and the contracting method determined for continuing remaining work.

Innovative Contracting

Consultant Services may support the UDOT Construction Group in their efforts to procure designers and/or contractors for innovative contracting projects. Some of those innovative contracting methods are design‐build (DB), construction manager/general contractor (CM/GC), and progressive design‐build (PDB), which are briefly discussed below. For additional detail, see the Innovative Contracting website.

Design-Build (DB) UDOT may seek to procure the services of a design-builder who will design and build a project based upon advertised concept p lans. T his effort involves a customized procurement process that may include an RLOI, RFQ, or Request for Proposals (RFP). Details will be outlined in the procurement documents customized for each project. Consultant Services may support this process, but the resulting DB contract is administered by UDOT’s Construction Division.

Construction Manager/General Contractor (CM/GC) UDOT may seek to procure the services of a CM/GC who will provide input to UDOT and their design consultant during the pre‐construction p hase o f a project. T he i nitial contract wi ll be administered by Consultant Services. The CM/GC selected to provide these services will be given the first opportunity to provide a bid to construct the project. If a price is agreed upon, the CM/ GC may enter into a construction contract with UDOT to construct the project. This effort involves a customized procurement process that may include an RLOI or RFP. Details will be outlined in the procurement documents customized for each project.

Progressive Design-Build (PDB) UDOT may seek to procure the services of a progressive design‐builder (PDB) who will provide design and other pre‐construction activities for a project under UDOT’s direction. The initial contract will be administered by Consultant Services. The PDB selected to provide these services will be given the first opportunity to provide a bid to construct the project. If a price is agreed upon, the PDB may enter into a separate construction contract with UDOT to construct the project. This effort involves a customized procurement process that may include an RLOI or RFP. Details will be outlined in the procurement documents customized for each project.

Consultant Services Manual of Instruction (MOI)

11 Internal Partners Steps Prior to Selection

Before selecting a consultant, UDOT PMs are required to develop a SOW and an independent cost estimate (ICE), which will assist in determining the selection method and level of effort required.

SOW Development

The UDOT PM collaborates with regional and technical experts to develop the project SOW. For LG projects, the UDOT PM assists the LG PM to clarify and define their needed services. Instructions on how to develop a SOW can be found in the Consultant Services Project Manager Training.

ICE Development

Pursuant to 23 CFR § 172.7 (Procurement Methods and Procedures), the PM must develop an ICE. The independent estimate documents due diligence on behalf of UDOT in establishing a fair estimated value for services and will serve as the basis for negotiations with the consultant. A logical and reasonable independent estimate is necessary to maintain confidence and trust in UDOT’s contracting process. Instructions on how to develop an ICE can be found in the Consultant Services Project Manager Training.

Consultant Cost/Fees in Proposals

UDOT/LG PMs need to be mindful of discussion related to consultant costs or fees prior to selection. Discussion of consultant costs and fees are restricted from inclusion in proposals and cannot be considered as a factor in selection. The UDOT/LG PM should coordinate with the Consultant Services manager for additional guidance when consultant costs or fee are included in a proposal.

Communication with Consultants During Active Procurements

UDOT/LG PMs need to be aware of the communication procedures specific to each selection type outlined in the solicitation documents. Pursuant to Utah Code §63G6a-1503 (Evaluation committee for design professional services) the UDOT/LG PM and the selection team members are restricted from communicating with consultants regarding the project during active procurements up until a consultant has been selected. The UDOT/LG PM should coordinate with the Consultant Services contract administrator for specific guidance related to communication restrictions for each selection they are managing.

Consultant Services Manual of Instruction (MOI)

12 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. PMs may use the small purchase contract process or RPLOQ process to select a consultant from the qualified consultant pools.

Small Purchase Contract Process

UDOT PMs and LG PMs may consider and select consultants from the qualified consultant pools for contracts up to the state and federal small purchase cap. Consultant Services has established thresholds which result in a contingency reserve for potential contract modifications. UDOT/ LG PMs should follow the thresholds outlined in the Consultant Selection Matrix document as contracts will not be modified above the cap.

Below is an overview of the process for a UDOT/LG PM to procure services from a consultant using the small purchase method. This method takes approximately four weeks from contract request to NTP. 1

The PM determines a need to hire a consultant.

2

The PM considers at least three consultants listed as qualified under the work discipline most closely related to the SOW and reviews the applicable pool proposals to determine the most qualified firm for the project needs. Consultants may be contacted to confirm availability to perform the work.

The PM will confirm the selected consultant has pool dollar availability through the Consultant Services contract management system or by contacting Consultant Services prior to contacting the consultant. All contract and modification costs (including subconsultant costs) will count towards the prime consultant’s cumulative pool cap.

Details can be found in the Consultant Selection Matrix document.

The PM should ensure the prime consultant meets the prime percentage requirement of work, as outlined in the appropriate pool solicitation. A request for variation of the prime percentage requirement must be communicated through Consultant Services prior to contracting for adjustment to the Standard Terms and Conditions.

3

4

Request for Pool Letter of Qualifications (RPLOQ) Contract Process

The RPLOQ Consultant Selection Process outlines the steps a UDOT/LG PM takes to procure services from a consultant using the RPLOQ method. The process takes approximately six weeks from contract request to NTP. Below is a general outline of the process involved. Additional details are found in the RPLOQ Form and RPLOQ Format Instructions.

1

The PM determines a need to hire a consultant.

2

The PM identifies a Selection Team of at least 3.

3

The PM shortlists 3-5 consultants from the qualified consultant pool.

4

The PM invites consultants to submit proposals.

Consultant Services Manual of Instruction (MOI)

13 5

Consultants may submit a proposal or decline to participate.

6

The selection team ranks the consultant proposals.

7

The PM submits documentation to the Consultant Services Manager for approval.

8

After receiving approval of the selection documentation from Consultant Services, the PM notifies responsive consultants of the selection.

9

The PM enters negotiations.

Solicitations

Solicitations (Standard/Streamlined/RLOI)

Below is an overview of the process and the steps a UDOT PM and LG PM, if applicable, would take to procure services from a consultant using the solicitation method. This method takes approximately three months from contract request to NTP. 1

The PM determines a need to hire a consultant.

2

The PM submits an electronic request for a solicitation to Consultant Services. Instructions on how to submit a request for solicitation can be found in the Consultant Services Project Manager Training.

The PM submits an email to Consultant Services with the information contained in the Solicitation Checklist.

The ICE submitted to Consultant Services and UDOT’s Program Finance Division (through the contract management system) will serve as the initial request for authorization of funding (R-709). Consultant Services assists PMs in obtaining this approval from the Program Finance Division, verifying funding is available and approved.

The PM should be familiar with potential conflicts of interest for those firms they hire for certain types of work, such as: construction engineering management (CEM), DB program management, environmental, and roles where the consultant may be acting on behalf of UDOT. Further details are outlined in the Conflict of Interest (COI) section of this manual.

3 4

5

Additional Roles and Responsibilities for the Solicitation Process Consultant Services will:

Assist the PM in identifying selection team members, facilitating a scoping meeting, advertising the solicitation, facilitating selection team meetings, and conducting interviews.

Determine whether consultants have met the minimum requirements of the solicitation and disqualifies or applies penalties as outlined in the solicitation before forwarding proposals to the selection team for ranking/scoring.

Provide the selection team members with all required documentation, including a copy of the solicitation, the responsive proposals, and scoring instructions to all voting members.

Assist the PM in beginning negotiations, and preparing a contract.

Consultant Services Manual of Instruction (MOI)

14 After the selection team members have completed their review, Consultant Services will average the scores and combine the comments given by each selection team member on each proposal, then rank the consultants based on the averages from highest to lowest.

Selection team members will: Review the solicitation before evaluating proposals.

Evaluate and score each proposal independently, based on the criteria in the solicitation, and guidance from Consultant Services.

Provide specific comments on each consultant’s proposal.

Submit scores and comments to Consultant Services by the due date.

If UDOT receives less than the prescribed minimum of the three responsive proposals, Consultant Services will determine whether to pursue a waiver to proceed with the consultant selection under the current solicitation based on the following: If only one responsive proposal is received, in most cases the current selection process will be canceled and the solicitation for the project may be re-advertised. In rare circumstances, Consultant Services may determine it is appropriate to pursue a waiver to continue the selection process.

If two responsive proposals are received, Consultant Services will consider the following when determining whether to pursue a waiver: Adequate project advertisement Advertisement timeframe Competition limitations Consultant teaming that potentially reduced the number of proposals submitted If Consultant Services determines a waiver is warranted, approval is required from the Director of Preconstruction or designee prior to proceeding with the consultant selection process.

Federal Aid for Project Management

Per 23 CFR 172.5 (Program Management and Oversight), prior to procuring a consultant to act in a management support role on a federal project, UDOT shall obtain approval from FHWA. Management support roles may include, but are not limited to, providing oversight of an element of a highway program, function, or service on behalf of the contracting agency or may involve managing or providing oversight of a project, series of projects, or the work of other consultants and contractors on behalf of the contracting agency. UDOT will consult with FHWA to determine if a project scope meets the definition of a consultant in a management support role.

FHWA will be offered the opportunity to serve as a non-voting member of project-specific solicitations for management role contracts to observe the selection process.

Consultant Services Manual of Instruction (MOI)

15 External Partners General Information: New Consultants Working with UDOT Consultant Services Qualifying for Consultant Pools

Consultants who want to be listed on one of the qualified consultant pools will need to submit a proposal(s) for each work discipline for which their firm provides services.

The solicitations and requirements for each of the respective pools can be found on the Consultant Qualified Pool Advertisements web page. Each of the pool solicitations detail what is required to be in the proposal(s) from interested firms. The solicitations also outline the selection criteria and scoring/evaluation details.

A submission schedule is available for the respective Pool Proposal Deadlines. Some pools allow for an interim submittal for Consultants to become qualified during certain points through the pool period.

Access to a Google Drive folder that contains all of the currently qualified proposals for each pool can be made available upon request to Consultant Services.

Consultants interested in submitting proposal(s) for one or more work disciplines listed in the General Engineering Services Pool or Right of Way Acquisition Services Pool, must submit their proposals by the deadline outlined in the pool solicitation. Late proposals will not be evaluated until after the next proposal submission deadline. The pools are generally re-advertised every 3 years and all consultants are required to resubmit to be listed on the pools.

Project-specific Solicitations

All project-specific solicitations (outside of the pools) for which consultants may submit a proposal are advertised on the web page Project Solicitations and Forms. Each solicitation details the proposal requirements and also outlines the selection criteria and scoring/evaluation details for interested firms.

Consultants may team with other Consultant firms to propose on project-specific solicitations.

A Consultant Selection Report is available which lists the firms UDOT has selected for various contracts over the past 12 months.

Statewide Transportation Improvement Program (STIP)

The STIP is a six-year plan of highway and transit projects for the State of Utah. External partners can access this plan via Statewide Transportation Improvement Program (STIP) to gain a broader understanding of UDOT’s funding timelines and upcoming projects.

Sign up for Email Notifications

Consultants are encouraged to sign up to receive emails regarding advertised solicitations and other Consultant Services communication by subscribing to the Consultant Services Department Email Notification List.

Consultant Services Manual of Instruction (MOI)

16 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

Consultant Services Manual of Instruction (MOI)

17 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 ยง63G-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 Section 5 Financial Screening . If a selected consultant is not financially screened and approved within two weeks of the selection date, the consultant may be disqualified.

Consultant Services Manual of Instruction (MOI)

18 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 Consultant Services Financial Screening website.

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

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

Recommend adjustments to presented rate(s) in order to accept compliant rate(s), or

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

Consultant Services Manual of Instruction (MOI)

19 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

Unmanned Aircraft

Commercial Auto Liability

High Risk Blasting

Commercial Professional Liability

Health Insurance

Worker’s Compensation and Employer’s Liability Insurance

Umbrella and/or Excess insurance

Valuable Papers Watercraft and Aircraft Liability

Data Integrity Insurance Product 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.

Consultant Services Manual of Instruction (MOI)

20 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.

Consultant Services Manual of Instruction (MOI)

21 On-call contracts have the following requirements: 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.

Unit Price Fee Type

Duration Maximum Amount per Contract

The maximum contract amount is $250,000 for the base contract including all modifications.

Maximum Amount per Project

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.

Local Government Projects

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)

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).

UNIT PRICE (UP)

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.

LUMP SUM (LS)

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.

Consultant Services Manual of Instruction (MOI)

22 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 secondranked 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 secondranked 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:

Consultant Services Manual of Instruction (MOI)

23 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.

Consultant Services Manual of Instruction (MOI)

24 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

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.

2

Any disputes occurring during the early NTP phase will be handled pursuant to general UDOT terms and conditions and the executed contract.

3

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

4

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.

Consultant Services Manual of Instruction (MOI)

25 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. Consultant Services Manual of Instruction (MOI)

26 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.

Consultant Services Manual of Instruction (MOI)

27 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.

Consultant Services Manual of Instruction (MOI)

28 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

Consultant Services Manual of Instruction (MOI)

29 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

$

$

Unit Price Invoice Should include cost only for staff and items listed in the contract, up to the negotiated rates.

Should include a breakdown of actual costs including direct labor, overhead, and fixed fee Staff or other direct costs that amount, plus any other direct are not on the contract or expenses or costs. 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.

Consultant Services Manual of Instruction (MOI)

30 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.

Consultant Services Manual of Instruction (MOI)

31 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 - Questions and Answers Section VIII

•

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

•

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

•

Utah Code Title 72 (Transportation)

•

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

•

UDOT Policies and Procedures

•

UDOT Consultant Services Contract Terms and Conditions

Consultant Services Manual of Instruction (MOI)