Consultant Services Conflict of Interest
Conflict of Interest Guidance and Forms
Per 23 CFR 1.33 (Conflicts of Interest), No person performing services for the Department/Local Government (LG) in connection with a project shall have, directly or indirectly, a 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 Utah Department of Transportation (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 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. Individuals must also certify they will maintain confidentiality.
UDOT Conflict of Interest Committee
UDOT’s Project Development Division has created a Conflict of Interest Committee to review and address potential conflict of interest 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 Conflict of Interest Committee to address.
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, consultants in these roles must 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, the 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.
Construction Engineering and Design by Same Consultant Conflict of Interest
In specific circumstances, the Department may retain consultants to perform both design and construction engineering management (CEM) on the same project. There is a potential conflict 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.
Department project management teams must consider and evaluate possible conflicts of interest when a potential CEM consultant performed design services for the same project.
For any project where a firm is being considered for CEM services (as a Prime or Subconsultant) and has performed any prior design work on that project, a Design & CEM (same firm) Approval Form must be submitted and approved by the Director of Project Development (or designee) before the selection can be finalized.
| Selection Method | Responsible Party | Specific Instructions |
|---|---|---|
| Solicitations | Consultant | Consultants interested in pursuing CEM services who performed any design on the project must submit the Design & CEM (same firm) Approval Form prior to submitting their proposal. The form must outline the specific design role(s) performed, an explanation of the benefits of retaining the firm for CEM, and a detailed conflict mitigation plan. |
| RPLOQs | UDOT PM | If a UDOT Project Manager intends to invite a consultant for CEM who performed design on the same project, the UDOT Project Manager is responsible for submitting the Design & CEM (same firm) Approval Form. The UDOT PM must seek approval from the Director of Project Development (or designee) prior to sending the RPLOQ invitation to consultants to determine if the consultant may be invited to submit a proposal for the RPLOQ. |
| Small Purchase | UDOT PM | If a UDOT PM intends to select a consultant for CEM (specifically via Small Purchase) who performed design on the same project, the UDOT Project Manager is responsible for submitting the Design & CEM (same firm) Approval Form. The UDOT PM must seek approval from the Director of Project Development (or designee) to determine if the selection may proceed. |
| Local Government | UDOT PM | If a Local Government intends to select a consultant for CEM (specifically via Small Purchase) who performed design on the same project, the UDOT Project Manager is responsible for submitting the Design & CEM (same firm) Approval Form. The UDOT PM must seek approval from the Director of Project Development (or designee) to determine if the selection may proceed. |
Environmental Conflict of Interest
If a consultant is selected to prepare an Environmental Impact Statement (EIS) for a project, the consultant team must affirm that they have no 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.
Alternative Delivery Division Conflict of Interest
The UDOT Conflict of Interest Committee will review any potential conflict of interest in Alternative Delivery projects. Specific details regarding individual and organizational conflict for teams are outlined by UDOT’s Alternative Delivery Division in each project’s Solicitation, Request For Qualifications (RFQ), Request for Proposal (RFP). For program management services, if eligible subconsultants to the prime consultant choose to pursue participation on a proposing team, they and the program manager consultant, will be required to submit a mitigation plan to UDOT and receive UDOT approval of that plan.
Structural Review Assistance Conflict of Interest
When UDOT retains consultants to perform review services for the UDOT Structures Division, consultants in these roles must 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, the other consultants they manage, and the project(s). All potential conflicts of interest must be disclosed to the UDOT Project Manager. In cases of potential conflicts of interest, the UDOT Project Manager and the consultant will work together to determine how to best mitigate the conflict.
UDOT Conflict of Interest Committee
UDOT Conflict of Interest Committee
Forms
COI Certification Forms
- Acting on Behalf of UDOT Conflict of Interest & Confidentiality Certification
- Conflict of Interest & Confidentiality Certification
- Environmental Prime Consultant Conflict of Interest Disclosure Statement
- Environmental Sub-Consultant Conflict of Interest Disclosure Statement
- Structural Review Assistance Conflict of Interest Disclosure Statement
- Geotechnical Review Assistance Conflict of Interest Disclosure Statement