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In order to deliver projects, there may be occasions when additional engineering professional services and expertise are needed for a variety of reasons. EPG 134 Engineering Professional Services is a guide for soliciting, selecting and managing consultant contracts. Professional services are defined under the federal law, The Brooks Act, 40 USC 1102. Most consulting services used by MoDOT are included in the federal description of professional services, therefore MoDOT must follow the federal guidelines outlined in the Brooks Act for soliciting and selecting a consultant. All documentation related to the professional services procurement must be stored in MoProjects under the “DE Consultant Document” content type.

==134.1.1 Federal Law==
The Brooks Act, [https://www.gpo.gov/fdsys/pkg/USCODE-2012-title40/html/USCODE-2012-title40-subtitleI-chap11.htm 40 USC 1101 – 1104], [https://www.law.cornell.edu/cfr/text/23/172.3 23 CFR 172.3] (Public Law 92-582, 1972) and regulation found in [https://www.law.cornell.edu/cfr/text/23/172.5 23CFR172.5] requires agencies to “promote open competition by advertising, ranking, selecting and negotiating contracts based on demonstrated competence and qualifications for the type of engineering and design services being procured, and at a fair and reasonable price.” <u>This requirement applies to all Federal-aid Highway Program projects where engineering or design-related services are procured to develop a construction project.</u> This is commonly referred to as Qualifications Based Selection or QBS, meaning a firm is chosen based on qualifications and not price.

==134.1.2 State Law==
Commonly referred to as the “Mini-Brooks Act”, the State of Missouri, in [https://revisor.mo.gov/main/OneChapter.aspx?chapter=8 sections 8.285 thru 8.291 RsMO], requires Qualification Based Selection (QBS) for all architectural, engineering and land surveying professional services and reflects the language contained in the federal legislation. <u>This requirement applies to ALL projects in Missouri regardless if it contains federal funds or not.</u> However, federal laws supersede state laws if federal funds are used on a project.

==134.1.3 Consultant Qualification==
All <u>prime consultants</u> must be prequalified to perform engineering services on any project. To become prequalified, consultant firms must submit the following:
: 1. Statement of Qualifications (SOQ)
: 2. Registered to conduct business in the State of Missouri (Certificate of Good Standing) and hold a Certificate of Authority with the Missouri Board for Architects, Professional Engineers, Professional Land Surveyors and Professional Landscape Architects. (Note: A Certificate of Authority is not required for sole proprietorships or partnerships. It is only required if the firm is incorporated or registered as a limited liability company. For sole proprietorships and/or partnerships, individual professional license certificates must be submitted in lieu of the Certificate of Authority. In addition, the Certificate of Authority is not required for firms that do work outside the jurisdiction of the Missouri Board for Architects, Professional Engineers, Professional Land Surveyors and Professional Landscape Architects.)
: 3. Current E-Verify MOU and E-Verify Affidavit
:* E-Verify MOU – one-time submittal
:* E-Verify Affidavit - yearly
: 4. Current Annual Financial Prequalification with MoDOT
:* Step-by-step [https://www.modot.org/consultant-prequalification instruction for becoming prequalified] and a [https://www.modot.org/consultant-prequalification-list list of pre-qualified consultant firms] can be found on [https://www.modot.org/design-related-consultant-services MoDOT's Consultant Services webpage].
:* This annual financial prequalification is valid for one year.
<div id="5. MoDOT Bridge Consultants Only (Not required for LPA Consultants)"></div>
: 5. <u>MoDOT Bridge Consultants Only (Not required for LPA Consultants)</u>): All bridge plans for MoDOT projects must be signed and sealed by a professional engineer from a prequalified firm for bridge design (with the firm’s logo shown in the title block of the bridge plans). For consultants who wish to become prequalified to perform bridge design, the consultant must submit a Bridge Experience Profile and a Personal Bridge Experience Record. These forms can be found on [https://www.modot.org/bridge-information MoDOT's Consultant Resources webpage] and must be updated every 3 years. In addition, the consultant must have a QA/QC plan on file with MoDOT which must be updated every 3 years. The prime consultant is not required to be prequalified for bridge design <u>unless</u> the scope of work performed by their firm includes bridge design. For more information, please contact MoDOT's Bridge Division.

The prequalification process complies with AASHTO guidelines published in the [https://transportation.org/audit/resources/eap-subcommittee-resources/ ''Uniform Audit & Accounting Guide, 2024 Edition'']. This prequalification process ensures projects are in compliance with state and federal regulations.

The prequalification is only required for prime consultants. Subconsultants are strongly encouraged to become prequalified in order to reduce repetitive paperwork for future projects. For more information on subconsultant requirements see [[#134.3.5 Subconsultants|EPG 134.3.5 Subconsultants]].

For prequalification requirements for LPA consultants, see [[136.4 Consultant Selection and Consultant Contract Management|EPG 136.4.1.5 Consultant Qualification]].

'''Non-Profit and Governmental Indirect Cost Rate Requirements'''

In order to claim indirect costs for grant reimbursement, each such sub-recipient is required to annually submit a signed cost allocation plan for review and acceptance by MoDOT. The rate must be audited by an independent certified public accountant (CPA) firm with experience in preparing cost allocation plans for non-profit or governmental organizations in accordance with [http://www.ecfr.gov/cgi-bin/text-idx?tpl=/ecfrbrowse/Title02/2cfr200_main_02.tpl 2 Code of Federal Regulations (CFR) 200].

Compliance with 2 CFR 200 requires MoDOT to review the following documents:
# Cost allocation plan
# Organization chart
# Employee time sheet sample showing allocation of direct and indirect labor hours
# Audited schedules of indirect costs and fringe benefits
# Audited, reviewed or compiled financial statements
# Certification of indirect costs
# Listing of grants/contracts with MoDOT

==134.1.4 Conflict of Interest==
A conflict of interest occurs when a consultant has a financial or personal interest in a project.

MoDOT evaluates the following on a case-by-case basis
: 1. Whether or not a conflict of interest exists
: 2. Whether or not the conflict of interest can be avoided or neutralized
: 3. The appropriate steps to avoid or neutralize conflict of interest in evaluating the above, MoDOT uses the following in making such determinations.
:* Section 105.452 RSMo 2000 and Section 105.454 RSMo. 2005 are general conflict of interest statutes applicable to all state officials and employees including MHTC members and MoDOT employees. These statutes prohibit actual conflicts of interest including, but not limited to:
::* favorably acting or refraining from acting on any matter or using decision making authority to obtain financial gain (§105.452(1), (4) and (5) RSMo. 2000);
::* disclosing and/or using confidential information obtained in his/her official capacity in any matter with the intent to result in financial gain (§105.452(2) and (3) RSMo. 2000);
::* performing any service for an agency in which he/she is an officer or employee or has supervisory authority for payment in excess of $500 per transaction or [$1500] $5000 per year without competitive bidding (§105.454(1), (3) RSMo. 2005); and
::* selling or leasing any property to an agency in which he/she is an officer or employee or has supervisory authority over for payment in excess of $500 per transaction or [$1500] $5000 per year without competitive bidding (§105.454(2), (3) RSMo. 2005). However, this provision does not apply to property that is condemned by the agency from its officer or employee (§105.466.3 RSMo. 2005).

The Federal Highway Administration (FHWA) addresses Conflicts of Interest in relation to federally funded highway projects in general at 23 CFR §1.33. MoDOT adopts these rules for use on all federally funded contracts.

==134.1.5 Suspension/Debarment==
All consultants receiving individual awards and all subrecipients/subconsultants must certify that the organization and its principles are not suspended or debarred. MoDOT’s Professional Services Coordinator will check SAM.gov / Exclusions to identify any consultants who have become suspended or debarred and will remove said consultant from the pre-qualified consultant list. Any consultant who becomes suspended or debarred shall not perform work on any MoDOT or LPA project.

==134.1.6 Frequently Asked Questions==
A list of FAQs regarding consultant issues can be found on [http://www.fhwa.dot.gov/programadmin/172qa.cfm FHWA’s website].

==134.1.7 Workforce Diversity==
Diversity includes all the characteristics and experiences that define each individual. Diversity includes a wide range of individual characteristics such as age, religion, gender, race, ethnicity, disability and sexual orientation. Diversity can also include such things as communication style, work style, economic status and geographic origin. MoDOT supports and encourages diversity within the transportation industry. MoDOT’s desire is for the diversity of its consultants and contractors to reflect the diversity of the citizens of Missouri.

MoDOT’s engineering consultant solicitations require the consultant to describe their company’s approach to promoting and developing a diverse workforce. This category within the solicitation is a pass/fail category. An example of promoting and developing diversity is being involved with local secondary and higher education facilities to educate individuals in the field of engineering. Developing a cooperative/training program targeting the wide range of individual characteristics as listed above would be another example how firms are embracing workforce diversity. Continual efforts of encouraging a wide range of diverse individuals to the field of engineering will in turn develop a more diverse workforce.

Workforce diversity within the consulting firm as a whole can sometimes vary drastically from the diversity within the project team producing the work. Assembling diverse project teams is a way to support workforce diversity. Engineering consulting firms will be required to report on the '''project team’s''' diversity in the workforce diversity verification section of the template invoice, [[media:134_5_1_1_2021.xlsx|Fig. 134.5.1.1, Blank Consultant Invoice]]. See [[#134.5.1.1 Workforce Diversity Verification|EPG 134.5.1.1]] for workforce diversity reporting requirements.

Workforce diversity differs from Disadvantaged Business Enterprise (DBE). DBE focuses on firms owned and operated by socially and economically disadvantaged individuals. For more information on DBE, visit [https://www.modot.org/welcome-external-civil-rights MoDOT’s Business Development and Compliance webpage].

[[Category:134 Engineering Professional Services|01]]

134.1 Introduction - Revision history

Hoskir: moved 134.1 to its own page