CONTRACT_NO._2026-033_ - PC 2458 -TT0372_NORTHERN_103RD_AVE_TO_91ST_SIGNATURES REQUIRED.PDF

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FEDERAL
CONSULTANT SERVICES CONTRACT
BETWEEN
MARICOPA COUNTY DEPARTMENT OF TRANSPORTATION
AND
CONSULTANT ENGINEERING, INC.
FOR
TT0372
NORTHERN PARKWAY – 103RD AVENUE TO 91ST AVENUE, PHASE 1
CONTRACT NO. 2026-033
ADOT PROJECT NO. SZ09101C
FEDERAL AID NO. STP-MMA-0(248)D
C-64-27-

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CONSULTANT SERVICES
CONTRACT NO. 2026-033
TABLE OF CONTENTS
SECTION 1 – SERVICES OF THE CONSULTANT ...................................................................................... 1
SECTION 2 – PERIOD OF SERVICE ........................................................................................................... 1
SECTION 3 – PAYMENTS TO THE CONSULTANT .................................................................................... 2
SECTION 4 – PROMPT PAY LEGISLATION (A.R.S. §34-221) ................................................................... 2
SECTION 5 – DISPUTE ESCALATION ........................................................................................................ 3
SECTION 6 – ARBITRATION ....................................................................................................................... 4
SECTION 7 – THE COUNTY’S RESPONSIBILITIES ................................................................................... 4
SECTION 8 – ALTERATION IN SCOPE OF WORK .................................................................................... 5
SECTION 9 – RECORDS, RETENTION, MAINTENANCE AND AUDIT ...................................................... 5
SECTION 10 – PROJECT COMPLETION .................................................................................................... 5
SECTION 11 – SUSPENSION OF WORK .................................................................................................... 6
SECTION 12 – TERMINATION ..................................................................................................................... 6
SECTION 13 – OWNERSHIP OF DATA ....................................................................................................... 6
SECTION 14 – COMPLIANCE WITH LAWS ................................................................................................ 7
CERTIFICATION REGARDING DEBARMENT AND SUSPENSION: .................................................... 7
SECTION 15 – GENERAL CONSIDERATIONS ........................................................................................... 8
SECTION 16 – SUCCESSORS AND ASSIGNS ........................................................................................... 9
SECTION 17 – NO KICK-BACK CERTIFICATION ..................................................................................... 10
SECTION 18 – ANTI-DISCRIMINATION PROVISION ................................................................................ 10
SECTION 19 – INDEMNIFICATION ............................................................................................................ 10
SECTION 20 – ANTI-TRUST VIOLATIONS................................................................................................ 10
SECTION 21 – PROFESSIONAL CONDUCT AND PROFESSIONAL REGISTRATION ........................... 11
SECTION 22 – IMPROPER EXERCISE OF AUTHORITY .......................................................................... 11
SECTION 23 – CONFLICT OF INTEREST ................................................................................................. 11
SECTION 24 – ORGANIZATION EMPLOYMENT DISCLAIMER ............................................................... 11
SECTION 25 – FEDERAL DEBARMENT AND SUSPENSION .................................................................. 11
SECTION 26 – SUBCONTRACTS .............................................................................................................. 12
SECTION 27 – CONTINUING OBLIGATION .............................................................................................. 12
SECTION 28 – NAME CHANGE, MERGER, ACQUISITION, CONSOLIDATION AND/OR TRANSFER OF
OWNERSHIP ........................................................................................................................................ 13
SECTION 29 – ANTI-LOBBYING ............................................................................................................... 14
SECTION 30 – FINAL/INCURRED COST AUDIT ....................................................................................... 15

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SECTION 31 – REVIEWS AND INSPECTIONS ......................................................................................... 15
SECTION 32 – PROPERTY OR EQUIPMENT ............................................................................................ 15
SECTION 33 – NONDISCRIMINATION ...................................................................................................... 16
SECTION 34 – AFFIRMATIVE ACTION (FOR FEDERAL-AID CONTRACTS) .......................................... 17
SECTION 35 – PROFESSIONAL SERVICES DBE PROVISIONS ............................................................. 18
SECTION 36 – ENVIRONMENTAL PROTECTION .................................................................................... 18
SECTION 37 – ENERGY CONSERVATION ............................................................................................... 18
SECTION 38 – PATENTS AND COPYRIGHTS .......................................................................................... 18
SECTION 39 – FRAUD AND FALSE STATEMENTS ................................................................................. 18
SECTION 40 – FEDERAL IMMIGRATION AND NATIONALITY ACT........................................................ 19
SECTION 41 – PANDEMIC CONTRACTUAL PERFORMANCE ............................................................... 21
SECTION 42 – PERFORMANCE EVALUATIONS ..................................................................................... 22
SECTION 43 – CONTRACT COMPLETION ............................................................................................... 22
SECTION 44 – INFLUENCE ....................................................................................................................... 22
SECTION 45 – INSURANCE REQUIREMENTS ......................................................................................... 22
CERTIFICATES OF INSURANCE ........................................................................................................ 24
CANCELLATION AND EXPIRATION NOTICE .................................................................................... 24
SECTION 46 – TITLE VI ............................................................................................................................. 24
SECTION 47 – FORCE MAJEURE ............................................................................................................. 24
SECTION 48 – FORCE LABOR .................................................................................................................. 25
SECTION 49 – COMPLIANCE WITH WEB CONTENT ACCESSIBILITY GUIDELINES (WCAG) ............. 25
EXHIBIT 1 – CONSTRUCTION AND PROFESSIONAL SERVICES/DESIGN CONTRACTS PROMPT
PAY AND PAYMENT REPORTING PROVISIONS .............................................................................. 28
EXHIBIT 2 – PROFESSIONAL SERVICES DBE PROVISIONS ................................................................. 33
EXHIBIT 3 – MARICOPA COUNTY DEPARTMENT OF TRANSPORTATION TITLE VI ASSURANCES,
APPENDIX A & E ................................................................................................................................. 44
EXHIBIT 4 – LPA/SUBRECIPIENT FEDERAL AID CONTRACT WITH OR WITHOUT DBE GOAL ......... 46
ATTACHMENT1 – CERTIFICATE OF FINAL PAYMENT .......................................................................... 47
ATTACHMENT 2 - PERFORMANCE AND PAYMENT OF ALL CLAIMS .................................................. 48
ATTACHMENT 3 - CERTIFICATE OF INSURANCE .................................................................................. 49
ATTACHMENT 4 - MARICOPA COUNTY SMALL BUSINESS ENTERPRISE PROGRAM
PARTICIPATION REPORTING FORM................................................................................................. 50

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CONSULTANT SERVICES
CONTRACT NO. 2026-033
NORTHERN PARKWAY – 103RD AVENUE TO 91ST AVENUE, PHASE 1
Pursuant to the provisions of the Arizona Revised Statutes § 11-201 the Maricopa COUNTY Board of
Supervisors has the authority to enter into contracts.
The Maricopa County Department of Transportation, hereinafter called the “COUNTY”, is desirous of having
certain professional services performed in connection with Contract No. 2026-033, NORTHERN PARKWAY
– 103RD AVENUE TO 91ST AVENUE, PHASE 1, hereinafter called the “Project”, and as more fully
described in Exhibit A, Scope of Work, and in accordance with Exhibit B, Fee Proposal, attached; and
CONSULTANT ENGINEERING, INC., hereinafter called “CONSULTANT”, with its principal offices located
at 10625 North 25th Avenue, Ste. 200, Phoenix, Arizona 85029 Telephone No. 602.849.3060, subject to
the following terms and conditions:
THEREFORE, the parties hereto mutually agree as follows:
SECTION 1 – SERVICES OF THE CONSULTANT
The CONSULTANT, under the general supervision of the COUNTY, Construction and Materials Division
Manager, shall prepare studies, reports, surveys, plans, drawings, specifications, and cost estimates as are
necessary for the Project according to the directions and designated standards of the COUNTY, and in
accordance with Exhibit A, Scope of Work. It is understood and agreed that the COUNTY authorized
representative shall be the COUNTY Construction and Materials Division Manager or his duly authorized
representative, hereinafter called the “Agent”. For purposes of this contract, the Agent’s duly authorized
representative shall be the Project Manager and he/she shall be the sole contact for administering this
contract.
The CONSULTANT shall meet periodically with the Agent so as to keep the COUNTY informed of the
progress of the work in accordance with the schedule defined in Exhibit A, Scope of Work.
The CONSULTANT shall promptly advise the Agent of any factors which develop during the Project that
would likely result in construction or design costs in excess of budgetary constraints.
SECTION 2 – PERIOD OF SERVICE
The CONSULTANT shall complete all work for NORTHERN PARKWAY – 103RD AVENUE TO 91ST
AVENUE, PHASE 1, in accordance with the time requirements provided in Exhibit A, Section A, Scope of
Work, within SIX HUNDRED SIXTY-FIVE (665) Calendar Days after receipt of the Notice to Proceed. Should
extension of this contract period be necessary, and any such extension(s) continue the date of contract
performance for a time period of more than one (1) year from the original date of contract expiration,
adjustment(s) of the CONSULTANT’s fee(s) may, upon agreement by both the COUNTY and the
CONSULTANT, be made in accordance with the Consumer Price Index for Urban Consumers, Western
Division, published by the U.S. Department of Labor, Bureau of Labor Statistics, using the published edition
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coinciding with the initial contract expiration date. Any such fee adjustment shall only apply to the extended
contract time period.
SECTION 3 – PAYMENTS TO THE CONSULTANT
The CONSULTANT shall be paid for work under this contract a Not to Exceed (NTE) amount of TWO
MILLION THREE HUNDRED TWENTY-FOUR THOUSAND FOUR HUNDRED TWENTY-ONE DOLLARS
AND EIGHTEEN CENTS ($2,324,421.18) plus a fee not-to-exceed TWO HUNDRED THIRTY THOUSAND
DOLLARS AND NO CENTS ($230,000.00) for allowances as identified below and in accordance with the
Scope of Work. The COUNTY will compensate CONSULTANT for unscheduled overtime work, which has
been pre-approved in writing by the COUNTY, at the actual rates specified in Exhibit B, Consultants Cost
Proposal Summary
ALLOWANCE DESCRIPTION TOTAL
OVERTIME DURING CONSTRUCTION PHASE $80,000.00
CONSTRUCTION FIELD OFFICE RENTAL $150,000.00
The CONSULTANT shall be paid for work under this contract in accordance with the Scope of Work a Not
to Exceed (NTE) amount of TWO MILLION FIVE HUNDRED FIFTY-FOUR THOUSAND FOUR HUNDRED
TWENTY-ONE DOLLARS AND EIGHTEEN CENTS ($2,554,421.18), plus any adjustments that have been
approved in writing in accordance with the Maricopa County Procurement Code. However, the COUNTY
does not guarantee either a minimum or maximum fee under this contract, and CONSULTANT, in accepting
this contract, does not expect the payment of either a minimum or maximum fee. For not-to-exceed contract
payments will be made for the actual hours worked and actual expenses incurred as provided in Exhibit B,
Consultants Fee Schedule.
The final invoice shall be paid to the CONSULTANT, as applicable, within forty-five (45) calendar days after:
A. final completion of all work per Exhibit A, Scope of Work,
B. acceptance of the work by the COUNTY,
C. final completion of all work per Exhibit A, Scope of Work,
D. acceptance of the work by the COUNTY,
E. the COUNTY’s receipt of the fully executed “Certificate of Performance” form.
SECTION 4 – PROMPT PAY LEGISLATION (A.R.S. §34-221)
If satisfactory progress is being made, the contractor will receive a payment based on the amount of work
completed. Progress payments may be made by the LPA/ Subrecipient Procurement Office to the contractor
on the basis of an approved estimate of the work performed during a preceding period of time. The progress
payments shall be paid on or before 14 days after the estimate of the work is approved. The estimate of the
work shall be deemed received by the LPA/Subrecipient Procurement Office on submission to the person
designated by the LPA/Subrecipient Procurement Office for the submission, review or approval of the
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estimate of the work. The LPA/Subrecipient Procurement Office by mutual agreement may make progress
payments on contracts of less than 90 days and shall make monthly progress payments on all other contracts.
Payment to the contractor on the basis of a duly certified and approved estimate of the work performed during
the preceding calendar month under the contract may include payment for material and equipment.
An estimate of the work submitted shall be deemed approved and certified for payment after seven days from
the date of submission unless before that time the LPA/Subrecipient Procurement Office or Designee
prepares and issues a specific written finding setting forth those items in detail in the estimate of the work
that are not approved for payment under the contract. The contractor shall work with the LPA/Subrecipient
or the LPA/Subrecipient Designee to finalize the monthly estimate. The progress payments shall be paid on
or before 14 days after the estimate of the work is certified and approved in accordance with Arizona Revised
Statutes Section 34-221.
The contractor shall pay to the contractor's subcontractors or material suppliers and each subcontractor shall
pay to the subcontractor's subcontractor or material supplier, within seven days of receipt of each progress
payment the respective amounts allowed the contractor or subcontractor on account of the work performed
by the subcontractors, to the extent of each subcontractor's interest, except that no contract for construction
services may materially alter the rights of any contractor, subcontractor or material supplier to receive prompt
and timely payment.
A subcontractor may notify the LPA/Subrecipient Procurement Office in writing requesting that the
subcontractor be notified by the Subrecipient Procurement Office in writing within five days from payment of
each progress payment made to the contractor. If unsatisfactory progress has not been made on the project,
MCDOT may, at its sole option, refuse to make progress payment(s) of such sums, which MCDOT considers
necessary. This provision shall not limit MCDOT rights to terminate the Contract for default.
The CONSULTANT shall not withhold the subconsultant’s payment if MCDOT has paid the full value of
services rendered. Failure by the CONSULTANT to invoice MCDOT in accordance with the terms of this
Contract and/or pay its subconsultants in accordance with the Arizona Prompt Pay Law is a material breach
of this Contract. MCDOT reserves the right to request that CONSULTANT provides proof of payment to its
subconsultants.
The CONSULTANT shall be found to be in breach of this Contract if it executes subcontract agreements
with subconsultants, DBE and non-DBE, which materially change the Prompt Pay requirement. This
action may result in termination of the Contract, or any other such remedy as deemed appropriate by
MCDOT. See Exhibit 1 – Prompt Pay and Payment Reporting Provisions.
SECTION 5 – DISPUTE ESCALATION
The following dispute escalation levels shall be utilized to resolve disputes during the course of this Contract.
The following dispute escalation levels shall be utilized in the event the MCDOT PM, CONSULTANT PM or
Contracts Specialist are unable to agree on the scope, level of effort, cost or any other issues related to this
Contract. It is the intent of the COUNTY to resolve disputes at the lowest level possible. If agreement cannot
be reached at that level, then the matter is escalated to the next higher level of management. Failure to agree
at any level constitutes escalation to the next level.
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Failure by the CONSULTANT to utilize the escalation process shall constitute a waiver of any claims for
additional compensation or any other relief.
The following table depicts the dispute resolution escalation levels for Contract issues:
Level MCDOT CONSULTANT PROCUREMENT
1 Project Manager Project Manager Contract Services
Finance Services
Division Manager Project Principal
2 Division Manager
Project Manager Project Manager
Contract Services
County Engineer
Chief Procurement
3 Division Manager Project Principal
Officer
Project Manager
The decision of the Chief Procurement Officer is final.
SECTION 6 – ARBITRATION
The parties agree to use arbitration, after exhausting applicable administrative reviews, to resolve disputes
arising out of this agreement where the sole relief sought is monetary damages of $500,000 or less,
exclusive of interest and costs.
The arbitration shall be submitted under the relevant rules of the American Arbitration Association (AAA) in
effect as of the date of the demand for arbitration. The matter disputed shall be submitted to an arbitrator
mutually selected by MCDOT and the CONSULTANT.
SECTION 7 – THE COUNTY’S RESPONSIBILITIES
The COUNTY will furnish the CONSULTANT, at no cost to the CONSULTANT, the following information or
services for this Project:
A. One copy of on-hand maps, records, survey ties, benchmarks, or other data pertinent to the Project.
This does not, however, relieve the CONSULTANT of the responsibility of searching records for
additional information, for requesting specific information, or for verification of that information
provided. The COUNTY does not warrant the accuracy or comprehensiveness of any such
information.
B. All available information and data relative to policies, standards, criteria, and studies, etc. impacting
the Project as identified by the CONSULTANT.
C. Available staff for consultation with the CONSULTANT during the performance of studies and plan
development in order to identify the problems, needs, and other functional aspects of the Project.
Prompt examination of documents submitted by the CONSULTANT and rendering of decisions pertaining
thereto in order to avoid unreasonable delay in the progress of the work by the CONSULTANT. The
COUNTY will keep the CONSULTANT advised concerning the progress of the COUNTY’s review of work
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SECTION 8 – ALTERATION IN SCOPE OF WORK
This contract may be amended by mutual agreement of the COUNTY and the CONSULTANT.
Any alteration in the Scope of Work that will result in a substantial change in the nature of the Project so as
to materially increase or decrease the contract fee will require negotiation of an amendment to the contract
to be executed by the COUNTY and the CONSULTANT. No work shall commence on the change until the
contract amendment has been approved by the COUNTY and the Agent has notified the CONSULTANT to
proceed. It is distinctly understood and agreed that no claim for extra work performed or materials furnished
by the CONSULTANT will be allowed by the COUNTY except as provided herein, nor shall the
CONSULTANT do any work or furnish any materials not covered by this agreement unless such work is first
authorized in writing by the COUNTY in accordance with the Maricopa County Procurement Code. Any such
work or materials furnished by the CONSULTANT without such written authorization first being given shall
be at CONSULTANT’s own risk, cost, and expense. The CONSULTANT hereby agrees to make no claim
for such work or materials furnished without such written authorization.
SECTION 9 – RECORDS, RETENTION, MAINTENANCE AND AUDIT
A. Pursuant to A.R.S. §35-214, the CONSULTANT and its subconsultant(s) shall keep and maintain
all books, papers, records, accounting records, files, accounts, expenditure records, reports, cost
proposals with backup data and all other such materials related to the Contract and other related
project(s). The CONSULTANT shall make all such materials related to the project(s) available at
any reasonable time and place during the term of the Contract and for five (5) years from the date
the Initial Closeout Letter is sent to the CONSULTANT after MCDOT indicates that work on the
Contract has been completed to the satisfaction of MCDOT (Contract Status Form). All Documents
shall be retained for auditing, inspection and copying upon the COUNTY’s or at FHWA’s request,
or any other authorized representative of the Federal Government.
B. Pursuant to A.R.S. §35-215, the CONSULTANT and its subconsultant(s) with intent to defraud,
deceive, improperly influence, obstruct or impair an audit being conducted or about to be conducted
in relation to any Contract or subcontract with the COUNTY is guilty of a Class 5 Felony.
C. In case of an audit and the CONSULTANT has failed to retain records in accordance with the
applicable Contract provision, it shall be presumed that the documents would not have supported
the CONSULTANT’s position. Therefore, failure to retain such records shall result in the
CONSULTANT being required to reimburse MCDOT for unsupported costs. The CONSULTANT
may also be disqualified from submitting future SOQ proposals.
D. Upon completion and final closeout of the Contract, physical/paper or electronic Contract files
and any supporting materials shall be maintained in accordance with MCDOT and State Record
Retention Center Records Retention/Destruction Policy and Schedules.
SECTION 10 – PROJECT COMPLETION
If, during the course of this contract, situations beyond the control and not the result of delay attributable to
CONSULTANT arise which prevent completion within the allotted time, the Agent may grant an extension.
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SECTION 11 – SUSPENSION OF WORK
Work on this Contract may be suspended by written order at MCDOT’s sole discretion. The CONSULTANT
is not entitled to any compensation when work is suspended.
SECTION 12 – TERMINATION
The COUNTY may terminate this contract at any time upon reimbursement to the CONSULTANT expenses
that include reasonable charges for time and material for the percentage of work satisfactorily completed and
provided to the COUNTY.
The COUNTY reserves the rights to postpone, terminate, or abandon this contract for the CONSULTANT’s
failure to complete the Project on time or failure to comply with the provisions of the contract. The COUNTY
also reserves the right to terminate any or all parts of this contract for its own convenience as the COUNTY
may determine at its sole discretion.
The COUNTY hereby gives notice that pursuant to A.R.S. § 38-511 “A” this contract may be canceled without
penalty or further obligation within three (3) years after execution if any person significantly involved in
initiating, negotiating, securing, drafting, or creating a contract on behalf of the COUNTY is, at any time while
the contract or any extension of the contract is in effect, an employee or agent of any other party to the
contract in any capacity or a consultant to any other party of the contract with respect to the subject matter
of the contract. Cancellation under this section shall be effective when written notice from the Transportation
Director is received by all of the parties to the contract. In addition, the COUNTY may recoup any fee or
commission paid or due to any person significantly involved in initiating, negotiating, securing, drafting, or
creating the contract on behalf of the COUNTY from any other party to the contract arising as a result of the
contract.
The CONSULTANT may terminate this contract in the event of nonpayment of fees as specified in SECTION
3, PAYMENTS TO THE CONSULTANT.
SECTION 13 – OWNERSHIP OF DATA
A. The CONSULTANT agrees to maintain (in sufficient detail as shall properly reflect all work
done and results achieved in the performance of this Contract) tracings, plans, specifications and
maps, basic survey notes and sketches, books, records, reports, research notes, charts, graphs,
comments, computations, analyses, recordings, photographs, computer programs and
documentation thereof, and other graphic or written data generated in connection with the work
required in the Contract; all such information and documentation to be termed "Data" under this
Contract.
B. All Data procured hereunder for the work funded by MCDOT shall become the property of MCDOT
and delivered to MCDOT upon request, and shall not be used or released by the CONSULTANT or
any other person except with the prior written approval by the COUNTY; provided that the
CONSULTANT shall not be required to retain any Data not requested by MCDOT within five (5)
years from the date of final payment to the CONSULTANT hereunder; and provided further that
until such delivery to MCDOT, the CONSULTANT agrees to permit MCDOT and FHWA
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representatives to examine and review at reasonable times all Data still in the possession of the
CONSULTANT.
C. All services, information, computer program elements, reports and other deliverables which may
be patented or copyrighted and created under this Contract are the property of the COUNTY and
shall not be used or released by the CONSULTANT or any other person except with the prior written
approval by the COUNTY.
SECTION 14 – COMPLIANCE WITH LAWS
The CONSULTANT is required to comply with all Federal, State, and local laws, local ordinances and
regulations. The CONSULTANT’s signature on this contract certifies compliance with the provisions of the I-
9 requirements of the Immigration Reform and Control Act of 1986 for all personnel that the CONSULTANT
and any subconsultants employ to complete any Project. It is understood that the COUNTY shall conduct
itself in accordance with the provisions of the Maricopa County Procurement Code.
The CONSULTANT warrants that it is in compliance with A.R.S. §41-4401 and further acknowledges:
1. That the CONSULTANT and its subconsultants, if any, warrant their compliance with all
federal immigration laws and regulations that relate to their employees and their compliance
with A.R.S. §23-214, subsection A; After December 31, 2007, every employer, after hiring
an employee, shall verify the employment eligibility of the employee through the e-verify
program and shall keep a record of the verification for the duration of the employee’s
employment or at least three years, whichever is longer.
2. That a breach of a warranty under subsection 1 above, shall be deemed a material breach
of the contract that is subject to penalties up to and including termination of the contracts;
3. That the contracting government entity retains the legal right to inspect the papers of any
CONSULTANT or subconsultant employee who works on the contract to ensure that the
CONSULTANT or subconsultant is complying with the warranty provided under subsection
1 above and that the CONSULTANT agrees to make all papers and employment records of
said employee(s) available during normal working hours in order to facilitate such an
inspection.
4. That nothing herein shall make any CONSULTANT or subconsultant an agent or employee
of the contracting government entity.
CERTIFICATION REGARDING DEBARMENT AND SUSPENSION:
1. The undersigned (authorized official signing for the CONSULTANT) certifies to the best of
his or her knowledge and belief, that the CONSULTANT, defined as the primary participant
in accordance with 45 CFR Part 76, and its principals:
a. are not presently debarred, suspended, proposed for debarment, declared
ineligible, or voluntarily excluded from covered transactions by any Federal
Department or agency;
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b. have not within 3-year period preceding this contract been convicted of or had a civil
judgment rendered against them for commission of fraud or a criminal offense in
connection with obtaining, attempting to obtain, or performing a public (Federal,
State or local) transaction or contract under a public transaction; violation of Federal
or State antitrust statues or commission of embezzlement, theft, forgery, bribery,
falsification or destruction of records, making false statements, or receiving stolen
property;
c. are not presently indicted or otherwise criminally or civilly charged by a government
entity (Federal, State or local) with commission of any of the offenses enumerated
in paragraph (2) of this certification; and
d. have not within a 3-year period preceding this contract had one or more public
transactions (Federal, State or local) terminated for cause of default.
2. Should the CONSULTANT not be able to provide this certification, an explanation as to why
should be attached to the Contact.
3. The CONSULTANT agrees to include, without modification, this clause in all lower tier
covered transactions (i.e. transactions with subcontractors) and in all solicitations for lower
tier covered transactions related to this contract.
SECTION 15 – GENERAL CONSIDERATIONS
A. The CONSULTANT shall furnish to the COUNTY for approval, the names of its key employees, and
of its subconsultants and their key employees, to be used on this Project prior to beginning the work
under this contract. Any subsequent changes are subject to the written approval of the COUNTY.
B. The CONSULTANT shall perform, with its own firm, work amounting to fifty percent (50%) or more
of the total amount of the contract value. Any deviation may be approved, in writing, at the discretion
of the Agent.
C. The failure of either party to enforce any of the provisions of this contract or to require performance
of the other party of any of the provisions hereof shall not be construed to be a waiver of such
provisions, nor shall it affect the validity of this contract or any part thereof, or the right of either party
to thereafter enforce each and every provision.
D. If the COUNTY determines that the CONSULTANT had made any errors and/or omissions (E&O) in
the work product delivered to the COUNTY under the terms of this Contract, the CONSULTANT
shall make all necessary revisions or corrections resulting from E&O without additional cost to the
COUNTY. Errors and Omissions is defined as a deviation from the standard of care on the part of a
design engineering consultant in the performance of architectural and/or engineering services under
this Contract. The COUNTY shall actively pursue the resolution of E&O’s at the lowest possible level
within a reasonable timeframe in accordance with the most current version of MCDOT Errors and
Omissions by Design Consultants on Projects Procedure No. P5305.
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E. It is mutually understood and agreed that this contract shall be governed by the laws of the State of
Arizona, both as to interpretation and performance. Any action at law, suit in equity, or judicial
proceeding for the enforcement of this contract, or any provision thereof, shall be instituted only in
the courts of the State of Arizona.
F. When this contract requires CONSULTANT to study specific geographic areas of Maricopa County
the CONSULTANT agrees during the term of this contract and any extensions thereof that
CONSULTANT will not perform similar services for any clients other than the COUNTY within that
specific geographic area without the written authorization and approval of the Transportation Director
of the COUNTY.
G. The CONSULTANT agrees that it, its principals, employees, subconsultants, agents and assigns,
shall not accept employment as consultants, expert witnesses or otherwise in any pending or
contemplated litigation against the COUNTY during the term of this contract and any extensions
thereof without the written authorization and approval of the Transportation Director of the COUNTY.
H. The CONSULTANT agrees that it, its principals, employees, subconsultants, agents and assigns,
shall not accept employment as consultants, expert witnesses or otherwise in any future litigation
against the COUNTY in regard to the subject matter of this contract without the written authorization
and approval of the Transportation Director of the COUNTY.
I. It is understood that the COUNTY shall have the right to seek and obtain in any court of competent
jurisdiction an injunction to restrain a violation or alleged violation by the CONSULTANT, its
principals, employees, subconsultants, agents or assigns, of the provisions of F., G., and H. of this
section or of the provisions of B. of Section 9, and the right of action for full damages at law, in
addition to any other remedies provided by this contract. In no case shall a waiver by the COUNTY
of the right to seek relief under this provision constitute a waiver of any other or further violation.
J. The CONSULTANT shall incorporate stormwater quality best management practices (BMPs) in the
design of the project and comply with the Maricopa County Stormwater Quality Management and
Discharge Control Regulation, the Maricopa County Drainage Policies and Standards, and the
Maricopa County Drainage Regulations, using guidance from the Maricopa County Drainage Design
Manual, Vol. III, Erosion Control.
K. Written Certification Pursuant to A.R.S. § 35-393.01. If CONSULTANT engages in for-profit activity
and has 10 or more employees, and if this Agreement has a value of $100,000 or more,
CONSULTANT certifies it is not currently engaged in, and agrees for the duration of this Agreement
to not engage in, a boycott of goods or services from Israel. This certification does not apply to
a boycott prohibited by 50 U.S.C. § 4842 or a regulation issued pursuant to 50 U.S.C. § 4842.
SECTION 16 – SUCCESSORS AND ASSIGNS
This contract shall not be assigned by either party without prior written approval of the other except that the
CONSULTANT may use in the performance of this contract without prior approval of the COUNTY, personnel
or services of its related entities and affiliated companies as if they were an integral part of the
CONSULTANT; and it shall extend to and be binding upon the heirs, executors, administrators, successors
and assigns of the parties hereto.
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SECTION 17 – NO KICK-BACK CERTIFICATION
The CONSULTANT warrants that no person has been employed or retained to solicit or secure this contract
upon any agreement or understanding for a commission, percentage, brokerage, or contingent fee; and that
no member of the Board of Supervisors or any employee of the COUNTY has any interest, financially or
otherwise, in the CONSULTANT’s firm.
For breach or violation of this warranty, the COUNTY shall have the right to annul this contract without liability,
or at its discretion, to deduct from the contract price or consideration, the full amount of such commission,
percentage, brokerage, or contingent fee.
SECTION 18 – ANTI-DISCRIMINATION PROVISION
The COUNTY will endeavor to ensure in every way possible that small business enterprises shall have every
opportunity to participate in providing professional services, purchased goods, and contractual services to
the COUNTY without being discriminated against on the grounds of race, religion, gender, age, disability, or
national origin.
The CONSULTANT agrees not to discriminate against any employee or applicant for employment because
of race, religion, gender, age, disability, or national origin, and further agrees not to engage in any unlawful
employment practices. The CONSULTANT further agrees to insert the foregoing provisions in all
subcontracts hereunder.
SECTION 19 – INDEMNIFICATION
To the fullest extent permitted by law, CONSULTANT shall defend, indemnify, and hold harmless COUNTY,
its agents, representatives, officers, directors, officials, and employees from and against all claims, damages,
losses and expenses, including reasonable attorney fees and court costs, but only to the extent caused by
the negligence, reckless or intentional wrongful conduct of the CONSULTANT or others persons employed
or used by the CONSULTANT in the performance of the contract or subcontract. “Other persons employed
or used” means a subconsultant to a CONSULTANT or design professional in any tier, or any other person
or entity who performs work or design professional services, or provides labor, services, materials or
equipment in connection with the contract.
The amount and type of insurance coverage requirements set forth herein will in no way be construed as
limiting the scope of the indemnity in this paragraph. The scope of this indemnification does not extend to the
sole negligence of COUNTY.
SECTION 20 – ANTI-TRUST VIOLATIONS
The CONSULTANT and the COUNTY recognize that in actual economic practice, overcharges resulting
from anti-trust violations are in fact borne by Purchaser or ultimate user which in this case, the COUNTY.
Therefore, the CONSULTANT, acting as a vendor, hereby assigns to the COUNTY any and all claims for
such overcharges.
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SECTION 21 – PROFESSIONAL CONDUCT AND PROFESSIONAL REGISTRATION
The CONSULTANT shall comply with the “Rules of Professional Conduct” provision pursuant to A.A.C.
R4-30-301, which is incorporated herein by reference and hereby made a part of this Contract.
The CONSULTANT shall comply with the “Registration as an Architect, Assayer, Engineer, Geologist,
Landscape Architect, or Land Surveyor” provision pursuant to A.A.C. R4-30-201, which is incorporated
herein by reference and hereby made a part of this Contract.
SECTION 22 – IMPROPER EXERCISE OF AUTHORITY
It is further understood and agreed that the CONSULTANT shall not, in any way, exercise any portion of
the authority or powers of the COUNTY, and shall not make a contract or commitment, or in any way
represent itself as an agent of the COUNTY beyond the scope of this Contract unless expressly
authorized, in writing, by the COUNTY.
SECTION 23 – CONFLICT OF INTEREST
The CONSULTANT shall not engage the services on this contract of any present or former COUNTY
employee who was involved as a decision maker in the selection or approval processes or who negotiated
and/or approved billings or contract modifications for this contract.
The CONSULTANT agrees that no public or private interest exists and none shall be acquired directly or
indirectly which would conflict in any manner with the performance of this contract.
SECTION 24 – ORGANIZATION EMPLOYMENT DISCLAIMER
A. This Contract is not intended to constitute, create, give to, or otherwise recognize a joint venture
agreement or relationship, partnership, or formal business organization of any kind, and the rights
and obligations of the parties shall be only those expressly set forth in this Contract.
B. The parties agree that no persons supplied by the CONSULTANT in the performance of
CONSULTANT obligations under the Contract are considered to be COUNTY employees. The
CONSULTANT shall have total responsibility for all salaries, wages, bonuses, retirement,
withholdings, workmen's compensation, occupational disease compensation, unemployment
compensation, other employee benefits and all taxes and premiums appurtenant thereto concerning
such persons, and shall save and hold the COUNTY harmless with respect thereto.
SECTION 25 – FEDERAL DEBARMENT AND SUSPENSION
A. By signature on this Contract, the CONSULTANT certifies its compliance, and the compliance of its
subconsultants or subcontractors, present or future, by stating that any person associated therewith
in the capacity of owner, partner, director, officer, principal investor, project director, manager,
auditor, or any position of authority involving federal funds:
1. Is not currently under suspension, debarment, voluntary exclusion, or determination of
ineligibility by any Federal Agency;
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2. Does not have a proposed debarment pending;
3. Has not been suspended, debarred, voluntarily excluded or determined ineligible by any
Federal Agency within the past three (3) years; and
4. Has not been indicted, convicted, or had a civil judgment rendered against the firm
by a court of competent jurisdiction in any matter involving fraud or official misconduct
within the past three (3) years as specified by Code of Federal Regulations 49 CFR
paragraph 29.305(a).
B. Where the CONSULTANT or its subconsultant is unable to certify the statement in Section A.1.
above, the CONSULTANT or its subconsultant shall be declared ineligible to enter into Contract or
participate in the project.
C. Where the CONSULTANT or subconsultant is unable to certify any of the statements as listed in
Sections A.2., A.3., or A.4., above, the CONSULTANT or its subconsultant shall submit a written
explanation to the COUNTY. The certification or explanation shall be considered in connection with
the COUNTY’s determination whether to enter into Contract.
D. The CONSULTANT shall provide immediate written notice to the COUNTY if, at any time, the
CONSULTANT or its subconsultant, learn that its Debarment and Suspension certification has
become erroneous by reason of changed circumstances.
SECTION 26 – SUBCONTRACTS
The CONSULTANT agrees to execute a written contract with all subconsultants for work to be completed
under this contract. The executed contract shall include subconsultant’s Scope of Work and all the Uniform
Terms and Conditions set forth in this contract.
The CONSULTANT shall provide electronic copies of signed subcontract agreements with all subconsultants
to ADOT Business Engagement and Compliance Officer (BECO)) by uploading them to the BECO online
DBE Contract & Labor Compliance Management System (https://adot.dbesystem.com). Subcontract
agreements must include all required assurances and required clauses as outlined in this contract. Each
agreement and required attachment must be dated and signed by the subconsultant in order for the
subcontract to be considered valid.
The CONSULTANT shall be in breach of this contract if the CONSULTANT materially modifies the federal
regulations and State statutes in its subcontract agreements terms and conditions with its subconsultants.
Deviations from the terms of this contract may result in termination of the contract, or any other such remedy
as deemed appropriate by the COUNTY.
SECTION 27 – CONTINUING OBLIGATION
The CONSULTANT agrees that if due to death or any other occurrence it becomes impossible for any
principal or employee of the CONSULTANT to render the services required under this Contract, neither the
CONSULTANT nor the surviving principals shall be relieved of any obligation to render complete
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performance. However, in such event, the COUNTY may terminate this Contract if it considers the death or
incapacity of such principal or employee to be a loss of such magnitude as to (1) affect the
CONSULTANT’s ability to satisfactorily complete the performance of this Contract, or (2) materially affect
the evaluation of the CONSULTANT’s qualifications.
SECTION 28 – NAME CHANGE, MERGER, ACQUISITION, CONSOLIDATION AND/OR TRANSFER OF
OWNERSHIP
A. In cases where a firm changes its name, acquires, or merges with another company, the firm
under Contract with MCDOT shall notify MCDOT of name or ownership changes within 10 business
days from the date when the name or ownership change is legally signed/approved before the new
CONSULTANT begins any work on acquired firm’s contract(s). The CONSULTANT changing its
name due to merger, acquisition, consolidation and/or transfer of ownership shall be responsible
for fulfilling all obligations, liabilities, and contract terms/conditions for all MCDOT Contracts of the
acquired firm. The new/acquiring firm shall provide MCDOT with the required information to approve
the name change, including but not limited to the following:
1. A letter, on company letterhead, indicating the new name and reason for the change. The
letter shall also include:
a. Effective date of the change.
b. List of active and pending closeout MCDOT Contracts affected by the change with
contract description. Indicate which contract(s) the firm served as a CONSULTANT
or subconsultant.
c. A statement certifying that the new/acquiring CONSULTANT shall assume all
obligations and liabilities set forth in the respective contracts for all listed
contracts between the new/acquiring CONSULTANT and MCDOT.
d. A statement certifying that no changes have been made in the Key Personnel
responsible for the affected contracts. If a Key Personnel change occurs
resulting from the merger, acquisition, consolidation and/or transfers of
ownership, the CONSULTANT shall submit a separate request to obtain
MCDOT’s approval for the Key Personnel change.
2. A copy of Arizona Corporation Commission (ACC) or home-state equivalent Corporation
Commission approval documentation of the new/acquiring CONSULTANT
3. Updated professional license(s) of the new/acquiring CONSULTANT
4. Updated W-9 Form of the new/acquiring CONSULTANT
B. If the acquiring firm is approved by MCDOT to take over the merged or acquired Contracts, the
Contracts shall be modified to include the acquiring firm’s name by a Contract Modification. The
CONSULTANT shall also re- prequalify with ECS under the new entity/firm name.
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C. If a subconsultant listed in the Contract changes its name due to merger, acquisition,
consolidation and/or transfer of ownership, the subconsultant shall notify the Consultant of the
name or ownership changes within 10 business days when the name or ownership change is
legally signed/approved before the new/acquiring subconsultant begins any work on the acquired
subconsultant contract(s). The CONSULTANT shall request MCDOT’s written approval within 10
calendar days from the subconsultant notification. The name-change request shall include, at a
minimum, the following:
1. A letter, on company letterhead, indicating the new subconsultant(s) name and reason for
the change. The letter shall also include:
a. Effective date of the change
b. List of active and pending closeout MCDOT Contracts affected by the change with
contract description. Indicate which contract(s) the firm served as a
CONSULTANT or subconsultant.
c. A statement certifying that the new/acquiring subconsultant shall continue to
provide quality work under the Contract
d. A statement certifying that no changes have been made in the Key Personnel
responsible for the affected contracts. If a Key Personnel change occurs resulting
from the merger, acquisition, consolidation and/or transfers of ownership, the
subconsultant shall submit a separate request through the CONSULTANT, to
obtain COUNTY’s approval for the Key Personnel change.
2. A copy of the new/acquiring subconsultant’s ACC or home-state equivalent Corporation
Commission approval documentation related to the change.
SECTION 29 – ANTI-LOBBYING
CONSULTANT agrees to comply with the provisions of Section 1352 of Title 31, U.S. Code (Public Law 101.121)
as codified in Title 48, Federal Acquisition Regulations Subpart 3.8 and Subpart 52.203-11. The legislation
prohibits federal funds from being expended by a recipient or any lower tier subrecipients of a Federal contract,
grant, loan, or cooperative agreement to pay any person for influencing or attempting to influence a Federal
agency or Congress in connection with the award of any Federal contract, the making of any Federal grant or
loan, or entering into any cooperative agreement, including the extension, continuation, renewal, amendment or
modification of any Federal contract, grant, loan or cooperative agreement. Disclosure statements shall be
provided to the COUNTY.
CONSULTANT agrees to require all lower tier subconsultant s who have agreements exceeding $100,000 to
complete the Certification of Federal Contracts (ECS Form 90-1) and, when appropriate, the Disclosure of
Lobbying Activities (ECS Form 90-3) prior to execution of the Prime consultants Agreement with the COUNTY.
Lower tier certifications are to be maintained by CONSULTANT and shall be retained by CONSULTANT for a
period of three (3) years following the completion and acceptance of the project.
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SECTION 30 – FINAL/INCURRED COST AUDIT
A. Final/Incurred Cost Audit (ICA) of the CONSULTANT’s costs may be performed by MCDOT to
determine the Contract costs’ allowability, allocability, and reasonableness in accordance with the
terms of this Contract.
B. A CPA-prepared overhead schedule or a Cognizant Audit Report that meets ADOT/AASHTO/FHWA
guidelines is acceptable for establishing a given year’s overhead rate with the concurrence of
Maricopa County Department of Transportation (MCDOT).
C. Upon receipt of an ICA draft report, the CONSULTANT has 14 calendar days to respond to the
Incurred Cost Auditor with any disagreements, questions, or request for additional supporting
documentation. A time extension may be allowed, if requested in writing within the 14-day
timeframe, by the appropriate parties. Disagreements related to the results of the ICA draft report
shall be addressed or resolved with the Incurred Cost Auditor on or before the date of the formal
Exit Conference with the Incurred Cost Auditor and the CONSULTANT. Non-response to the draft
audit report after the 14-day timeframe and after the Exit Conference will be deemed by MCDOT
as the CONSULTANT’s acceptance of the findings in the draft report.
D. The appeal process for all Audit issues shall remain with MCDOT. The following table depicts the
escalation levels for Audit issues:
Level MCDOT CONSULTANT PROCUREMENT
1 Project Manager Project Manager Contract Services
Administrative Services
Division Manager Project Principal
2 Division Manager
Project Manager Project Manager
Contract Services
County Engineer
3 Division Manager Project Principal Chief Procurement Officer
Project Manager
The decision of the Chief Procurement Officer is final.
E. MCDOT or the CONSULTANT shall reimburse either party in accordance with the ICA results.
Failure of the CONSULTANT to reimburse MCDOT for over-billed charges based on the results of
the Pre-award Reviews or ICAs shall result in disqualification of the CONSULTANT.
SECTION 31 – REVIEWS AND INSPECTIONS
Representatives from the COUNTY and FHWA are authorized to review and inspect the Contract activities
and facilities during the CONSULTANT’s and its subconsultant’s normal business hours.
SECTION 32 – PROPERTY OR EQUIPMENT
Except as otherwise provided in this Contract, computer or other special equipment needed to fulfill this
Contract, shall be purchased through the MCDOT Procurement Group and considered as MCDOT property.
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The control, utilization and disposition of property or equipment acquired using Federal/State funds shall be
determined in accordance with the property management standards set forth in 49 CFR Part 18.
SECTION 33 – NONDISCRIMINATION
1. During the performance of this Contract, the CONSULTANT, for itself, its subconsultants,
assignees and successors shall:
a. Not discriminate on the basis of race, color, national origin, or sex and shall carry out
applicable requirements of 49 CFR Part 26 in the performance of this Contract. Failure by
the CONSULTANT to carry out these requirements is a material breach of this Contract,
which may result in the termination of this Contract, disqualification from proposing on other
Contracts or other remedy as the State deems appropriate.
b. Comply with Executive Order 2009-09, "Prohibition of Discrimination in Employment by
Government contractors and Subcontractors," which is hereby included in its entirety by
reference and considered a part of this Contract.
c. Comply with the provisions of Executive Order 11246, entitled "Equal Employment
Opportunity," as amended by Executive Order 11375, and as supplemented in Department
of Labor Regulations (41 CFR Part 60). Said provisions are made applicable by reference
and are hereinafter considered a part of this Contract.
d. Post in conspicuous places available to employees and applicants for employment, the
following notice:
“It is the policy of this company not to discriminate against any employee, or
applicant for employment, because of race, color, religion, creed, national origin, sex,
age, handicapped, or disabled veterans and Vietnam era veterans. Such actions shall
include, but are not limited to: employment, upgrading, demotion, transfer,
recruitment, or recruitment advertising; laying-off or termination; rates of pay or
other compensation; and selection for training, and on-the-job training. Also, it is the
policy to insure and maintain a working environment free of harassment, intimidation
and coercion.”
e. Comply with the Regulations relative to nondiscrimination in Federally assisted programs
of the U.S. Department of Transportation (hereinafter DOT), 49 CFR Part 21, as they may
be amended from time to time, (hereinafter referred to as the Regulations), which are herein
incorporated by reference and made a part of this Contract.
f. Comply with Appendix A and E of the Maricopa County Department of Transportation “Title
VI/Non-Discrimination Assurances” as found in Attachment 4 of this Contract.
g. Not discriminate on the grounds of race, color, sex, or national origin in the selection and
retention of subconsultants, including procurement of materials and leases of equipment.
The CONSULTANT shall not participate either directly or indirectly in the discrimination
prohibited by Section 21.5 of the Regulations, including employment practices.
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h. In all solicitations either by competitive bidding or negotiations made by the CONSULTANT
for work to be performed under a subcontract, including procurement of materials or leases
of equipment, notify each potential subconsultant or supplier of the CONSULTANT’s
obligations under this Contract and the Regulations relative to nondiscrimination on the
ground of race, color, or national origin.
i. Provide all information and reports required by the Regulations or directives issued
pursuant thereto, and shall permit access to its books, records, accounts, other sources of
information and its facilities as may be determined by the State to be pertinent to ascertain
compliance with such Regulations, orders and instructions. Where any information
required of a CONSULTANT is in the exclusive possession of another who fails or
refuses to furnish this information, the CONSULTANT shall so certify to the State as
appropriate and shall set forth what efforts it has made to obtain the information.
2. In the event of the CONSULTANT’s noncompliance with the NONDISCRIMINATION provision
(Section 33) of this Contract, the State shall impose such Contract sanctions as the State or FHWA
may determine to be appropriate, including but not limited to:
a. Withholding of payments to the CONSULTANT under the Contract until the CONSULTANT
complies, and/or;
b. Cancellation, termination, or suspension of the Contract, in whole or in part.
3. The CONSULTANT shall include the provisions of paragraph 1.a. through 1.i. in every subcontract
with subconsultants, DBEs and Non-DBEs, including procurement of materials and equipment
leases, unless exempt by the Regulations or directives issued pursuant thereto.
4. The CONSULTANT shall take such action with respect to any subconsultants or procurement as
the State or the Federal Aviation Administration (FAA), FHWA and the Federal Transit
Administration (FTA) may direct as a means of enforcing such provisions including sanctions for
noncompliance. Provided, however, that in the event the CONSULTANT becomes involved in or
is threatened with litigation with a subconsultant or supplier as a result of such direction, the
CONSULTANT may request the State to enter into such litigation to protect the interests of the
COUNTY, and in addition, the CONSULTANT may request the United States to enter into such
litigation to protect the interests of the United States.
SECTION 34 – AFFIRMATIVE ACTION (FOR FEDERAL-AID CONTRACTS)
CONSULTANT shall take the following affirmative action measures when securing supplies, equipment or
services under the terms of this contract:
A. Include qualified firms owned by socially and economically disadvantaged individuals on solicitation lists.
B. Assure that firms owned by socially and economically disadvantaged individuals are solicited whenever
they are potential sources.
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C. When economically feasible, divide total requirements into smaller tasks or quantities so as to permit
maximum participation by firms owned by socially and economically disadvantaged individuals.
D. If requirement permits, establish delivery schedules which will encourage participation by firms owned
by socially and economically disadvantaged individuals.
E. Use the services and assistance of ADOT DBE Supportive Services Program, the Small Business
Administration, the Office of Minority Business Enterprise of the Department of Commerce and the
Community Services Administration as needed.
SECTION 35 – PROFESSIONAL SERVICES DBE PROVISIONS
The Arizona Department of Transportation (hereinafter the Department) has established a
Disadvantaged Business Enterprise (DBE) program in accordance with the regulations of the Department
of Transportation (USDOT), 49 CFR Part 26. (See Exhibit 2 – Professional Services DBA
Provisions
A DBE Goal of 0% has been established for this contract. Prime consultants are encouraged to obtain DBE
participation above and beyond the goal on this contract. DBE goal attainment will be monitored to help
ensure that overall DBE goal is met on the contract. DBE availability is based on the Arizona UCP directory,
which can be searched by specialty and/or NAICS code at Home - AZ UTRACS
SECTION 36 – ENVIRONMENTAL PROTECTION
CONSULTANT is required to comply with all applicable standards, orders or requirements issued under Section
306 of the Clean Air Act (42 U.S.C. 1857(h), Section 508 of the Clean Water Act (33 U.S.C. 1368), Executive
Order 11738, and Environmental Protection Agency regulations (40 CFR Part 15) which prohibit the use under
non-exempt Federal contracts, grants or loans of facilities included on the EPA list of Violating Facilities.
Violations shall be reported to the Federal Highway Administration and to the U.S.E.P.A. Assistant Administrator
for Enforcement (EN-329).
SECTION 37 – ENERGY CONSERVATION
CONSULTANT is required to comply with mandatory standards and policies, as applicable, relating to energy
efficiency which are contained in the State Energy Conservation Plan issued by the State of Arizona in
compliance with the Energy Policy and Conservation Act (P.L. 94-163).
SECTION 38 – PATENTS AND COPYRIGHTS
All services, information, computer program elements, reports and other deliverables which might be
patented or copyrighted and created under this Contract are the property of the COUNTY and shall not
be used or released by the CONSULTANT or any other person except with the prior written approval by
the COUNTY.
SECTION 39 – FRAUD AND FALSE STATEMENTS
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The CONSULTANT understands that, if the project which is the subject of this Contract is financed in
whole or in part by federal funds, that if the undersigned, the company that the CONSULTANT represents,
or any employee or agent thereof, knowingly makes any false statement, representation, report or claim
as to the character, quality, quantity, or cost of material used or to be used, or quantity or quality work
performed or to be performed, or makes any false statement or representation of a material fact in any
statement, certificate, or report, the CONSULTANT and any company that the CONSULTANT represents
may be subject to prosecution under the provision of 18 USC §1001 and §1020.
SECTION 40 – FEDERAL IMMIGRATION AND NATIONALITY ACT
A. GENERAL
The CONSULTANT, including all subconsultants, shall comply with all federal, state and local
immigration laws and regulations, as set forth in Arizona Executive Order 2005-30, relating to the
immigration status of their employees who perform services on the Contract during the duration of
the Contract. The COUNTY shall retain the right to perform random audits of CONSULTANT and
subconsultants’ records or to inspect papers of any employee thereof to ensure compliance.
The CONSULTANT shall include the provisions of this Section in all its subcontracts. In addition,
the CONSULTANT shall require that all subconsultants comply with the provisions of this Section,
monitor such subconsultants’ compliance, and assist the COUNTY in any compliance verification
regarding its subconsultant(s).
B. COMPLIANCE REQUIREMENTS
The COUNTY retains the legal right to inspect the papers or records of the CONSULTANT and its
subconsultants who works on this Contract to ensure compliance with A.R.S. §41-4401,
Government Procurement, E-Verify Requirements; Sanctions.
By submission of an SOQ proposal, the CONSULTANT warrants that the CONSULTANT and all
proposed subconsultant(s) are and shall remain in compliance with:
1. All federal, state and local immigration laws and regulations relating to the immigration
status of their employees who perform services on the Contract; and
2. A.R.S. §23-214 (A) which states “After December 31, 2007, every employer, after hiring
an employee, shall verify the employment eligibility of the employee through the e-verify
program and shall keep a record of the verification for the duration of the employee’s
employment or at least three years, whichever is longer.”
A breach of a warranty regarding compliance with immigration laws and regulations shall be deemed
a material breach of the Contract, and the CONSULTANT and its subconsultant(s) are subject to
sanctions specified in Section D below.
Failure to comply with a COUNTY audit process to randomly verify the employment records of
CONSULTANT and subconsultants shall be deemed a material breach of the Contract, and the
CONSULTANT and subconsultants are subject to sanctions specified in Section D below.
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C. COMPLIANCE VERIFICATION
The COUNTY may, at its sole discretion, require evidence of compliance from the CONSULTANT
and its subconsultant(s).
Should the COUNTY request evidence of compliance, the CONSULTANT shall complete and return
the Consultant Employment Record Verification Form and Employee Verification Worksheet
provided by the COUNTY, no later than 21 days from receipt of the request for such information.
Listing of the compliance verification procedure specified above does not preclude the COUNTY
from utilizing other means to determine compliance.
The COUNTY retains the legal right to inspect the papers of any employee who works on the
Contract to ensure that the CONSULTANT and its subconsultant(s) is/are complying with the
warranty specified in this.
D. SANCTIONS FOR NONCOMPLIANCE
For purposes of this paragraph, noncompliance refers to either the CONSULTANTs or its
subconsultants’ failure to follow the immigration laws or to the CONSULTANT’s failure to provide
records when requested. Failure to comply with the immigration laws or to submit proof of
compliance constitutes a material breach of Contract. At a minimum, the COUNTY shall reduce the
CONSULTANT’s compensation by $10,000 for the initial instance of noncompliance by the
CONSULTANT or its subconsultant(s). If the same CONSULTANT or its subconsultant(s) is in
noncompliance within two (2) years from the initial noncompliance, the CONSULTANT’s
compensation shall be reduced by a minimum of $10,000 for each instance of noncompliance. The
third instance by the same CONSULTANT or its Subconsultant(s) within a two (2) year period may
result in addition to the minimum $50,000 reduction in compensation, in removal of the offending
CONSULTANT or its subconsultant(s), suspension of work in whole or in part or, in the case of a
third violation by the CONSULTANT, termination of the Contract for default. Instances of
noncompliance are counted on a firm-wide basis, not on a contract-by-contract basis.
In addition, the COUNTY may declare the CONSULTANT or its subconsultant(s) who is in
noncompliance three times within a two (2) year period ineligible to perform on any COUNTY
Contract for up to one (1) year. For purposes of considering a declaration of ineligibility: (1)
noncompliance by a subconsultant does not count as a violation by the CONSULTANT; and (2) the
COUNTY shall count instances of noncompliance on other COUNTY Contracts.
The sanctions described herein are the minimum sanctions. In case of major violations, the
COUNTY reserves the right to impose any sanctions including and up to termination and debarment,
regardless of the number of instances of non-compliance.
Any delay resulting from compliance verification or a sanction under this subsection is a non-
excusable delay. The CONSULTANT is not entitled to any compensation or extension of time for
any delays or additional costs resulting from compliance verification or a sanction under this Section.
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An example of the minimum sanctions under this subsection is presented in the table below:
Offense by:
Minimum Reduction
in Compensation
Consultant Subconsultant A Subconsultant B
First $10,000
First $10,000
Second $50,000
First $10,000
Third $50,000*
* May, in addition, result in removal and debarment of the subconsultant.
SECTION 41 – PANDEMIC CONTRACTUAL PERFORMANCE
A. The COUNTY shall require a written plan that illustrates how the CONSULTANT shall perform up to
contractual standards in the event of a pandemic. The COUNTY may require a copy of the plan at
any time prior to or at post-award phase of the Contract. At a minimum, the pandemic performance
plan shall include:
1. Key succession and performance planning if there is a sudden significant decrease in the
CONSULTANT’s workforce.
2. Alternative methods to ensure adequate work force.
3. An updated list of the CONSULTANT’s contacts and organizational chart.
B. In the event of a pandemic, as declared by the Governor of Arizona, U.S. Government or the
World Health Organization (WHO), which makes performance of any term under this Contract
impossible or impracticable, the COUNTY shall have the following rights:
1. After the official declaration of a pandemic, the COUNTY may temporarily place the
Contract(s) on “HOLD,” in whole or in part, if the CONSULTANT cannot perform to the
standards agreed upon in the initial terms.
2. The COUNTY shall not incur any liability if a pandemic is declared and emergency
procurements are authorized by the Chief Procurement Officer pursuant to MC1-353 of the
Maricopa County Procurement Code.
3. Once the pandemic is officially declared over or the CONSULTANT can demonstrate the
ability to perform, the COUNTY, at its sole discretion may reinstate the temporarily voided
Contract(s).
C. The COUNTY, at any time, may request to see a copy of the written plan from the CONSULTANT.
The CONSULTANT shall produce the written plan within 72 hours of the request.
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SECTION 42 – PERFORMANCE EVALUATIONS
This component has been temporarily paused.
SECTION 43 – CONTRACT COMPLETION
When technical review establishes that all phases of the Contract have been completed to the satisfaction
of the COUNTY, a written concurrence is completed and signed by the COUNTY to initiate the Contract
closeout phase. The CONSULTANT is notified, in writing, of the final closeout procedure which may include
submittal of the final Payment Report, deliverables and the final audit, if applicable, of the CONSULTANT
and all subconsultant’s records. The CONSULTANT shall submit all required deliverables as detailed in the
Contract.
SECTION 44 – INFLUENCE
As prescribed in MC1-1203 of the Maricopa COUNTY Procurement Code, any effort to influence an
employee or agent to breach the Maricopa County Ethical Code of Conduct or any ethical conduct, may be
grounds for Disbarment or Suspension under MC1-902.
An attempt to influence includes, but is not limited to:
A Person offering or providing a gratuity, gift, tip, present, donation, money, entertainment or educational
passes or tickets, or any type of valuable contribution or subsidy,
That is offered or given with the intent to influence a decision, obtain a contract, garner favorable treatment,
or gain favorable consideration of any kind.
If a Person attempts to influence any employee or agent of Maricopa County, the Chief Procurement Officer,
or his designee, reserves the right to seek any remedy provided by the Maricopa County Procurement Code,
any remedy in equity or in the law, or any remedy provided by this contract.
SECTION 45 – INSURANCE REQUIREMENTS
CONSULTANT, at CONSULTANT's own expense, shall purchase and maintain the herein stipulated
minimum insurance from a company or companies duly licensed by the State of Arizona and possessing a
current A.M. Best, Inc. rating of A7. In lieu of State of Arizona licensing, the stipulated insurance may be
purchased from a company or companies, which are authorized to do business in the State of Arizona,
provided that said insurance companies meet the approval of COUNTY. The form of any insurance policies
and forms must be acceptable to COUNTY.
All insurance required herein shall be maintained in full force and effect until all work or service required to
be performed under the terms of the contract is satisfactorily completed and formally accepted. Failure to do
so may, at the sole discretion of COUNTY, constitute a material breach of this contract.
CONSULTANT’s insurance shall be primary insurance as respects COUNTY, and any insurance or self-
insurance maintained by COUNTY shall not contribute to it.
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CONSULTANTS’ certificate(s) shall include all subconsultants as insured under its policies or the
CONSULTANT shall furnish to MCDOT separate certificates and endorsements for each subconsultant. All
coverages for subconsultants shall be subject to the minimum requirements identified for the CONSULTANT.
The State of Arizona reserves the right to require complete copies of all insurance policies required by this
Contract at any time.
Any failure to comply with the claim reporting provisions of the insurance policies or any breach of an
insurance policy warranty shall not affect the COUNTY’s right to coverage afforded under the insurance
policies.
The insurance policies may provide coverage that contains deductibles or self-insured retentions. Such
deductible and/or self-insured retentions shall not be applicable with respect to the coverage provided to
COUNTY under such policies. CONSULTANT shall be solely responsible for the deductible and/or self-
insured retention and COUNTY, at its option, may require CONSULTANT to secure payment of such
deductibles or self-insured retentions by a surety bond or an irrevocable and unconditional letter of credit.
COUNTY reserves the right to request and to receive, within 10 working days, certified copies of any or all of
the herein required insurance policies and/or endorsements. COUNTY shall not be obligated, however, to
review such policies and/or endorsements or to advise CONSULTANT of any deficiencies in such policies
and endorsements, and such receipt shall not relieve CONSULTANT from, or be deemed a waiver of
COUNTY’s right to insist on strict fulfillment of CONSULTANT’s obligations under this contract.
The insurance policies required by this contract, except Workers’ Compensation, and Errors and Omissions,
shall name COUNTY, its agents, representatives, officers, directors, officials, employees, Arizona
Department of Transportation, and State of Arizona as Additional Insureds.
The policies required hereunder, except Workers’ Compensation, and Errors and Omissions, shall contain a
waiver of transfer of rights of recovery (subrogation) against COUNTY, its agents, representatives, officers,
directors, officials and employees for any claims arising out of CONSULTANT’s work or service.
CONSULTANT is required to procure and maintain the following coverages:
1. Commercial General Liability. Commercial General Liability insurance and, if necessary,
Commercial Umbrella insurance with a limit of not less than $2,000,000 for each occurrence,
$4,000,000 Products/Completed Operations Aggregate, $2,000,000 Personal & Advertising Injury,
and $4,000,000 General Aggregate Limit. The policy shall include coverage for bodily injury, broad
form property damage, personal injury, products and completed operations and blanket contractual
coverage, and shall not contain any provision which would serve to limit third party action over claims.
There shall be no endorsement or modification of the CGL limiting the scope of coverage for liability
arising from explosion, collapse, or underground property damage.
2. Automobile Liability. Commercial/Business Automobile Liability insurance and, if unnecessary,
Commercial Umbrella insurance with a combined single limit for bodily injury and property damage
of not less than $2,000,000 each occurrence with respect to any of the CONSULTANT’s owned,
hired, and non-owned vehicles assigned to or used in performance of the CONSULTANT’s work or
services under this contract.
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3. Workers’ Compensation. Workers’ Compensation insurance to cover obligations imposed by
federal and state statutes having jurisdiction of CONSULTANT’s employees engaged in the
performance of the work or services under this contract; and Employer’s Liability insurance of not
less than $1,000,000 for each accident, $1,000,000 disease for each employee, and $1,000,000
disease policy limit.
CONSULTANT waives all rights against COUNTY and its agents, officers, directors and employees
for recovery of damages to the extent these damages are covered by the Workers’ Compensation
and Employer’s Liability or commercial umbrella liability insurance obtained by CONSULTANT
pursuant to this agreement.
4. Errors and Omissions Insurance. Errors and Omissions insurance and, if necessary, Commercial
Umbrella insurance, which will insure and provide coverage for errors or omissions of the
CONSULTANT, with limits of no less than $2,000,000 for each claim.
CERTIFICATES OF INSURANCE
Prior to commencing work or services under this contract, CONSULTANT shall furnish COUNTY with
Certificates of Insurance in a form acceptable to COUNTY, or formal endorsements as required by the
contract in the form provided by the COUNTY, issued by CONSULTANT’s insurer(s), as evidence that
policies providing the required coverages, conditions and limits required by this contract are in full force and
effect. Such certificates shall identify this contract number and title.
In the event any insurance policy(ies) required by this contract is (are) written on a “claims made” basis,
coverage shall extend for two years past completion and acceptance of CONSULTANT’s work or services
and as evidenced by annual Certificates of Insurance.
If a policy does expire during the life of the contract, a renewal certificate must be sent to COUNTY fifteen
(15) days prior to the expiration date.
CANCELLATION AND EXPIRATION NOTICE
Insurance required herein shall not expire, be canceled, or materially changed without thirty (30) days prior
written notice to COUNTY.
SECTION 46 – TITLE VI
The Maricopa County Department of Transportation, in accordance with the provisions of Title VI of the Civil
Rights Act of 1964 (78 Stat. 252.42 U.S.C. §§ 2000d to 2000d-4) and the Regulations, hereby notifies all
advertisement, disadvantaged business enterprises will be afforded full and fair opportunity to submit bids in
response to this invitation and will not be discriminated against on the grounds of race, color, or national
origin in consideration for an award.
SECTION 47 – FORCE MAJEURE
Neither party shall be liable for failure of performance, nor incur any liability to the other party on account of
any loss or damage resulting from any delay or failure to perform all or any part of this contract, if such delay
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or failure is caused by events, occurrences, or causes beyond the reasonable control and without negligence
of the parties. Such events, occurrences, or causes will include acts of God/nature (including fire, flood,
earthquake, storm, hurricane, or other natural disaster), war, invasion, act of foreign enemies, hostilities
(whether war is declared or not), civil war, riots, rebellion, revolution, insurrection, military or usurped power
or confiscation, terrorist activities, nationalization, government sanction, lockout, blockage, embargo, labor
dispute, strike, and interruption or failure of electricity or telecommunication service.
Each party, as applicable, shall give the other party notice of its inability to perform and particulars in
reasonable detail of the cause of the inability. Each party must use best efforts to remedy the situation and
remove, as soon as practicable, the cause of its inability to perform or comply.
The party asserting Force Majeure as a cause for non-performance shall have the burden of proving that
reasonable steps were taken to minimize delay or damages caused by foreseeable events, that all non-
excused obligations were substantially fulfilled, and that the other party was timely notified of the likelihood
or actual occurrence which would justify such an assertion, so that other prudent precautions could be
contemplated.
SECTION 48 – FORCE LABOR
By submitting a bid for this solicitation and/or entering into a contract as a result of this solicitation,
CONSULTANT agrees to comply with all applicable portions of Arizona Revised Statutes Section 35-394.
Contracting; procurement; prohibition; written certification; remedy; termination; exception; definitions.
CONSULTANT certifies that it does not currently, and agrees for the duration of the contract, that it will not
use:
1. The forced labor of ethnic Uyghurs in the People’s Republic of China.
Any goods or services produced by the forced labor of ethnic Uyghurs in the People’s
Republic of China.
2. Any CONSULTANT, subconsultant or suppliers that use the forced labor or any good or
services produced by the forced labor of ethnic Uyghurs in the People’s Republic of China.
If CONSULTANT becomes aware during the term of the agreement that CONSULTANT is not in compliance
with this paragraph, the CONSULTANT shall notify the COUNTY within five business days after becoming
aware of the noncompliance. If the CONSULTANT fails to provide a written certification to the COUNTY that
the contractor has remedied the noncompliance within 180 days after notifying the COUNTY of its
noncompliance, then the agreement terminates, except that if the agreement termination date occurs before
the end the 180-day period, the agreement terminates on the agreement termination date.
SECTION 49 – COMPLIANCE WITH WEB CONTENT ACCESSIBILITY GUIDELINES (WCAG)
Consultant agrees and warrants that all of its web content services and products and all of its mobile apps
services and products, covered under this contract, and in all languages provided, comply with Level A and
Level AA success criteria and conformance requirements specified in the Web Content Accessibility
Guidelines (WCAG) 2.1(AA) or will be modified to be compliant prior to delivery or installation to County.
Consultant further agrees and warrants that all web content services and products and all mobile apps
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services and products, in all languages provided, shall remain in full compliance with the above WCAG
success criteria and conformance requirements during the term of the contract. Consultant agrees to
immediately notify County in the event it becomes aware that any web content services and products or any
mobile apps services and products provided under this Contract become non-compliant with the above
WCAG success criteria and conformance requirements, if applicable. In such an event, Consultant agrees it
will work to remediate any identified compliance deficiencies and will notify County concerning the estimated
remediation completion date. Upon request, Consultant shall provide County with documentation, including
but not limited to a third-party assessment certificate, substantiating compliance of the services or products
with the above WCAG success criteria and conformance requirements and any other applicable
governmental regulations regarding accessibility. Non-compliance with the above WCAG success criteria
and conformance requirements will be deemed a material breach of the contract and the County may
immediately terminate the contract or impose other legal remedies at the County’s discretion, including
suspension of services and/or products. The County reserves the right to audit Contractor’s compliance with
the above WCAG success criteria and conformance requirements. The Consultant will indemnify, defend,
and hold harmless the County against any third-party claims arising from the Consultant’s non-compliance
with the above WCAG success criteria and conformance requirements.
(END OF SECTION)
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In WITNESS WHEREOF, the parties herein have executed this Contract.
CONSULTANT ENGINEERING, INC.
Principal of the Firm
Printed Name
Sr. Vice President
Title
8/18/2026
Date
86-0821774
Tax Identification Number
MARICOPA COUNTY DEPARTMENT OF TRANSPORTATION
RECOMMENDED BY
8/21/2026
By
Jesse Gutierrez, P.E. Date
Transportation Director/County Engineer
Approved as to form and within the powers and authority granted under the laws of the State of Arizona to
the Maricopa County Department of Transportation.
8/26/2026
Deputy County Attorney Date
ACCEPTED AND APPROVED
By
Chair, Board of Supervisors Date
ATTEST
By
Clerk of the Board Date

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All Exhibits and Attachments attached hereto and incorporated herein are made part of this Contract.
EXHIBIT 1 – CONSTRUCTION AND PROFESSIONAL SERVICES/DESIGN CONTRACTS
PROMPT PAY AND PAYMENT REPORTING PROVISIONS
(08/11/2026)
MEASUREMENTS AND PAYMENT:
(A) Partial Payments:
If satisfactory progress is being made, the contractor shall receive a payment based on the amount of work
completed. Progress payments may be made by the LPA/Subrecipient Procurement Office to the contractor
on the basis of an approved estimate of the work performed during a preceding period of time. The progress
payments will be paid on or before 14 days after the estimate of the work is approved. The estimate of the
work will be deemed received by the LPA/Subrecipient Procurement Office on submission to the person
designated by the LPA/Subrecipient Procurement Office for the submission, review or approval of the
estimate of the work. The LPA/Subrecipient Procurement Office by mutual agreement may make progress
payments on contracts of less than 90 days and will make monthly progress payments on all other contracts.
Payment to the contractor on the basis of a duly certified and approved estimate of the work performed during
the preceding calendar month under the contract may include payment for material and equipment.
An estimate of the work submitted will be deemed approved and certified for payment after seven days from
the date of submission unless before that time the LPA/Subrecipient Procurement Office or Designee
prepares and issues a specific written finding setting forth those items in detail in the estimate of the work
that are not approved for payment under the contract. The contractor shall work with the LPA/Subrecipient
or the LPA/Subrecipient Designee to finalize monthly estimate. The progress payments will be paid on or
before 14 days after the estimate of the work is certified and approved in accordance with Arizona Revised
Statutes Section 34-221.
The contractor shall pay to the contractor's subcontractors or material suppliers and each subcontractor shall
pay to the subcontractor's subcontractor or material supplier, within seven days of receipt of each progress
payment the respective amounts allowed the contractor or subcontractor on account of the work performed
by the subcontractors, to the extent of each subcontractor's interest.
No contract for construction services may materially alter the rights of any contractor, subcontractor, or
material supplier to receive prompt and timely payment.
A subcontractor may notify the LPA/Subrecipient Procurement Office in writing requesting that the
subcontractor be notified by the Subrecipient Procurement Office in writing within five days from payment of
each progress payment made to the contractor.
(B) No Retainage on Progress Payments:
(1) This is a federally-funded project. Therefore, notwithstanding A.R.S. § 34-221, the
LPA/Subrecipient Procurement Office will not withhold retainage from progress payments.
Neither the contractor, nor the subcontractor of any tier, may withhold any retainage on
progress payments to subcontractors or suppliers of any tier.
(2) This provision does not prevent the LPA/Subrecipient Procurement Office from withholding
retainage or reducing payments where otherwise provided in the contract. These cases may
include, but are not limited to:
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(a) Delayed work;
(b) Work that is not satisfactorily performed; or
(c) A failure to submit necessary reports, certifications, or documents to the
LPA/Subrecipient Procurement Office.
(C) Subcontractor Payments:
(1) No Retainage:
(a) This is a federally-funded project. Therefore, notwithstanding A.R.S. § 34-221,
neither the contractor, nor the subcontractor of any tier, may withhold any retainage
on progress payments to subcontractors or suppliers of any tier.
(b) Pursuant to Subsection (B)(2) of this Specification, the contract does not prevent
the LPA/Subrecipient Procurement Office from withholding retainage or reducing
payments where otherwise provided in the contract. These cases may include, but
are not limited to:
(i) Delayed work;
(ii) Work that is not satisfactorily performed; or
(iii) A failure to submit necessary reports, certifications, or documents to the
LPA/Subrecipient Procurement Office.
(c) When the LPA/Subrecipient Procurement Office withholds retainage or reduces
payments under Subsection (B)(2) of this Specification, the contractor may withhold
retainage on progress payments to subcontractors or suppliers of any tier. However,
the contractor may only withhold a reasonable amount of retainage.
(d) For the purpose of this section, a “reasonable amount” of retainage is based on the
subcontractor’s involvement or the supplier’s involvement in the cause for the
LPA/Subrecipient Procurement Office’s reduction of payment. The final amount
retained from all subcontractors and suppliers shall not be higher than the amount
retained by the LPA/Subrecipient. However, tier subcontracts shall include
provisions that comply with this section.
(2) No Set-offs Arising from Other Contracts:
If a subcontractor is performing work on multiple contracts for the same contractor or
subcontractor of any tier, the contractor or subcontractor of any tier shall not withhold or
reduce payment from its subcontractors on the contract because of disputes or claims on
another contract.
(3) Partial Payment:
The contractor and each subcontractor of any tier shall make prompt partial payments to its
subcontractors within seven days of receipt of payment from the LPA/Subrecipient
Procurement Office. Notwithstanding any provision of Arizona Revised Statutes Section 34-
221, the parties may not agree otherwise.
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(4) Final Payment:
The contractor and each subcontractor of any tier shall make prompt final payment to each
of its subcontractors. The contractor and each subcontractor of any tier shall pay all monies,
including retention, due to its subcontractor within seven days of receipt of payment.
Notwithstanding any provision of Arizona Revised Statutes Section 34-221, the parties may
not agree otherwise.
(5) Payment Reporting:
For the purposes of this subsection “Reportable Contracts” means any subcontract, of any
tier, DBE or non-DBE, by which work shall be performed on behalf of the contractor and any
contract of any tier with a DBE material supplier.
The requirements of this subsection apply to all Reportable Contracts.
Payment Reporting for all Reportable Contracts shall be done through the LPA DBE System
which can be accessed at AZ UTRACS on the Arizona Transportation Business Portal at
www.azutracs.com. No later than fifteen calendar days after the preconstruction conference,
the contractor shall log into the system and enter or verify the name, contact information,
and subcontract amounts for Reportable Contracts on the project. As Reportable Contracts
are approved over the course of the contract, the contractor shall enter the subcontractor
information in the LPA DBE System. Reportable contracts information shall be entered into
the system no later than five calendar days after approval by the LPA/Subrecipient
Procurement Office.
The contractor shall report on a monthly basis indicating the amounts actually paid and the
dates of each payment under any Reportable Contract on the project. The contractor shall
provide information for payments made on all Reportable Contracts during the previous
month by the last day of the current month. In the event that no payments were made during
a given month, the contractor shall identify that by entering a dollar value of zero. If the
contractor does not pay the full amount of any invoice from a subcontractor, the contractor
shall note that and provide the reasons in the comment section of the Monthly Payment
Audit of the LPA DBE System.
In addition, the contractor shall require that all participants in any Reportable Contract
electronically verify receipt of payment on the contract within 15 days of receipt of electronic
payment notification and the contractor shall actively monitor the system to ensure that the
verifications are input. The contractor shall proactively work to resolve any payment
discrepancies in the system between payment amounts it reports and payment confirmation
amounts reported by others.
The contractor shall ensure that all Reportable Contract payment activity is in the LPA DBE
System. This includes all lower-tier Reportable Contracts.
The contractor shall maintain records for each payment explaining the amount requested by
the subcontractor, and the amount actually paid pursuant to the request, which may include
but are not limited to, estimates, invoices, pay requests, copies of checks or wire transfers,
and lien waivers in support of the monthly payments in the system.
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The contractor shall ensure that a copy of this Subsection is included in every Reportable
Contract of every tier.
(a) Sanctions for Inadequate Reporting:
For each month that the contractor fails to submit timely and complete payment
information the LPA/Subrecipient Procurement Office will retain $5,000 as sanctions
from the monies due to the contractor. After 90 consecutive days of non-reporting,
the sanctions will increase to $10,000 for each subsequent month which the
contractor fails to report until the information is provided. These sanctions will be in
addition to all other retention or liquidated damages provided for elsewhere in the
contract.
(6) Completion of Work:
A subcontractor's work is satisfactorily completed when all the tasks called for in the
subcontract have been accomplished, documented, and accepted by the LPA/Subrecipient
Procurement Office.
(7) Disputes:
If there is a discrepancy between what is reported by the contractor in the LPA DBE System
and what the subcontractor indicates, an alert email will automatically be sent to the
contractor. The email will be sent to the email address provided by the contractor in the LPA
DBE System. It is the contractor’s responsibility to ensure that the email address in the
system is kept current.
The contractor shall provide a verifiable explanation of the discrepancy in the LPA DBE
System as early as practicable but in no case later than seven days after the date of the
alert email.
The LPA/Subrecipient will determine whether the contractor has acted in good faith
concerning any such explanations. The LPA/Subrecipient and ADOT SBWD reserves the
right to request and receive documents from the contractor and all subcontractors of any
tier, in order to determine whether prompt payment requirements are met.
The contractor shall implement and use the dispute resolution process outlined in the
subcontract or by following the LPA/Subcrecipient escalation process, to resolve payment
disputes.
(8) Non-compliance:
Failure to make prompt partial payment, or prompt final payment including any retention,
within the time frames established above, will result in remedies, as the LPA/Subrecipient
Procurement Office deems appropriate, which may include but are not limited to:
(a) Sanctions: These sanctions will be in addition to all other retention or liquidated
damages provided for elsewhere in the contract.
(i) The LPA/Subrecipient Procurement Office will withhold two times the
disputed dollar amount not paid to each subcontractor.
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(ii) If full payment is made within 30 days of the LPASubrecipient Procurement
Office’s payment to the contractor, the amount withheld by the
LPA/Subrecipient Procurement Office will be released.
(iii) If full payment is made after 30 days of the LPA/Subrecipient Procurement
Office’s payment to the contractor, the LPA/Subrecipient Procurement
Office will release 75 percent of the funds withheld. The LPA/Subrecipient
Procurement Office will retain 25 percent of the monies withheld as
sanctions.
(b) Additional Remedies. If the contractor fails to make prompt payment for three
consecutive months, or any four months over the course of one project, or if the
contractor fails to make prompt payment on two or more projects within 24 months,
the LPA/Subrecipient Procurement Office may, in addition, invoke the following
remedies:
(i) Withhold monthly progress payments until the issue is resolved and full
payment has been made to all subcontractors, subject to the sanctions
described in paragraph (a) above,
(ii) Terminate the contract for default,
(iii) Disqualify the contractor from future bidding, temporarily or
(iv) permanently, depending on the number and severity of violations, if
applicable.
In determining whether sanctions will be assessed, the extent of the sanctions, or
additional remedies assessed, the LPA/Subrecipient will consider whether there
have been other violations on this or other contracts, whether the failure to make
prompt payment was due to circumstances beyond the contractor’s control, and
other circumstances. The contractor may, within 15 calendar days of receipt of the
decision of the LPA/Subrecipient, escalate the decision according to the contract’s
escalation process.
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EXHIBIT 2 – PROFESSIONAL SERVICES DBE PROVISIONS
(PROJECT SPECIFIC - CONTRACTS)
FOR USE ON LPA/SUBRECIPIENT FEDERAL AID PROJECTS WITHOUT DBE GOALS
(LPA PS EPRISE, 08/11/2026)
DISADVANTAGED BUSINESS ENTERPRISES:
1.0 Policy:
The Arizona Department of Transportation (hereinafter the Department) has established a Disadvantaged
Business Enterprise (DBE) program in accordance with the regulations of the U.S. Department of
Transportation (USDOT), 49 Code of Federal Regulations Part 26 (49 CFR Part 26), as revised by the
USDOT DBE Interim Final Rule (IFR) issued October 3, 2025 (hereinafter referred to as IFR). The
Department has received Federal financial assistance from the U.S. Department of Transportation and as a
condition of receiving this assistance, the Department has signed an assurance that it will comply with 49
CFR Part 26, as revised by the IFR.
It is the policy of the Department to ensure that DBEs (hereinafter DBE or DBE firm), as defined in Part 26,
have an equal opportunity to receive and participate in USDOT-assisted contracts. It is also the policy of the
Department:
(A) To ensure nondiscrimination in the award and administration of USDOT-assisted contracts;
(B) To create a level playing field on which DBEs can compete fairly for USDOT-assisted
contracts;
(C) To ensure that the DBE program operates in a nondiscriminatory manner and without regard
to race or sex, while maximizing efficiency of service;
(D) To ensure that only firms that fully meet 49 CFR Part 26 eligibility standards are counted as
DBEs;
(E) To help remove barriers to the participation of DBEs in USDOT-assisted contracts;
(F) To assist in the development of firms that can compete successfully in the market place
outside the DBE program; and
(G) To promote the use of DBEs in all types of federally-assisted contracts and procurement
activities.
It is also the policy of the Department to facilitate and encourage participation of Small Business Concerns
(SBCs), as defined herein, in USDOT-assisted contracts. The Department encourages consultants
(hereinafter referred to as proposer or consultant or prime consultant) to take reasonable steps to eliminate
obstacles to SBCs’ participation and to utilize SBCs in performing contracts.
Local Public Agencies (LPA) and or Subrecipients of Federal financial assistance will administer and manage
the contracts from advertising, consultant selection, negotiation, contract execution, processing payment
reports and contract modifications, audits, DBE compliance (e.g., reporting and monitoring) through contract
closeout.
2.0 Assurances of Non-Discrimination:
The consultant, subrecipient, or subconsultant shall not discriminate on the basis of race, color, sex or
national origin in the performance of this contract. The consultant shall carry out applicable requirements of
49 CFR Part 26 as revised by the IFR in the award and administration of DOT-assisted contracts. Failure by
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the consultant to carry out these requirements is a material breach of this contract, which may result in the
termination of this contract or such other remedy as the the LPA/Subrecipient with the Department’s
concurrence deems appropriate, which may include, but are not limited to:
(A) Withholding monthly progress payments;
(B) Assessing sanctions;
(C) Liquidated damages;
(D) Disqualifying the consultant from submitting SOQs, or any other forms of proposals, as non-
responsible;
(E) Cancellation, termination, or suspension of the Contract, in whole or in part.
The consultant, subrecipient, or subconsultant shall ensure that all subcontract agreements contain this non-
discrimination assurance.
3.0 Definitions:
(A) Commercially Useful Function (CUF): Commercially Useful Function is defined in 49 CFR
26.55.,That definition is incorporated herein by reference.
(B) Disadvantaged Business Enterprise (DBE): A DBE, as defined in 49 CFR Part 26.5, is a
for-profit small business concern which meets both of the following requirements:
(1) Is at least 51 percent owned by one or more individuals who are both socially and
economically disadvantaged; and,
(2) Whose management and daily business operations are controlled by one or more
of the socially and economically disadvantaged individuals who own it.
(C) NAICS Code: The North American Industry Classification System (NAICS) is the standard
used by Federal statistical agencies in classifying business establishments for the purpose
of collecting, analyzing, and publishing statistical data related to the U.S. business economy.
(D) Non-DBE: Any firm that is not a DBE.
(E) DBE-Conscious (DC): a measure or program that is focused specifically on assisting only
DBEs.
(F) DBE-Neutral (DN): a measure or program that is, or can be, used to assist all small
businesses.
(G) Small Business Concern (SBC): a business that meets all of the following conditions:
(1) Operates as a for-profit business;
(2) Operates a place of business primarily within the U.S., or makes a significant
contribution to the U.S. economy through payment of taxes or use of American
products, materials, or labor;
(3) Is independently owned and operated;
(4) Is not dominant in its field on a national basis; and
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(5) Does not have annual gross receipts that exceed the Small Business Administration
size standards average annual income criteria for its primary North American
Industry Classification System (NAICS) code.
(H) Socially and Economically Disadvantaged Individuals: Socially and Economically
Disadvantaged Individuals is defined in 49 CFR Part 26.5, as revised by the IFR. That
definition is incorporated here.
(1) Any individual who is a citizen (or lawfully admitted permanent resident) of the
United States and who a certifier finds to be socially and economically
disadvantaged on an individual basis.
(2) A determination that an individual is socially and economically disadvantaged must
not be based in whole or in part on race or sex. For that reason, all applicants shall
qualify as socially and economically disadvantaged if they can demonstrate that
they can meet the relevant criteria described in 49 CFR Part 26.67.
(3) Being born in a particular country does not, standing alone, mean that a person is
necessarily socially and economically disadvantaged
4.0 Working with DBEs:
The Department works with DBEs and assists them in their efforts to participate in the highway construction
program. All proposers should contact the Department’s Small Business and Workforce Development
(SBWD) by phone, through email, or at the address shown below, for assistance in their efforts to use DBEs
in the highway construction industry. SBWD contact information is as follows:
Arizona Department of Transportation
Small Business and Workforce Development
1801 W. Jefferson St, Suite 101, Mail Drop 154A
Phoenix, AZ 85007
Phone (602) 712-7761
Email: LPAContractManagement@azdot.gov
Website : https://azdot.gov/business/small-business-and-workforce-development
4.01 Business Development Program
The Department has established the Business Development Program as an initiative to encourage and
develop disadvantaged businesses in the highway construction industry. The Department is committed to
providing new, emerging, developmental and transitional DBEs with general and firm-specific training and
technical assistance. The Department intends for this assistance to aid DBEs to become competitive within
the heavy highway and construction industry market places. In particular, the Department’s Small Business
Services (SBS) is designed to work in collaboration with stakeholder organizations (including departments
and agencies of State and Federal Governments, small business organizations, tribal governments, profit
and nonprofit corporations) to help DBEs to successfully compete for highway construction projects and
become self-sufficient. The program provides educational opportunities for DBEs regarding current market
conditions, federal regulatory compliance, and best business practices. These efforts are reinforced with one-
on-one business counseling for DBEs certified in areas that directly support Federal-aid highway projects,
small group workshops, conferences, business expositions, regular in-person training opportunities, and
regular virtual training opportunities. For guidance regarding this program, refer to the Business Development
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Program Guidelines available on the SBWD website at https://azdot.gov/business/small-business-and-
workforce-development/dbe-supportive-services/business-development-program/disadvantaged-business-
enterprise-dbe-program/dbe.
The Business Development Program is intended to increase legitimate DBE activities. The program operates
in conformity with the Federal DBE rules and regulations. The Department’s DBE/SS participants may not
circumvent the Federal DBE rules or regulations.
5.0 Applicability:
During the transition period, the IFR provides that until the Arizona Unified Certification Program (UCP)
completes the recertification process, the Department may not 1) set any DBE contract goals or 2) count any
participation towards its overall DBE goal.
The Department has established an overall annual goal for DBE participation on Federal-aid contracts. The
Department intends for the goal to be met with a combination of DBE conscious efforts and DBE neutral
efforts once the DBE recertification process is completed in accordance with the IFR. DBE conscious
participation occurs when the consultant uses a percentage of DBEs, as defined herein, to meet the contract-
specified goal. DBE neutral efforts are those that are, or can be, used to assist all small businesses or
increase opportunities for all small businesses. The regulation, 49 CFR 26, as revised by the IFR describes
DBE neutral as when a DBE wins a prime contract through customary competitive procurement procedures
or is awarded a subcontract on a prime contract that does not carry a DBE contract goal.
The DBE provisions are applicable to all consultants.
6.0 Certification and Registration:
6.01 DBE Certification:
Certification as a DBE shall be predicated on:
(A) The completion and execution of an application for certification as a "Disadvantaged
Business Enterprise."
(B) The submission of documents pertaining to the firm(s) as stated in the application(s),
including but not limited to a statement of social disadvantage and a personal financial
statement.
(C) The submission of any additional information which the Department or the applicable
Arizona Unified Certification (UCP) agency may require to determine the firm's eligibility to
participate in the DBE program.
(D) The information obtained during the on-site visits to the offices of the firm and to active job-
sites.
Application Submission. Applications for Disadvantaged Business Enterprise (DBE) certification may be filed
online with the Department or the applicable UCP agency at any time through the Arizona Unified
Transportation Registration and Certification System (AZ UTRACS) website at
http://utracs.azdot.gov/Home/.
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Implementation of Revised Federal Standards. Effective October 3, 2025, all certification applications and
renewals shall be reviewed and processed in accordance with the 49 CFR Part 26 as revised by the IFR.
The revised rule modifies certification standards, documentation, and evidentiary requirements applicable to
determinations of social and economic disadvantage, business size, ownership, and control.
Transition Period. During the transition period in which the Department and participating UCP agencies are
updating internal procedures and the AZ UTRACS system to implement the revised rule, certification
applications may continue to be submitted through the existing online platform. Applicants submitting
applications during this period may be required to furnish additional or supplemental documentation
consistent with the revised certification criteria upon system update or upon request by the certifying agency.
All applicants, whether filing initial or renewal applications, shall comply with any new or amended federal
documentation requirements that become effective under 49 CFR Part 26 as revised by the IFR, including
but not limited to personal narrative statements, financial disclosures, and supporting affidavits required to
demonstrate eligibility under the revised standards.
The Department is a member of the AZ Unified Certification Program (AZUCP). During the transition period,
the list of firms listed in AZ UTRACS were certified prior to October 3, 2025, not in accordance with the IFR,
and therefore do not count for DBE credit, unless otherwise noted in AZ UTRACS. The list indicates contact
information and specialty for each DBE firm, and may be sorted in a variety of ways. However, the Department
does not guarantee the accuracy and/or completeness of this information, nor does the Department represent
that any licenses or registrations are appropriate for the work to be done.
The Department’s certification of a DBE is not a representation of qualifications and/or abilities nor does it
mean that a DBE firm is guaranteed or entitled to receive or be awarded a contract. Being certified simply
means that a firm has met the criteria for DBE certification as outlined in 49 CFR Part 26, as revised by the
IFR. The consultant bears all risks of ensuring that DBE firms selected by the consultant are able to perform
the work.
6.02 SBC Registration:
To comply with 49 CFR Part 26.39, the Department’s DBE Program incorporates contracting requirements
to facilitate participation by Small Business Concerns (SBCs) in Federally assisted contracts. SBCs are for-
profit businesses authorized to do businesses in Arizona that meet the Small Business Administration (SBA)
size standards for average annual revenue criteria for its primary North American Industry Classification
System (NAICS) code
While the SBC component of the DBE program does not require utilization of goals on projects, The
Department and the LPA/Subrecipient strongly encourages consultants to utilize small businesses that are
registered in AZ UTRACS on their contracts, in addition to DBEs meeting the certification requirement in
accordance with the IFR. However, SBCs that are not DBEs will not be counted toward the DBE participation.
SBCs can register online at the AZ UTRACS website at http://utracs.azdot.gov/Home/.
The Department’s registration of SBCs is not a representation of qualifications and/or abilities nor does it
mean that an SBC firm is guaranteed or entitled to receive or be awarded a contract. Being SBC registered
simply means that a firm has met the criteria for SBC registration as outlined in 49 CFR Part 26. The
consultant bears all risks of ensuring that SBC firms selected by the consultant are able to perform the work.
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7.0 DBE Financial Institutions:
The Department thoroughly investigates the full extent of services offered by financial institutions owned and
controlled by socially and economically disadvantaged individuals in its service area and makes reasonable
efforts to use these institutions. The Department encourages prime consultants to use such institutions on
USDOT assisted contracts. However, use of DBE financial institutions will not be counted toward the DBE
participation.
The Department and the LPA/Subrecipient encourages prime consultants to research the Federal Reserve
Board website at www.federalreserve.gov to identify minority-owned banks in Arizona derived from the
Consolidated Reports of Condition and Income filed quarterly by banks (FFIEC 031 and 041) and from other
information on the Board’s National Information Center database.
8.0 Time is of the Essence:
TIME IS OF THE ESSENCE IN RESPECT TO THE DBE PROVISIONS
9.0 Computation of Time:
In computing any period of time described in this DBE special provision, such as calendar days, the day from
which the period begins to run is not counted. When the last day of the period is a Saturday, Sunday, Federal
or State holiday, the period extends to the next day that is not a Saturday, Sunday, Federal or State holiday.
When the LPA/Subrecipient Procurement Office is closed for all or part of the last day, the period extends to
the next day on which the LPA / Subrecipient Procurement Office is open.
10.0 Consultant and Subconsultant Requirements:
10.01 General:
The consultant shall establish a DBE program that will ensure nondiscrimination in the award and
administration of contracts and subcontracts.
Agreements between the proposer and a DBE in which the DBE promises not to provide subcontracting
quotations to other proposers are prohibited.
10.02 Blank:
11.0 DBE Goal:
During the transition period, the IFR provides that until the UCP completes the recertification process, the
Department may not 1) set any DBE contract goals or 2) count any participation towards its overall DBE goal.
The Department will not be counting any DBE conscious or DBE neutral efforts towards its overall DBE goal
during this transitional period.
The Department has not established contract goals for DBE participation in this contract.
Consultants are still encouraged to employ reasonable means to obtain DBE neutral efforts. Consultants
must retain records in accordance with these DBE specifications. The consultant is notified that this record
keeping is important to the Department so that it can track DBE participation where only DBE neutral efforts
are employed.
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12.0 Bidders/Proposers List and AZ UTRACS Registration Requirement:
Under 49 CFR Part 26.11, DOTs are required to collect certain information from all consultants and
subconsultants who seek to work on federally-assisted contracts in order to set overall and contract DBE
goals. The Department collects this information when firms register their companies on the Arizona Unified
Transportation Registration and Certification System (AZ UTRACS) web portal at
https://utracs.azdot.gov/Home/ a centralized database for companies that seek to do business with the
Department. This information will be maintained as confidential to the extent allowed by Federal and State
law.
All prime consultants, subconsultants, and DBEs listed in the SOQ and included on this contract or added to
this contract shall:
(1) register in AZ UTRACS, and
(2) maintain their profile with current and accurate firm information. Proposers may verify that
their firm and each subconsultant is registered using the AZ UTRACS website.
Proposers may obtain additional information at the AZ UTRACS website or by contacting the
LPA/Subrecipient.
Proposers shall create a Bidders/Proposers list in the AZ UTRACS (https://utracs.azdot.gov/) by selecting all
subconsultants, service providers, and vendors that expressed interest or submitted proposals or quotes for
this contract. The Bidders/Proposers List form must be complete and must include the names for all
subconsultants, service providers, and vendors that submitted proposals or quotes on this project regardless
of the proposer’s intentions to use those firms on the project.
Proposers must complete and submit the Bidders/Proposers List online at AZ UTRACS prior to Cost Proposal
submittal. A confirmation email will be generated by the system. This email confirmation shall be submitted
with the Cost Proposal.
FAILURE TO SUBMIT THE REQUIRED BIDDERS/PROPOSERS LIST CONFIRMATION EMAIL WITH THE
SOQ PROPOSAL BY THE STATED TIME AND IN THE MANNER HEREIN SPECIFIED AND AS OUTLINED
IN THE RFQ SHALL BE CAUSE FOR THE PROPOSER’S SOQ PROPOSAL TO BE REJECTED.
13.0 Payment Reporting:
The consultant shall report on a monthly basis indicating the amounts paid to all subconsultants, of all tiers,
working on the project. Reporting shall be in accordance with Prompt Pay and Payment Reporting
requirements (Exhibit 1) of the contract specifications.
14.0 Crediting DBE Participation:
14.01 General Requirements:
During the transition period, the IFR provides that until the UCP completes the recertification process, the
Department may not count any participation towards its overall DBE goal. This applies to both DBE conscious
and DBE neutral efforts.
To count toward DBE participation, the DBE firms must be certified at the time of Cost Proposal submission
in each NAICS code applicable to the kind of work the firm will perform on the contract. NAICS for each DBE
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can be found on the AZ UTRACS website. General descriptions of all NAICS codes can be found at
http://www.naics.com.
Credit towards the consultant’s DBE participation is given only after the DBE has been paid for the work
performed.
The entire amount of a contract that is performed by the DBE’s own forces, including the cost of supplies and
materials purchased by the DBE for the work on the contract and equipment leased by the DBE will be
credited toward DBE participation. Supplies and equipment the DBE subconsultant purchases or leases from
the prime consultant or its affiliate will not be credited toward DBE participation.
The consultant bears the responsibility to determine whether the DBE possesses the proper consultant’s
license(s) to perform the work and, if DBE credit is requested, that the DBE subconsultant is certified for the
requested type of work.
The Department’s certification is not a representation of a DBE’s qualifications and/or abilities. The consultant
bears all risks that the DBE may not be able to perform its work for any reason.
A DBE may participate as a prime consultant, subconsultant, or as a vendor of materials or supplies. The
dollar amount of work to be accomplished by DBEs, including partial amount of a lump sum or other similar
item, shall be on the basis of agreements such as: subcontract, purchase order, hourly rate, and rate per ton.
DBE credit may be obtained only for specific work done for the project, supply of equipment specifically for
physical work on the project, or supply of materials to be incorporated in the work. DBE credit will not be
allowed for costs such as overhead items, capital expenditures (for example, purchase of equipment), and
office items.
The consultant may credit second-tier subcontracts issued to DBEs by non-DBE subconsultants. Any
second-tier subcontract to a DBE must meet the requirements of a first-tier DBE subcontract.
A prime consultant may credit the entire amount of that portion of a contract that is performed by the DBE’s
own forces. The cost of supplies and materials obtained by the DBE for the work of the contract can be
included so long as that cost is reasonable. Leased equipment may also be included. No credit is permitted
for supplies purchased or equipment leased from the prime consultant or its affiliate(s).
When a DBE subcontracts a part of the work of its contract to another firm, the value of the subcontract may
be credited towards the DBE participation only if the DBE’s subconsultant is itself a DBE and performs the
work with its own forces. Work that a DBE subcontracts to a non-DBE firm does not count toward a DBE
participation.
A prime consultant may credit the entire amount of fees or commissions charged by a DBE firm for providing
a bona fide service, such as professional, technical, consulting, or managerial services, or for providing bonds
or insurance specifically required for the performance of a USDOT-assisted contract, provided the fees are
reasonable and not excessive as compared with fees customarily allowed for similar services.
14.02 Effect of Loss of DBE Eligibility:
If a DBE or a DBE prime consultant is deemed ineligible, decertified, or suspended by the Department in
accordance with 49 CFR Part 26.87 and 49 CFR Part 26.88, the following provisions shall apply:
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(A) If a DBE firm loses its DBE eligibility because the DBE firm was acquired by a non- DBE
firm, no work performed by the DBE firm after the Decision Date will be counted toward DBE
participation.
(B) If a subcontract, contract, or supplier arrangement has been executed before the Decision
Date, no work performed by the DBE firm will be counted toward DBE participation.
(C) If neither paragraph (A) nor paragraph (B) above applies, the work performed by the DBE
firm after the Decision Date will be counted toward DBE participation.
(D) If the consultant extends or adds work to the DBE firm’s subcontract, that work will not be
counted toward the DBE goal unless the consultant has obtained prior approval from the
LPA/Subrecipient, with SBWD concurrence for DBE credit. Any requests to extend or add
work to the DBE firm’s subcontract to count towards the DBE goal shall be submitted using
the request form, made available on SBWD’s website at https://azdot.gov/business/small-
business-and-workforce-development/lpasubrecipient/contract-forms-specs, to extend
Decertified DBE contract for DBE credit.
(E) The LPA/Subrecipient, with SBWD concurrence will consent to such DBE credit only if the
added work is within the foreseeable range of added work, given the circumstances of the
original DBE contract.
(F) For the purposes of this subsection, "Decision Date" means the date the Department notifies
the DBE that it has become ineligible, decertified, or suspended under 49 CFR Part
26.87(c)(4), (g).
14.03 Notifying the Consultant of DBE Certification Status:
Each DBE contract at any tier shall require any DBE subconsultant or supplier that is either decertified or
certified during the term of the contract to immediately notify the consultant and all parties to the DBE contract
in writing, with the date of decertification or certification. The consultant shall require that this provision be
incorporated in any contract of any tier in which a DBE is a participant.
14.04 Police Officers:
DBE credit will not be permitted for procuring DPS officers. For projects on which officers from other agencies
are supplied, DBE credit will be given only for the broker fees charged, and will not include amounts paid to
the officers. The broker fees must be reasonable.
14.05 Commercially Useful Function:
A prime consultant can credit expenditures to a DBE subconsultant toward DBE participation only if the DBE
performs a Commercially Useful Function (CUF).
In conformity with 49 CFR Part 26.55(c), a DBE performs a CUF when it is responsible for execution of the
work of a contract and carries out its responsibilities by actually performing, managing, and supervising the
work involved. To perform a commercially useful function, the DBE must also be responsible, with respect to
materials and supplies on the contract, for negotiating price, determining quality and quantity, ordering the
material, and installing (where applicable) and paying for the material itself that it uses on the project. To
determine whether a DBE is performing a commercially useful function, the LPA/Subrecipient will evaluate
the amount of work subcontracted, industry practices, whether the amount the firm is to be paid under the
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contract is commensurate with the work it is actually performing and the DBE credit claimed for its
performance of the work, and other relevant factors.
A DBE will not be considered to perform a commercially useful function if its role is limited to that of an extra
participant in a transaction, contract, or project through which funds are passed in order to obtain the
appearance of DBE participation. In determining whether a DBE is such an extra participant, the
LPA/Subrecipient will examine similar transactions, particularly those in which DBEs do not participate.
If a DBE does not perform or exercise responsibility for at least 30 percent of the total cost of its contract with
its own work force, or if the DBE subcontracts a greater portion of the work of a contract than would be
expected within normal industry practice for the type of work involved, LPA/Subrecipient will presume that
the DBE is not performing a commercially useful function.
When a DBE is presumed not to be performing a commercially useful function as provided above, the DBE
may present evidence to rebut this presumption. The LPA/Subrecipient will determine if the firm is performing
a CUF given the type of work involved and normal industry practices.
The LPA/Subrecipient will notify the consultant, in writing, if it determines that the consultant’s DBE
subconsultant is not performing a CUF. The consultant will be notified within seven calendar days of the
LPA/Subrecipient’s decision.
Decisions on CUF may be appealed to the Department’s SBWD. The appeal must be in writing and personally
delivered or sent by certified mail, return receipt requested, to the Department’s SBWD. The appeal must be
received by the Department’s SBWD no later than seven calendar days after the LPA/Subrecipient’s decision.
LPA/Subrecipient’s decision remains in place unless and until the Department’s SBWD reverses or modifies
LPA/Subrecipient’s decision. The Department’s SBWD will promptly consider any appeals under this
subsection and notify the consultant of the Department’s SBWD findings and decisions. Decisions on CUF
matters are not administratively appealable to USDOT.
The LPA/Subrecipient will conduct project site visits on the contract to confirm that DBEs are performing a
CUF. The consultant shall cooperate during the site visits and the LPA/Subrecipient staff will make every
effort not to disrupt work on the project.
15.0 Required Provisions for DBE Subcontracts:
All subcontracts of any tier, all supply contracts, and any other contracts in which a DBE is a participant shall
include as a physical attachment, DBE Program Compliance Assurances for Subconsultants available from
the LPA/Subrecipient and all of the Uniform Terms and Conditions set forth in other sections of this contract.
Consultants executing agreements with subconsultants, DBE or non-DBE, that materially modify federal
regulation and state statutes such as, prompt payment and retention requirements, through subcontract
terms and conditions will be found in breach of contract which may result in termination of the contract, or
any other such remedy as the LPA/Subrecipient and ADOT deem appropriate as outlined in DBE Subsection
2.0.
The LPA/Subrecipient reserves the right to conduct random reviews of DBE and non-DBE subcontract
documentation to ensure compliance with federal requirements.
The consultant shall ensure that all subcontracts or agreements with DBEs to supply labor or materials
require that the subcontract and all lower tier subcontracts be performed in accordance with 49 CFR Part 26.
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The Consultant shall provide electronic copies of signed subcontract agreements for all DBE Subconsultants
listed on the DBE Intended Participation Affidavit Summary by uploading them within 15 calendar days of an
approved contract to the LPA DBE System. Subcontract agreements shall include all required assurances
and clauses as outlined in Section 3.0 and 4.0 of the Contract. Each agreement and required attachment
shall be dated and signed by the Subconsultant in order for the subcontract to be considered valid.
The Consultant shall be in breach of this Contract if the Consultant materially modifies the Federal
Regulations and State statutes in its subcontract agreements terms and conditions with its Subconsultants.
Deviations from the terms of this Contract may result in termination of the Contract, or any other such remedy
as deemed appropriate by the LPA/Subrecipient and the Department.
16.0 Contract Performance:
The LPA/Subrecipient will visit the consultant’s office to conduct reviews to ensure compliance with DBE
requirements. The reviews may include, among other activities, interview of DBEs and their employees
and the consultant and its employees. The consultant shall cooperate in the review and make its
employees available. The consultant shall inform the LPA/Subrecipient in advance when each DBE will
be working on the project to help facilitate reviews.
The LPA/Subrecipient reserves the right to request and inspect all records of the consultant and all records
of the DBEs and non-DBE subconsultants concerning this contract. The consultant must make available
all documents related to all contracts to LPA/Subrecipient upon request.
17.0 Certification of Final DBE Payments:
DBE participation on the contract is measured by actual payments made to the DBEs. The consultant shall
submit the “Certification of Final DBE Payments” form for each DBE firm working on the contract. This form
shall be signed by the consultant and the relevant DBE, and submitted to the LPA/Subrecipient no later than
30 days after the DBE receives final payment.
The LPA/Subrecipient and the Department will use this certification and other information available to
determine applicable DBE credit allowed to date by the Prime Consultant and the extent to which the DBE
firms were fully paid for that work. By the act of filing the forms, the consultant acknowledges that the
information is supplied in order to justify the payment of state and federal funds to the consultant.
The consultant will not be released from the obligations of the contract until the “Certification of Final DBE
Payments” forms are received and deemed acceptable by the LPA/Subrecipient.
18.0 False, Fraudulent, or Dishonest Conduct:
In addition to any other remedies or actions, the Department will bring to the attention of the USDOT any
appearance of false, fraudulent, or dishonest conduct in connection with the DBE program, so that USDOT
can take steps such as referral to the Department of Justice for criminal prosecution, referral to the USDOT
Inspector General for possible initiation of suspension and debarment proceedings against the offending
parties or application of “Program Fraud and Civil Penalties” rules provided in 49 CFR Part 31.
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EXHIBIT 3 – MARICOPA COUNTY DEPARTMENT OF TRANSPORTATION
TITLE VI ASSURANCES, APPENDIX A & E
APPENDIX A
During the performance of this contract, the contractor, for itself, its assignees and successors in interest
(hereinafter referred to as the “contractor”) agrees as follows:
1. Compliance with Regulations: The contractor (hereinafter includes consultants) will comply with
the Acts and the Regulations relative to Non-discrimination in Federally-assisted programs of the
U.S. Department of Transportation, Federal Highway Administration or the Arizona Department of
Transportation, as they may be amended from time to time, which are herein incorporated by
reference and made a part of this contract.
2. Nondiscrimination: The contractor, with regard to the work performance by it during the contract,
will not discriminate on the grounds of race, color, or national origin in the selection and retention of
subcontractors, including procurements of materials and leases of equipment. The contractor will not
participate directly or indirectly in the discrimination prohibited by the Acts and the Regulations,
including employment practices when the contract covers any activity, project, or program set forth
in Appendix B of 49 CFR Part 21.
3. Solicitations for Subcontractors, Including Procurements of Materials and Equipment: In all
solicitations, either by competitive bidding, or negotiation made by the contractor for work to be
performed under a subcontract, including procurements of materials, or leases of equipment, each
potential subcontractor or supplier will be notified by the contractor of the contractor’s obligations
under this contract and the Acts and Regulations relative to Non-discrimination on the grounds of
race, color, or national origin.
4. Information and Reports: The contractor will provide all information and reports required by the
Acts, the Regulations, and directives issued pursuant thereto and will permit access to its books,
records, accounts, other sources of information, and its facilities as may be determined by the
Recipient, the Federal Highway Administration or Arizona Department of Transportation to be
pertinent to ascertain compliance with such Acts, Regulations, and instructions. Where any
information required of a contractor is in the exclusive possession of another who fails or refuses to
furnish the information, the contractor will so certify to the Recipient, the Federal Highway
Administration, or Arizona Department of Transportation, as appropriate, and will set forth what
efforts it has made to obtain the information.
5. Sanctions for Noncompliance: In the event of a contractor's noncompliance with the Non-
discrimination provisions of this contract, the Recipient will impose such contract sanctions as it or
the Federal Highway Administration or Arizona Department of Transportation, may determine to be
appropriate, including, but not limited to:
a. withholding payments to the contractor under the contract until the contractor complies;
and/or
b. cancelling, terminating, or suspending a contract, in whole or in part.
6. Incorporation of Provisions: The contractor will include the provisions of paragraphs one through
six in every subcontract, including procurements of materials and leases of equipment, unless
exempt by the Acts, the Regulations and directives issued pursuant thereto. The contractor will take
action with respect to any subcontract or procurement as the Recipient, the Federal Highway
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Administration, or Arizona Department of Transportation may direct as a means of enforcing such
provisions including sanctions for noncompliance. Provided, that if the contractor becomes involved
in, or is threatened with litigation by a subcontractor or supplier because of such direction, the
contractor may request the Recipient to enter into any litigation to protect the interests of the
Recipient. In addition, the contractor may request the United States to enter into the litigation to
protect the interests of the United States.
APPENDIX E
During the performance of this contract, the contractor, for itself, its assignees, and successors in
interest (hereinafter referred to as the “contractor”) agrees to comply with the following
nondiscrimination statutes and authorities, including but not limited to:
Pertinent Non-Discrimination Authorities:
• Title VI of the Civil Rights Act of 1964 (42 U.S.C. § 2000d et seq., 78 stat. 252), (prohibits discrimination
on the basis of race, color, national origin): and 49 CFR Part 21.
• The Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, (42 U.S.C. §
4601), (prohibits unfair treatment of persons displaced or whose property has been acquired because of
Federal or Federal-aid programs and projects); Federal-Aid Highway Act of 1973, (23 U.S.C. § 324 et
seq.), (prohibits discrimination on the basis of sex);
• Section 504 of the Rehabilitation Act of 1973, (29 U.S.C. § 794 et seq.), as amended, (prohibits
discrimination on the basis of disability); and 49 CFR Part 27; The Age Discrimination Act of 1975, as
amended, (42 U.S.C. § 6101 et seq.), (prohibits discrimination on the basis of age);
• Airport and Airway Improvement Act of 1982, (49 USC § 471, Section 47123), as amended, (prohibits
discrimination based on race, creed, color, national origin, or sex);
• The Civil Rights Restoration Act of 1987, (PL 100-209), (Broadened the scope, coverage and applicability
of Title VI of the Civil Rights Act of 1964, The Age Discrimination Act of 1975 and Section 504 of the
Rehabilitation Act of 1973, by expanding the definition of the terms “programs or activities” to include all
of the programs or activities of the Federal-aid recipients, sub-recipients and contractors, whether such
programs or activities are Federally funded or not);
• Titles II and III of the Americans with Disabilities Act, which prohibit discrimination on the basis of disability
in the operation of public entities, public and private transportation systems, places of public
accommodation, and certain testing entities (42 U.S.C. §§ 12131-12189) as implemented by Department
of Transportation regulations at 49 C.F.R. parts 37 and 38;
• The Federal Aviation Administration’s Non-discrimination statute (49 U.S.C. § 47123) (prohibits
discrimination on the basis of race, color, national origin, and sex);
• Executive Order 12898, which ensures discrimination against minority populations by discouraging
programs, policies, and activities with disproportionately high and adverse human health or
environmental effects on minority and low-income populations;
• Executive Order 13166, Improving Access to Services for Persons with Limited English Proficiency, and
resulting agency guidance, national origin discrimination includes discrimination because of limited
English proficiency (LEP). To ensure compliance with Title VI, you must take reasonable steps to ensure
that LEP persons have meaningful access to your programs (70 Fed. Reg. at 74087 to 74100);
• Title IX of the Education Amendments of 1972, as amended, which prohibits you from discriminating
because of sex in education programs or activities (20 U.S.C. 1687 et seq).
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EXHIBIT 4 – LPA/SUBRECIPIENT FEDERAL AID CONTRACT WITH OR WITHOUT DBE GOAL
(PROJECT SPECIFIC - CONTRACTS)
LPA/SUBRECIPIENT FEDERAL AID CONTRACT WITH OR WITHOUT DBE GOAL
1. Assurances of Non-Discrimination: (LPA PS EPRISE 2.0)
The consultant, subrecipient, or subconsultant shall not discriminate on the basis of race, color, sex or national
origin in the performance of this contract. The consultant shall carry out applicable requirements of 49 CFR Part
26 in the award and administration of DOT-assisted contracts. Failure by the consultant to carry out these
requirements is a material breach of this contract, which may result in the termination of this contract or such
other remedy as the the LPA/Subrecipient with the Department’s concurrence deems appropriate, which may
include, but are not limited to:
(1) Withholding monthly progress payments;
(2) Assessing sanctions;
(3) Liquidated damages;
(4) Disqualifying the consultant from future proposals as non-responsible.
The consultant, subrecipient, or subconsultant shall ensure that all subcontract agreements contain this non-
discrimination assurance.
2. Time is of the Essence: (LPA PS EPRISE 8.0)
TIME IS OF THE ESSENCE IN RESPECT TO THE DBE PROVISIONS
3. Computation of Time: (LPA PS EPRISE 9.0)
In computing any period of time described in this DBE special provision, such as calendar days, the day from which
the period begins to run is not counted, and when the last day of the period is a Saturday, Sunday, Federal or State
holiday, the period extends to the next day that is not a Saturday, Sunday, Federal or State holiday. In
circumstances where the LPA/Subrecipient Procurement Office is closed for all or part of the last day, the period
extends to the next day on which the LPA / Subrecipient Procurement Office is open.
4. Crediting DBE Participation Toward Meeting Goals: (LPA PS EPRISE 17.0)
General Requirements:
To count toward meeting the goal, the DBE firms must be certified at the time of Cost Proposal submission in each
NAICS code applicable to the kind of work the firm will perform on the contract. NAICS for each DBE can be found on
the AZ UTRACS website. General descriptions of all NAICS codes can be found at http://www.naics.com/search/.
Credit towards the consultant’s DBE goal is given only after the DBE has been paid for the work performed.
The entire amount of a contract that is performed by the DBE’s own forces, including the cost of supplies and
materials purchased by the DBE for the work on the contract and equipment leased by the DBE will be credited
toward DBE participation. Supplies and equipment the DBE subconsultant purchases or leases from the prime
consultant or its affiliate will not be credited toward DBE participation.
The consultant bears the responsibility to determine whether the DBE possesses the proper consultant’s license(s) to
perform the work and, if DBE credit is requested, that the DBE subconsultant is certified for the requested type of
work.
If a DBE cannot complete its work due to failure to obtain or maintain its licensing, the consultant bears the
responsibility to notify the LPA/Subrecipient, immediately after the consultant becomes aware of the situation, and
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request approval to replace the DBE with another DBE. The consultant shall follow the DBE termination/substitution
requirements described in Subsection 22.0 of these DBE provisions.
The Department’s certification is not a representation of a DBE’s qualifications and/or abilities. The consultant bears
all risks that the DBE may not be able to perform its work for any reason.
A DBE may participate as a prime consultant, subconsultant, or as a vendor of materials or supplies. The dollar
amount of work to be accomplished by DBEs, including partial amount of a lump sum or other similar item, shall be
on the basis of subcontract, purchase order, hourly rate, rate per ton, etc., as agreed to between parties.
DBE credit may be obtained only for specific work done for the project, supply of equipment specifically for physical
work on the project, or supply of materials to be incorporated in the work. DBE credit will not be allowed for costs
such as overhead items, capital expenditures (for example, purchase of equipment), and office items.
The consultant may credit second-tier subcontracts issued to DBEs by non-DBE subconsultants. Any second-tier
subcontract to a DBE used to meet the goal must meet the requirements of a first-tier DBE subcontract.
A prime consultant may credit the entire amount of that portion of a contract that is performed by the DBE’s own
forces. The cost of supplies and materials obtained by the DBE for the work of the contract can be included so
long as that cost is reasonable. Leased equipment may also be included. No credit is permitted for supplies
purchased or equipment leased from the prime consultant or its affiliate(s).
When a DBE subcontracts a part of the work of its contract to another firm, the value of the subcontract may be
credited towards the DBE goal only if the DBE’s subconsultant is itself a DBE and performs the work with its own
forces. Work that a DBE subcontracts to a non-DBE firm does not count toward a DBE goal.
A prime consultant may credit the entire amount of fees or commissions charged by a DBE firm for providing a
bona fide service, such as professional, technical, consulting, or managerial services, or for providing bonds or
insurance specifically required for the performance of a USDOT-assisted contract, provided the fees are
reasonable and not excessive as compared with fees customarily allowed for similar services.
DBE Prime Consultant:
When a certified DBE firm proposes on a contract that contains a DBE goal, the DBE firm is responsible for meeting
the DBE goal on the contract or making good faith efforts to meet the goal, just like any other proposer. In most
cases, a DBE proposer on a contract will meet the DBE goal by virtue of the work it performs on the contract with
its own forces. However, all the work that is performed by the DBE proposer or any other DBE subconsultants and
DBE suppliers will count toward the DBE goal. The DBE proposer shall list itself along with any DBE subconsultants
and suppliers, on the DBE Intended Participation Affidavit Individual and Summary in order to receive credit
toward the DBE goal.
Effect of Loss of DBE Eligibility:
If a DBE is deemed ineligible (decertified) or suspended in accordance with 49 CFR 26.87 and 26.88, the DBE may not
be considered to meet a contract goal on a new contract, but may be considered to meet the contract goal under a
subcontract that was executed before the DBE suspension or decertification is effective.
When the consultant makes a commitment to use an ineligible DBE firm or the LPA/Subrecipient, made a
commitment to use an ineligible DBE prime consultant, but a subcontract or contract has not been executed before a
decertification notice is issued to the DBE firm by its certifying agency, the ineligible firm does not count toward the
contract goal. The consultant must meet the contract goal with an eligible DBE firm or demonstrate good faith effort.
When a subcontract is executed with the DBE firm before the Department notified the firm of its ineligibility, the
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consultant may continue to use the firm on the contract and may continue to receive credit toward the DBE goal for
the firm’s work.
Notifying the Consultant of DBE Certification Status:
Each DBE contract at any tier shall require any DBE subconsultant or supplier that is either decertified or certified
during the term of the contract to immediately notify the consultant and all parties to the DBE contract in writing,
with the date of decertification or certification. The consultant shall require that this provision be incorporated in
any contract of any tier in which a DBE is a participant.
Police Officers:
DBE credit will not be permitted for procuring DPS officers. For projects on which officers from other agencies are
supplied, DBE credit will be given only for the broker fees charged, and will not include amounts paid to the
officers. The broker fees must be reasonable.
Commercially Useful Function:
A prime consultant can credit expenditures to a DBE subconsultant toward DBE goals only if the DBE performs a
Commercially Useful Function (CUF).
A DBE performs a CUF when it is responsible for execution of the work of a contract and carries out its
responsibilities by actually performing, managing, and supervising the work involved. To perform a commercially
useful function, the DBE must also be responsible, with respect to materials and supplies on the contract, for
negotiating price, determining quality and quantity, ordering the material, and installing (where applicable) and
paying for the material itself that it uses on the project. To determine whether a DBE is performing a
commercially useful function, the LPA/Subrecipient will evaluate the amount of work subcontracted, industry
practices, whether the amount the firm is to be paid under the contract is commensurate with the work it is
actually performing and the DBE credit claimed for its performance of the work, and other relevant factors.
A DBE will not be considered to perform a commercially useful function if its role is limited to that of an extra
participant in a transaction, contract, or project through which funds are passed in order to obtain the appearance
of DBE participation. In determining whether a DBE is such an extra participant, the LPA/Subrecipient will examine
similar transactions, particularly those in which DBEs do not participate.
If a DBE does not perform or exercise responsibility for at least 30 percent of the total cost of its contract with its
own work force, or if the DBE subcontracts a greater portion of the work of a contract than would be expected on
the basis of normal industry practice for the type of work involved, LPA/Subrecipient will presume that the DBE is
not performing a commercially useful function.
When a DBE is presumed not to be performing a commercially useful function as provided above, the DBE may
present evidence to rebut this presumption. The Department will determine if the firm is performing a CUF given
the type of work involved and normal industry practices.
The LPA/Subrecipient will notify the consultant, in writing, if it determines that the consultant’s DBE subconsultant
is not performing a CUF. The consultant will be notified within seven calendar days of the LPA/Subrecipient’s
decision.
Decisions on CUF may be appealed to the ADOT BECO. The appeal must be in writing and personally delivered or
sent by certified mail, return receipt requested, to the ADOT BECO. The appeal must be received by ADOT BECO
no later than seven calendar days after the LPA/Subrecipient’s decision. LPA/Subrecipient’s decision remains in
place unless and until the ADOT BECO reverses or modifies LPA/Subrecipient’s decision. ADOT BECO will promptly
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consider any appeals under this subsection and notify the consultant of the ADOT BECO findings and decisions.
Decisions on CUF matters are not administratively appealable to USDOT.
The LPA/Subrecipient may conduct project site visits on the contract to confirm that DBEs are performing a CUF.
The consultant shall cooperate during the site visits and the LPA/Subrecipient staff will make every effort not to
disrupt work on the project.
5. Effect of Contract Changes: (LPA PS EPRISE 18.0)
The consultant acknowledges that uncertainties can occur during the performance of the work and if for any
reason it becomes apparent that the DBE goal will not be met then the consultant shall: (1) immediately notify
the LPA/Subrecipient of the potential or actual decrease in DBE compensation, and (2) make good faith efforts to
obtain DBE participation to meet or exceed the project DBE goal. Good faith efforts required under the provisions
of this section may vary, depending on the time available, the nature of the change, and other factors as
determined by LPA/Subrecipient.
LPA/Subrecipient will approve or deny the consultant’s good faith efforts with BECO concurrence.
The consultant is not required to take work committed to another subconsultant and assign it to a DBE
subconsultant in order to meet the committed DBE percentage.
If the resulting change increases the scope or quantity of work being done by a DBE subconsultant, the DBE shall
be given the opportunity to complete the additional work and receive additional compensation beyond their
original subcontract amount.
6. DBE Participation Above the Goal (Race-Neutral Participation): (LPA PS EPRISE 19.0)
Additional DBE participation above the DBE participation required to meet the contract DBE goal is an important
aspect of the Department’s DBE program. The consultant is strongly encouraged to use additional DBEs above the
DBE goal requirement in the contract to assist the Department in meeting its overall DBE goal and help the
Department to meet the maximum feasible portion of its DBE goals through race neutral participation as outlined in
49 CFR Part 26.
There are fewer administrative requirements on the part of the consultant when using race neutral DBEs (DBEs not
listed on the DBE Intended Participation Affidavit Summary). For example, if a DBE is not listed on the DBE Intended
Participation Affidavit Summary, the DBE does not have to submit an Affidavit, and the subcontract approval process
follows the same process of any other subcontract. The consultant does not have to replace the DBE with another
DBE subconsultant if the DBE fails to perform. Therefore these DBEs are treated as any other subconsultant on the
project.
7. Required Provisions for DBE Subcontracts: (LPA PS EPRISE 20.0)
All subcontracts of any tier, all supply contracts, and any other contracts in which a DBE is a participant shall
include as a physical attachment, DBE Subconsultant Compliance Assurances available from the LPA/Subrecipient
and all of the Uniform Terms and Conditions set forth in other sections of this contract.
Consultants executing agreements with subconsultants, DBE or non-DBE, that materially modify federal regulation
and state statutes such as, prompt payment and retention requirements, through subcontract terms and
conditions will be found in breach of contract which may result in termination of the contract, or any other such
remedy as the LPA/Subrecipient and ADOT deem appropriate as outline in DBE Subsection 2.0.
The LPA/Subrecipient reserves the right to conduct random reviews of DBE and non-DBE subcontract
documentation to ensure compliance with federal requirements.
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The consultant shall ensure that all subcontracts or agreements with DBEs to supply labor or materials require that
the subcontract and all lower tier subcontracts be performed in accordance with 49 CFR Part 26 provisions.
The Consultant shall provide electronic copies of signed subcontract agreements for all DBE Subconsultants listed
on the DBE Intended Participation Affidavit Summary by uploading them within 15 calendar days of an approved
contract to the LPA DBE System.
8. Contract Performance: (LPA PS EPRISE 21.0)
Contract items of work designated by the consultant to be awarded to DBEs shall be performed by the designated
DBE or a LPA/Subrecipient, with BECO concurrence, approved DBE substitute. The Consultant or a non-DBE
Subconsultant shall not perform DBE contract work items without prior approval by LPA/Subrecipient, with BECO
concurrence.. The DBE must perform a commercially useful function; that is, the DBE must manage, perform, and
supervise a distinct element of work.
The consultant is required to use DBEs identified in the SOQ to meet the contract goal, so the prime consultant is
responsible for ensuring that the DBEs are available to meet scheduling, work and other requirements on the
contract.
The LPA/Subrecipient will visit the consultant’s office to conduct reviews to ensure compliance with CUF and other
DBE requirements. The reviews may include, among other activities, interview of DBEs and their employees and
the consultant and its employees. The consultant shall cooperate in the review and make its employees available.
The consultant shall inform the LPA/Subrecipient in advance when each DBE will be working on the project to help
facilitate reviews.
The LPA/Subrecipient reserves the right to request and inspect all records of the consultant and all records of the
DBEs and non-DBE subconsultants concerning this contract. The consultant must make available a copy of all
documents related to all contracts the LPA/Subrecipient upon request.
Use of every DBE listed on the DBE Intended Participation Affidavit Summary is a condition of this contract. The
consultant shall utilize the specific DBEs listed to perform the work and supply the materials for which each is
listed on the DBE Intended Participation Affidavit Summary unless the consultant obtains written consent from the
LPA/Subrecipient with BECO concurrence. The consultant shall not be entitled to any payment for work or material
that is not performed or supplied by the listed DBE unless the consultant obtains written consent from the
LPA/Subrecipient with BECO concurrence.
9. DBE Termination/Substitution: (LPA PS EPRISE 22.0)
General Requirements:
The consultant shall make all reasonable efforts to avoid terminating or substituting a DBE listed on the DBE
Intended Participation Affidavit Summary. At a minimum, the consultant shall negotiate in good faith, give timely
notices and/or extend deadlines to the extent that it will not jeopardize the contract with the LPA/Subrecipient.
Reasonable methods to resolve performance disputes must be applied and documentation provided to the
Department and the LPA/Subrecipient before attempting to substitute or terminate a DBE.
Consultant Notice of Termination/Substitution:
All terminations, substitutions, and reductions in scope of work to be performed by DBEs listed on the DBE
Intended Participation Affidavit Summary must be approved in writing by the LPA/Subrecipient, with BECO
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concurrence and by means of the executed contract modification. The consultant shall contact the
LPA/Subrecipient within 24 hours from the first sign of any reason for potential DBE termination/substitution.
The consultant shall not terminate a DBE subconsultant listed on the DBE Intended Participation Affidavit
Summary or complete the work contracted to the DBE with its own forces or with a non-DBE firm without the
LPA/Subrecipient written consent and BECO concurrence. Before submitting a formal request to the
LPA/Subrecipient for DBE termination/substitution, the consultant shall give written notice to the DBE
subconsultant with a copy to the LPA/Subrecipient of its intent to terminate or substitute the DBE identifying the
reason for the action. The DBE shall be allowed a minimum of five calendar days to respond to the consultant’s
notice advising the consultant, the LPA/Subrecipient of its position. Before making a determination for approval
regarding the consultant’s termination and substitution request, the LPA/Subrecipient, with BECO concurrence,
will consider both the consultant’s request and the DBE firm’s response.
Consultant Request of Termination/Substitution:
The consultant shall formally request the termination or substitution of a DBE listed on the DBE Intended
Participation Affidavit Summary by submitting the DBE Termination/Substitution Request Form and supporting
documentation to the LPA/Subrecipient; form is available from the LPA/Subrecipient. The submission shall include
the following information:
1) The date the consultant determined the DBE to be unwilling, unable or ineligible to perform.
2) A brief statement of facts describing the situation and citing specific actions or inaction by the DBE
firm giving rise to consultant’s assertion that the DBE firm is unwilling, unable, or ineligible to
perform.
3) A brief statement of the good faith efforts undertaken by the consultant to enable the DBE firm to
perform.
4) The total dollar amount currently paid for work performed by the DBE firm.
5) The total dollar amount remaining to be paid to the DBE firm for work completed, but for which the
DBE firm has not received payment, and over which the consultant and the DBE firm have no dispute.
6) The remaining work that has not been completed by the DBE and the corresponding dollar amount
7) The projected date that the consultant requires a substitution or replacement DBE to commence
work, if consent is granted to the request.
Written consent for terminating the performance of any DBE listed on the DBE Intended Participation Affidavit
Summary will be granted only where the consultant can demonstrate good cause showing that the DBE is unable,
unwilling, or ineligible to perform. Such written consent to terminate any DBE shall concurrently constitute written
consent to substitute or replace the terminated DBE. Termination or substitution of a DBE listed on the DBE
Intended Participation Summary will not be allowed based solely on a consultant's ability to negotiate a more
advantageous contract with another subconsultant. Prior to making a determination for approval regarding the
consultant’s termination and substitution request, the LPA/Subrecipient, with BECO concurrence, will consider
both the consultant’s request and the DBE firm’s response.
Good Cause:
The LPA/Subrecipient, with BECO concurrence, will make the determination of good cause by providing written
consent to the consultant after evaluating the consultant’s good cause to terminate or substitute a DBE firm. Good
cause for this purpose includes the following in relation to the listed DBE subconsultant:
1. Fails or refuses to execute a written contract.
2. Fails or refuses to perform the work of its subcontract in a way consistent with normal industry practice
standards. However, good cause does not exist if the failure or refusal of the DBE subconsultant to
perform its work on the subcontract results from the bad faith or discriminatory action of the prime
consultant.
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3. Fails or refuses to meet the prime consultant’s reasonable, nondiscriminatory insurance/bond
requirements.
4. Becomes bankrupt, insolvent, or exhibits credit unworthiness.
5. Is ineligible to work on public works projects because of suspension and debarment proceedings pursuant
to federal or state law.
6. Is not a responsible consultant.
7. Voluntarily withdraws from the project and provides written notice of its withdrawal to the
LPA/Subrecipient.
8. Is ineligible to receive DBE credit for the type of work required
9. A DBE owner dies or becomes disabled with the result that the firm is unable to complete its work on the
contract.
10. Other documented good cause that the LPA/Subrecipient determines compels the termination or
substitution of the DBE subconsultant.
If good cause is determined, the LPA/Subrecipient and will notify the Consultant of the decision and necessary
modifications to the contract can be made.
DBE Replacement Good Faith Effort:
If the LPA/Subrecipient, with BECO concurrence, approves the termination of a DBE, the consultant shall make
good faith efforts to find another DBE subconsultant to substitute for the original DBE. The good faith efforts as
identified in DBE Subsection 17.0 shall be directed at finding another DBE to perform at least the same amount of
work under the contract as the DBE that was terminated, to the extent needed to meet the contract goal. The
good faith efforts shall be documented and provided, upon request, to the LPA/Subrecipient within seven
calendar days from the date of the request.
A prime consultant’s inability to find a replacement DBE at the original price is not alone sufficient to support a
finding that good faith efforts have been made to replace the original DBE. The fact that the consultant has the
ability and/or desire to perform the contract work with its own forces does not relieve the consultant of the
obligation to make good faith efforts to find the replacement DBE, and it is not a sound basis for rejecting a
perspective replacement DBE’s reasonable quote.
The termination of a DBE firm shall not relieve the consultant of its obligations under this Special Provision, and
the unpaid portion of the terminated DBE firm’s subcontract will not be counted toward the DBE goal. If the
LPA/Subrecipient has eliminated items of work subcontracted to a committed DBE, the prime consultant shall still
make good faith efforts to replace the DBE with another DBE to the extent necessary to meet the goal. The
LPA/Subrecipient will review the quality, thoroughness, and intensity of those efforts.
When a DBE substitution has been approved by the LPA/Subrecipient and concurred by BECO, the consultant shall
submit an amended DBE Intended Participation Affidavit Individual and Intended Participation Affidavit Summary
to the LPA/Subrecipient for approval with the substitute DBE's name, description of work, NAICS code, AZ UTRACS
registration number, and dollar value of work. Approval from LPA/Subrecipient with BECO concurrence must be
obtained prior to the execution of a contract modification and before substituted DBE can begin work.
Sanctions:
Failure by the consultant to carry out the requirements of these DBE Termination/Substitution specifications is a
material breach of contract and will result in such remedies as LPA/Subrecipient deems appropriate, with ADOT
concurrence, which will include, but are not limited to the assessment of liquidated damages. The
LPA/Subrecipient will deduct from monies due or becoming due the consultant, the dollar amount of the
wrongfully substituted/replaced DBE subcontract plus 25% of the amount remaining to be paid to the DBE as
liquidated damages. These liquidated damages shall be in addition to all other retention or liquidated damages
provided for elsewhere in the contract.
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10. Certification of Final DBE Payments: (LPA PS EPRISE 25.0)
The consultant’s achievement of the goal is measured by actual payments made to the DBEs. The consultant shall
submit the “Certification of Final DBE Payments” form for each DBE firm working on the contract. This form shall
be signed by the consultant and the relevant DBE, and submitted to the LPA/Subrecipient no later than 30 days
after the DBE completes its work.
The LPA/Subrecipient and ADOT will use this certification and other information available to determine applicable
DBE credit allowed to date by the Prime Consultant and the extent to which the DBE firms were fully paid for that
work. By the act of filing the forms, the consultant acknowledges that the information is supplied in order to
justify the payment of state and federal funds to the consultant.
The consultant will not be released from the obligations of the contract until the “Certification of Final DBE
Payments” forms are received and deemed acceptable by the LPA/Subrecipient.
11. Sanctions for Not Meeting Contract DBE Goal: (LPA PS EPRISE 24.0)
If the LPA/Subrecipient determines, with BECO concurrence, that the consultant has not met the DBE goal at the
end of the contract, the LPA/Subrecipient will, at its discretion, may assess liquidated damages up to two times
the amount of the unattained portion of the original DBE goal, based on the circumstances of the noncompliance.
Not meeting the DBE goal will also be reflected in the consultant evaluation.
The LPA/Subrecipient, with BECO concurrence, will determine whether liquidated damages will be assessed and
the amount of the liquidate damages, the LPA/Subrecipient will consider whether there have been other
violations on this or other contracts, whether the failure was due to circumstances beyond the control of the
consultant, whether the consultant has made good faith efforts to meet the goal, and other appropriate
circumstances.
In addition to any other sanctions, willful failure of the consultant, DBE or other subconsultant to comply with this
contract or with the Federal DBE regulations may result in disqualification from further contracting,
subcontracting, or other participation in the Department’s and LPA/Subrecipient projects.
12. False, Fraudulent, or Dishonest Conduct: (LPA PS EPRISE 27.0)
In addition to any other remedies or actions, the Department will bring to the attention of the US Department of
Transportation any appearance of false, fraudulent, or dishonest conduct in connection with the DBE program, so
that USDOT can take steps such as referral to the Department of Justice for criminal prosecution, referral to the
USDOT Inspector General for possible initiation of suspension and debarment proceedings against the offending
parties or application of “Program Fraud and Civil Penalties” rules provided in 49 CFR Part 31.
BECO Rev. 7/01/2016 LPA DBE Subcontract Assurances Professional Services - 8/8

Docusign Envelope ID: C5841A3A-BBFD-883E-81DA-E1CA80417E72
ATTACHMENT 1 – CERTIFICATE OF FINAL PAYMENT
CERTIFICATION OF FINAL DISADVANTAGED BUSINESS ENTERPRISE (DBE) PAYMENTS
Professional Services Contracts
(Submit one form for each DBE involved in the contract)
The undersigned consultant on Agency Project No: ADOT TRACS No: __________________ herby,
certifies that full payment was made, to the firm indicated for material and/or work performed under this project's contract as follows:
DBE FIRM AZ UTRACS Vendor Registration #
Name of DBE Firm was paid the amount of
This certificate is made under Federal and State Laws concerning false statement. Supporting documentation for this
payment is subject to audit and should be retained for a minimum of three years from project acceptance date. In the
event the DBE was not paid in accordance with affidavits submitted by the prime consultant, all documentation
supporting the consultant's position should be submitted.
I DECLARE UNDER PENALTY OF PERJURY IN THE SECOND DEGREE, AND ANY OTHER APPLICABLE STATE OR FEDERAL LAWS
THAT THE STATEMENT MADE ON THIS DOCUMENT ARE TRUE AND COMPLETE TO THE BEST OF MY KNOWLEDGE.
Consultant Company Name:
Check One: Prime Consultant Sub Consultant
Name: Title:
Signature:
Date:
The undersigned sub consultant/supplier/manufacturer for the above named project hereby certified that payments
were received and/or justification by consultant is correct.
I DECLARE UNDER PENALTY OF PERJURY IN THE SECOND DEGREE, AND ANY OTHER APPLICABLE STATE OR FEDERAL LAWS
THAT THE STATEMENT MADE ON THIS DOCUMENT ARE TRUE AND COMPLETE TO THE BEST OF MY KNOWLEDGE.
DBE Firm Name:
Check One:
Sub Consultant/Supplier/Manufacturer Lower-tier Sub Consultant/Supplier/Manufacturer
Name: Title:
Signature:
Date:
3210PS - LPA 1.3.2017

Docusign Envelope ID: C5841A3A-BBFD-883E-81DA-E1CA80417E72
ATTACHMENT 2 - PERFORMANCE AND PAYMENT OF ALL CLAIMS
Maricopa County Department of Transportation
ENGINEERING CONTRACTS
hereby certifies to the Maricopa County Department of
(Name of Signer)
Transportation (MCDOT) that all lawful claims for labor, rental of equipment, material used, and any other
claims by CONSULTANT ENGINEERING, INC., or its Subconsultants in connection with the project
described in MCDOT Contract No. 2026-033, have been paid.
____________________________________ understands that with receipt of payment for any previously
invoiced amounts, plus any retained monies, that this is a settlement of all claims of every nature and kind
against MCDOT arising out of the performance of MCDOT Contract No. 2026-033 relating to the material,
equipment and work covered in and required by the contract.
The undersigned hereby certifies that to his/her knowledge, no contractual disputes exist in regard to this
contract and that he/she has no knowledge of any pending or potential claims in regard to this contract.
Upon submission of this document and a separate invoice for any retained funds to MCDOT, invoice
processing will be completed within sixty (60) calendar days.
State of Arizona )
)§
County of Maricopa )
Signed this _______ day of , 20 .
Signature
Title
Subscribed and Sworn to before me this day of , 20 .
Notary Public
My Commission Expires:
Contract No. 2026-033 Page 48

Docusign Envelope ID: C5841A3A-BBFD-883E-81DA-E1CA80417E72 Attachment 3
DATE (MM/DD/YYYY)
CERTIFICATE OF LIABILITY INSURANCE
6/24/2026
THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE HOLDER. THIS
CERTIFICATE DOES NOT AFFIRMATIVELY OR NEGATIVELY AMEND, EXTEND OR ALTER THE COVERAGE AFFORDED BY THE POLICIES
BELOW. THIS CERTIFICATE OF INSURANCE DOES NOT CONSTITUTE A CONTRACT BETWEEN THE ISSUING INSURER(S), AUTHORIZED
REPRESENTATIVE OR PRODUCER, AND THE CERTIFICATE HOLDER.
IMPORTANT: If the certificate holder is an ADDITIONAL INSURED, the policy(ies) must have ADDITIONAL INSURED provisions or be endorsed.
If SUBROGATION IS WAIVED, subject to the terms and conditions of the policy, certain policies may require an endorsement. A statement on
this certificate does not confer rights to the certificate holder in lieu of such endorsement(s).
PRODUCER CONTACT NAME: Anni Owens
AssuredPartners Design Professionals Insurance Services, LLC PHONE FAX
1325 4th Ave, Suite 2100 (A/C, No, Ext): 510-272-1465 (A/C, No):
E-MAIL
Seattle WA 98101 ADDRESS: certsdesignpro@assuredpartners.com
INSURER(S) AFFORDING COVERAGE NAIC #
License#: 6003745 INSURER A : The Phoenix Insurance Company 25623
INSURED CONSENG-18 INSURER B : St. Paul Protective Insurance Company
Consultant Engineering, Inc.
INSURER C : Travelers Property Casualty Company of America 25674
10625 N 25th Ave, #200
Phoenix AZ 85029 INSURER D : Underwriters at Lloyd's, London/CFC Underwriting L
INSURER E : Travelers Casualty and Surety Co of America 31194
INSURER F : The Standard Fire Insurance Company 19070
COVERAGES CERTIFICATE NUMBER: 453084547 REVISION NUMBER:
THIS IS TO CERTIFY THAT THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY PERIOD
INDICATED. NOTWITHSTANDING ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS
CERTIFICATE MAY BE ISSUED OR MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS,
EXCLUSIONS AND CONDITIONS OF SUCH POLICIES. LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS.
INSR ADDL SUBR POLICY EFF POLICY EXP
LTR TYPE OF INSURANCE INSD WVD POLICY NUMBER (MM/DD/YYYY) (MM/DD/YYYY) LIMITS
A X COMMERCIAL GENERAL LIABILITY Y Y 680C9363778 7/1/2026 7/1/2027 EACH OCCURRENCE $ 1,000,000
X DAMAGE TO RENTED
CLAIMS-MADE OCCUR PREMISES (Ea occurrence) $ 1,000,000
X Contractual Liab MED EXP (Any one person) $ 10,000
Included PERSONAL & ADV INJURY $ 1,000,000
GEN'L AGGREGATE LIMIT APPLIES PER: GENERAL AGGREGATE $ 2,000,000
POLICY X PRO- JECT X LOC PRODUCTS - COMP/OP AGG $ 2,000,000
OTHER: $
B AUTOMOBILE LIABILITY Y Y 810C9494361 7/1/2026 7/1/2027 COMBINED SINGLE LIMIT $ 1,000,000
(Ea accident)
X ANY AUTO BODILY INJURY (Per person) $
OWNED SCHEDULED BODILY INJURY (Per accident) $
AUTOS ONLY AUTOS
X HIRED X NON-OWNED PROPERTY DAMAGE $
AUTOS ONLY AUTOS ONLY (Per accident)
$
C X UMBRELLA LIAB X OCCUR Y Y CUPC949611A 7/1/2026 7/1/2027 EACH OCCURRENCE $ 10,000,000
EXCESS LIAB CLAIMS-MADE AGGREGATE $ 10,000,000
DED X RETENTION $ 10,000 $
F WORKERS COMPENSATION Y UBC9495775 7/1/2026 7/1/2027 X PER OTH-
AND EMPLOYERS' LIABILITY STATUTE ER
Y / N
ANY PROPRIETOR/PARTNER/EXECUTIVE E.L. EACH ACCIDENT $ $1,000,000
OFFICER/MEMBER EXCLUDED? N / A
(Mandatory in NH) E.L. DISEASE - EA EMPLOYEE $ $1,000,000
If yes, describe under
DESCRIPTION OF OPERATIONS below E.L. DISEASE - POLICY LIMIT $ $1,000,000
E Professional Liability 108514410 7/1/2026 7/1/2027 Per Claim: $5,000,000 Aggr.: $10,000,000
D Cyber ESP0140860216 7/1/2026 7/1/2027 Limit: $3,000,000
DESCRIPTION OF OPERATIONS / LOCATIONS / VEHICLES (ACORD 101, Additional Remarks Schedule, may be attached if more space is required)
The following policies are included in the underlying schedule of insurance for umbrella/excess liability: General Liability/Auto Liability/Employers
Liability/Employee Benefits Liability.
CEI Project #0126026.00, CA Northern Parkway - 103rd Avenue to 91st Avenue (Phase 1) - TT0372, ADOT Tracs #SZ09101C, Contract #2026-033.
Maricopa County Department of Transportation, Maricopa County, their agents, representatives, officers, Directors, Officials, employees, and Arizona
Department of Transportation, and State of Arizona are named as an additional insured as respects general liability and auto liability as required per written
contract.
CERTIFICATE HOLDER CANCELLATION 30 Day Notice of Cancellation
SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE
THE EXPIRATION DATE THEREOF, NOTICE WILL BE DELIVERED IN
ACCORDANCE WITH THE POLICY PROVISIONS.
Maricopa County Department of Transportation
Contracts Branch
2901 West Durango Street AUTHORIZED REPRESENTATIVE
Phoenix AZ 85009-6357
© 1988-2015 ACORD CORPORATION. All rights reserved.
ACORD 25 (2016/03) The ACORD name and logo are registered marks of ACORD

Docusign Envelope ID: C5841A3A-BBFD-883E-81DA-E1CA80417E72
ATTACHMENT 4 - MARICOPA COUNTY SMALL BUSINESS
ENTERPRISE PROGRAM PARTICIPATION REPORTING FORM
This form is to be submitted with each pay application or invoice. Any pay application or invoice without this
form attached is subject to rejection as not being a completed pay application or invoice pursuant to the terms
of the contract.
_____________________________ ___________________________________
Name of Prime Consultant/Contractor Contract No.
_____________________________ ___________________________________
Contact Person Project No.
_____________________________ $__________________________________
Street Address Amount of this Pay Application/Invoice
_____________________________
City, State ZIP
Complete below with information on the SBE firms utilized as subconsultants/subcontractors for this pay
application/invoice. If work was self-performed and your firm, as the prime, is an SBE firm pursuant to A.R.S.
§ 41-1001, et seq., then you may list your firm as the SBE firm.
Type of Work $ Pd to SBE this
SBE Firm Name SBE Firm Address
Performed App/Inv
$
$
$
$
$
$
$
$
$
$
□ A mark in this box certifies that no SBE firms were utilized as the prime, subconsultant or
subcontractor with respect to this pay application/invoice.
Date: ___________________ ___________________________________________
Signature
___________________________________________
Printed Name & Telephone Number
Contract No. 2026-033 Page 50

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EXHIBIT A
SCOPE OF WORK
CONTRACT NO. 2026-033
PROJECT NO. TT0372
NORTHERN PARKWAY – 103RD AVENUE TO 91ST
AVENUE, PHASE 1

Docusign Envelope ID: C5841A3A-BBFD-883E-81DA-E1CA80417E72
EXHIBIT A
CONSULTANT'S SCOPE OF WORK
CONSTRUCTION ADMINISTRATION SERVICES
CONTRACT NO. 2026-033
TT0372, Northern Parkway - 103rd Avenue to 91st Avenue (Phase 1)
ADOT TRACS No. SZ09101C
1. DEFINITIONS
COUNTY Maricopa Department of Transportation (MCDOT)
Construction and Materials Division
PROJECT MONITOR The official MCDOT representative who will remain available
for consultation throughout all phases of the construction
project and who will guide the Consultant during the
administration of the construction contract.
CONSULTANT Employee(s) of the Prime firm and/or their Sub-Consultants,
contracted with MCDOT to represent MCDOT and administer
the construction contract in accordance with this Scope of
Work; Project Plans and Specifications; MCDOT, MAG, and
other applicable standard details and specifications; the
MCDOT Manual for Construction Management; and MCDOT
policies and procedures.
CONSTRUCTION
ADMINISTRATION The performance of contract management,
ADMINISTRATION construction inspection, performance of
office procedures, safety monitoring, partnering,
documenting the work, and all other duties required to
successfully manage the project under the terms of this
contract. Included is enforcement of the MCDOT Title VI
program, and all other additional labor compliance
requirements incorporated into the construction contract.
2. GENERAL
The work performed under this contract consists of the Construction Administration,
Inspection, and associated services in support of the COUNTY’s improvements along Northern
Avenue per the
The purpose of the Project is to provide multi-modal facilities and sufficient roadway capacity
to meet projected traffic volumes while maintaining an acceptable level of service
commensurate with Maricopa County Department of Transportation (MCDOT) Guidelines
Construction is expected to take 365 calendar days; however, services under this contract also
include both Pre- and Post-Construction activities.
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Specific areas of expertise and work elements to be addressed include:
• Resident Engineer or Senior Resident Engineer
• Project Supervisor
• Field Office Manager
• Materials Coordinator
• Structures & Walls
• Environmental Mitigations
• Landscape & Aesthetics
• Traffic Signal Networks and ITS
• Traffic Control Specialist
CONSULTANT designated Key Personnel on the SOQ Form (Attachment A) will take these areas of
expertise into consideration:
COUNTY expectations for staffing roles, in relation to minimum qualifications and experience can
be found in this matrix, and additional requirements are addressed later within this Scope of Work.
Performs many tasks in a highway construction environment independent of
any direct supervision. Has the authority to recommend rejection of materials
Level 1 Inspector -
or workmanship, which are not in compliance with agency specifications.
Entry Level
Knowledge of procedures and techniques of surveying, construction
standards, inspection, quality control, and/or materials; proper construction
documentation, safety practices, and procedures. Qualifications: A minimum
of a High School diploma or equivalent.
Exercise independent judgment within established program parameters. Has
the authority to determine when project materials and procedures are
noncompliant with agency specifications. Knowledge of procedures and
techniques of surveying, construction standards, inspection, quality control,
Level 2 Inspector - and/or materials; proper construction documentation, safety practices, and
Mid Level procedures. Serves as a journeyman-level technician performing a variety of
work related to highway construction activities. Analyzes and evaluates a wide
variety of technical engineering data; interprets and implements standards,
policies, procedures, and regulations. Qualifications: ATTI Field Technician
Level I Certification; ACI Concrete Field Grade 1 Certification; and minimum 5
years as Entry Level Inspector or equivalent.
Serves as a lead technician under the general supervision of the Engineer-In-
Charge or designated representative, coordinating activities on a highway
construction project(s) including survey, quality control, inspection, lab, and
office. Inspects and documents the most complex contract items, such as
structures and concrete or asphalt pavement; performs related duties as
Lead Inspector necessary due to staffing requirements. Provides training, coaching, and
guidance to employees as directed. Knowledge of principles and practices of
civil engineering related to the construction of state highway system
roadways. Must have the ability to work independently, and complete
assignments to acceptable standards on time. Qualifications: ATTI Field
Technician Level I Certification; ACI Concrete Field Grade 1 Certification; and
minimum 2 years as Mid -Level Inspector or equivalent.
Serves as a material coordinator under the general supervision of the
Engineer- In-Charge or designated representative, produces daily, weekly,
and monthly project material sampling and testing reports, analyzes and
Materials Coordinator
evaluates material testing results, and resolves differences in the results.
Responsible for verification of all materials incorporated into a project
including but not limited to certifications, testing, documentation (logging),
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and reporting test results promptly. Qualifications: ATTI "Field and
"Laboratory" Soils and Asphalt Certifications; ACI Concrete “Field” and
“Laboratory” Certifications; and a minimum of 5 years of recent and relevant
experience with similar duties for related projects.
Provides technical analysis for a project. Under general supervision, exercises
considerable and significant independent judgment within established
program parameters, policies, and procedures. Possesses extensive
Project Supervisor knowledge of principles and practices of civil engineering, as applied to the
area of assignment. Supervises, organizes, and prioritizes work assignments
and daily activities of Inspection staff. Qualifications: 15 years relevant
experience OR have a BS in Civil Engineering or Construction Management and
2 years relevant experience.
Supervises construction projects, including determining the acceptability of
materials furnished and work performed, preparing contract supplemental
agreements as needed, verifying and documenting adherence with all
applicable safety and environmental standards, monitoring and documentation
Resident Engineer (RE)
of contractor activities, material testing and documentation, payments to the
contractor, tracking project progress schedules, budgets, and scope. May
include supervision and operations of a field office and staff. Qualifications:
Must have current Arizona Registration as a Civil Engineer and 5 or more years
of relevant experience.
Supervises more complex construction projects, including determining the
acceptability of materials furnished and work performed, preparing contract
supplemental agreements as needed, verifying and documenting adherence
Sr. Resident Engineer with all applicable safety and environmental standards, monitoring and
(SRE) documentation of contractor activities, material testing and documentation,
payments to the contractor, tracking project progress schedules, budgets and
scope. May include supervision of other Resident Engineers and operations of
a field office and staff. Qualifications: Must have current Arizona Registration
as a Civil Engineer and 10 years of relevant experience.
Oversee the work activities of a construction project office and contract and
inspection documentation. Involved in preparing/maintaining reports, pay
items and other financial documentation, change order and related contract
document preparation, federal compliance documentation, etc.
Knowledgeable of the interrelationship of all contract documents used for
construction and Agency policy and procedures. Knowledgeable in computer
Field Office Manager
usage (Excel, Work, Outlook, etc.). On Federal projects must have relevant
experience and expertise in federal compliance requirements including Davis
Bacon provisions, wage conformances, certified payroll review and related
documentation utilizing LCPTracker system, and DBE compliance and
documentation utilizing Arizona LPA system. Qualifications: Minimum 8 years’
relevant experience OR degree in Business/Project Administration, Accounting
or education with math or science emphasis.
Monitors Contractors maintenance and protection of traffic for compliance to
contract requirements, the Manual on Uniform Traffic Control Devices
(MUTCD) and project Special Provisions. Has extensive knowledge and
Traffic Control
background in work zone traffic control procedures. Qualifications: The
Specialist
Traffic Control Specialist will be ATSSA – WZTC Supervisor Certificated and
have a minimum of 5 years of recent and relevant experience in work zone
traffic control for related projects.
Involved during the construction phase for pre-approval of the plant material
before delivery to the project, assist with inspection and oversight of the
landscape planting and irrigation installations; and may review the contractor’s
Registered Landscape
SWPPP and erosion control practices. Conduct monthly inspections with the
Architect
Resident Engineer, the contractor, and other relevant personnel during the
landscape establishment phase; produce and distribute a written report of the
landscape establishment status; and/or make recommendations for
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modifications to the irrigation zones and timing that may be necessary to
complete the establishment phase successfully. Qualifications: Current
Arizona registration as a Landscape Architect; current Erosion Control
Coordinator training; and minimum 5 years’ relevant experience.
2.1. The CONSULTANT shall provide complete construction administration services
to the Maricopa County Department of Transportation, hereinafter referred to
as COUNTY, and serve as an extension of the COUNTY staff. The following
outline is not intended as a complete task listing but as a general outline of the
level of service required.
2.2. The CONSULTANT will administer this Federal Aid construction project for the
COUNTY. The Consultant staff should be well versed in federal aid
requirements and be prepared to comply with all federal reporting, record
keeping/retention, monitoring and other required federal guidelines for both the
Construction and Construction Administration contracts to maintain eligibility
for Federal Funds. The Consultant will be required to obtain and meet the DBE
Goal established by BECO/ADOT for this project or get approval of Good Faith
effort if unable to obtain the established goal.
2.3. Assist and/or represent the COUNTY during ADOT, FHWA, or internal Audits of
this project. The assigned Resident Engineer shall make themselves available
and be able to produce the necessary documents that are requested for these
audits. Should an audit occur after the completion of the current contract, the
COUNTY will enter a new contract or will issue a Work Assignment under an
existing on-call contract specifically for this purpose.
2.4. Consult with COUNTY to determine the general nature, scope, and extent of the
construction administration services required of the WORK and identify the
need for and availability of project data or services
2.5. An IGA between Maricopa County, the City of Glendale, the City of Peoria and
Arizona Department of Transportation associated with this specific Project has
been recorded (20250530103). Furthermore, an IGA between Maricopa County,
the City of El Mirage, the City of Glendale, and the City of Peoria for
improvements to Northern Parkway (SR303 to US60) (20081088049) has
additionally been recorded. Other agreements may be associated with this
project that are not disclosed above. The CONSULTANT will familiarize
themselves with the agreements noted above and shall become familiar with
additional agreements executed prior to or during construction. The
CONSULTANT will lead in coordination with the COUNTY and these named
Parties throughout construction, assuring the conditions and milestones of the
IGA are met and assuring the Final Acceptance of the Project.
2.6. If selected for this contract, and before the submittal of the Fee Proposal,
consult with COUNTY to determine the general nature, scope, and extent of the
construction administration services required of the WORK, unique situations
associated with the project, and to identify the need for, and availability of
project data or services.
After written notice to proceed, CONSULTANT will:
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Docusign Envelope ID: C5841A3A-BBFD-883E-81DA-E1CA80417E72
2.7. With COUNTY approval, procure an Engineer’s Field Office near the project site,
preferably within the project limits. If a suitable location cannot be found
within the project limits, the field office will be located as close to the project as
possible. The Engineer Field Office will accommodate all key project staff and
provide the CONSULTANT with all furniture, facilities, supplies, utilities, and
amenities required to perform day-to-day construction administration for the
life of the construction project or until COUNTY notifies the CONSULTANT
otherwise.
2.8. Provide advice to assist the construction Contractor in obtaining access, and
secure any permits required to enter upon public and private property, as
required, for Construction Team to perform services required for the WORK.
2.9. Maintain a project staff for the full duration of the contract that is
knowledgeable in all areas of work covered within this Scope of Work and the
project’s construction contract documents. Employees of the CONSULTANT or
any SUB-CONSULTANTS who do not perform their work in a safe and
knowledgeable manner, or who are intemperate or disorderly, shall be removed
immediately from the project at the written request of the COUNTY.
2.10. The CONSULTANT or SUB-CONSULTANTS providing services under this contract
cannot have the same parent company or any corporate association with the
contractor(s) performing work for these projects.
3. SPECIFIC WORK REQUIREMENTS
3.1. MANAGEMENT SERVICES
3.1.1. If made available before or during the prosecution of this Construction
Administration Services contract, the CONSULTANT will be required to use the
COUNTY’s Construction Management Software for all responsibilities
prescribed herein.
3.1.2. The CONSULTANT, as contract administrator, will have the sole responsibility
for communicating or relaying information and/or requests to the contractor.
Problems or questions concerning the project, or the contractor will be
addressed to and by the CONSULTANT. The CONSULTANT will be expected to
be actively engaged with the project and respond to project issues
expeditiously to meet the project's time constraints.
3.1.3 The CONSULTANT will provide project field inspection staff with vehicular
transportation, cellular telephone, and any other required devices to
successfully determine the contractor's workmanship quality. Field testing
equipment for soils and/or concrete may be required for work under Section
3.2. All project staff are required to have computer access for effective and
comprehensive documentation, reporting, analysis, and communication.
3.1.4 Prepare, issue, and maintain a list of key personnel assigned to the project,
including contractor and subcontractors, consultants, and any other sub-
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consultant personnel by listing telephone numbers, e-mail addresses,
affiliation, and responsibility.
3.1.5 The CONSULTANT will have thorough working knowledge and prior experience
with Partnering as it relates to the construction of public projects. The
CONSULTANT and the staff will maintain a professional working relationship
with the contractor throughout the construction project.
3.1.6 Either before, or no later than five (5) business days after the Notice to Proceed
for the CONSULTANT, the CONSULTANT will meet with the COUNTY to
establish the Partnering needs and direction as it specifically applies to this
project and the COUNTY’s Partnering Program. This meeting will also identify
all stakeholders beyond the CONSULTANT, COUNTY, and Contractor; address
the Partnering budget; address facilitation of the initial Partnering Workshop
and Pre-Construction meeting; and identify potential venues or formats.
3.1.7 In accordance with the COUNTY Partnering Program, assist the Partnering
facilitator in planning for, and conducting an Initial Partnering Workshop for the
project. This Workshop will review the overall scope and intent of the project;
discuss the principles of Partnering; establish the unified goals of the Project
and the construction team; identify Contractor issues; establish the Project’s
escalation matrix; identify issues of concern from Stakeholders; and develop
action plans to address each issue.
3.1.8 The CONSULTANT will take the lead role in championing Partnering throughout
the duration of the project. Partnering will be a standard agenda item at weekly
construction meetings and will also entail special meetings to specifically
address issue resolution and the effectiveness of Partnering in achieving
resolution and construction team effectiveness. The CONSULTANT will be
responsible for documentation of the Partnering, including details of follow-
through on the action plans for each issue and the resolution of issues.
3.1.9 The CONSULTANT will plan for and conduct the pre-construction meeting for
the project. To maximize the efficiency and attendance of key personnel, the
pre-construction meeting is to be combined with the initial Partnering
Workshop. Agenda templates for the combined meetings are available and will
be tailored to address the specific needs and requirements of the Project. The
conference will be held in one of the conference rooms at Maricopa County
Department of Transportation, located at 2901 West Durango in Phoenix,
Arizona, or other venue and/or format as appropriate. The CONSULTANT will
be solely responsible for notifying the Stakeholders of this and all subsequent
project meetings. Alternative arrangements may be considered for an off-site
location if combined with the initial Partnering Workshop.
3.1.10 The CONSULTANT will be responsible for preparing a schedule of shop
drawings and material submittals to be expected from the Contractor that is
consistent with the project schedule. Additionally, the CONSULTANT will make
early identification of materials with complex specifications and/or long lead
times in procurement and guide Contractor in obtaining early submittal
approval as necessary.
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3.1.11 The CONSULTANT will facilitate the review and approval of project shop
drawings and material submittals. Distribute as necessary to the appropriate
municipal or MCDOT Division if their review is desired or specified. Such
submittals will be stamped either "Approved," "Not Approved." or "Approved as
Noted", as appropriate. All submittal reviews are passed through the
CONSULTANT regardless of other Agency reviews.
3.1.12 If requested, the CONSULTANT will prepare a Material Sample Checklist
outlining the required tests, the frequency of testing and sampling
requirements for materials anticipated for use on the project in accordance
with the MCDOT Sampling & Testing Guide − Federal. The sampling frequency
for Independent Assurance testing will generally occur at the approximate rate
of one per twenty acceptance tests.
3.1.13 The CONSULTANT must additionally prepare a Materials Certification Log that
lists the manufacturer's Certificates of Compliance and Certificates of Analysis
that will be required during construction. The manufacturer’s certifications will
be reviewed to ensure that all materials and manufactured items incorporated
into the project conform to the plans and specifications. The certifications
shall include as a minimum the information listed in Section 106.05 (A), (B),
and (C) of the ADOT Standard Specifications for Road and Bridge Construction
and as modified by the COUNTY. Reference the Certification of Compliance
checklist located in the materials section of the construction management tab
of the MCDOT technical webpage.
3.1.14 All steel and iron products permanently incorporated into the project must be
domestically produced and shall comply with the current “Buy America”
requirements of 23 CFR 635.410. Ensure that all steel and iron products have
appropriate certification statements provided by the manufacturer. Records for
the products must be traceable through heat numbers and mill certificates. The
CONSULTANT shall review and log all certifications. Certifications shall be
verified by visual inspection of the material delivered to the project site.
3.1.15 All construction materials, when used on a federal-aid construction project
shall comply with the requirements of Build America, Buy America (BABA) Act
specified in Title IX, Subtitle A, Part 1, Sections 70901 and 70911-70918 Pub. L.
No. 117-58 §§ 70901; §§ 70911-70918) of the Infrastructure Investment and
Job Act (IIJA). Ensure that all construction materials have appropriate
certification statements. The CONSULTANT shall review and log all
certifications. Certifications shall be verified by visual inspection of the material
delivered to the project site.
3.1.16 The CONSULTANT will submit written narrative progress reports to the
PROJECT MONITOR on a weekly and monthly basis. The weekly reports will be
delivered by 9:00 A.M. Monday following the week covered in the report, and
they will contain considerable detail about activities on the project. Include
detail(s) of the CONSULTANT’s anticipated type and number of project
personnel to adequately cover the work for the upcoming week should also be
included. Project staffing will be proportional to upcoming work, and expertise
will be appropriately assigned.
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3.1.17 A Monthly Project Update will be delivered by the fifth (5) of each month and is
required to consist of a brief recap of the project progress for the previous
month including comments on schedule and progress, deficiencies, and any
problems, which may result in claims or additional expense to the COUNTY.
When seventy percent (70%) of the contract time has been used for the project,
the CONSULTANT will advise the PROJECT MONITOR if the project can be
completed within the original time frame. If the project cannot, a detailed
analysis outlining the time needed to complete the project must be submitted
along with a request for an extension of time to the PROJECT MONITOR. This
analysis and request must be completed and received by the PROJECT
MONITOR prior to eighty percent (80%) of the contract time being used.
3.1.18 Each of the project staff performing inspection or assigned responsibility for
any project operation is required to maintain a diary of detailed information
concerning the contractor’s operations for the specific phase of work they are
assigned to. These diaries will be completed each and every day a project staff
member is actively participating in the contract per the MCDOT Manual for
Construction Management and will be kept on file within the project field office
and will be made available to the COUNTY upon request. The COUNTY will be
utilizing a Web Based Construction Management application which may
be used for diary, RFI, submittals, pay estimates, change orders,
document filing, and other entries. If the system is in place at the time
the construction contract is bid, then the consultant will use the
application. Training of the Web Based Construction Management will
be provided to the Consultant by the COUNTY.
3.1.19 The CONSULTANT will conduct weekly meetings with the Contractor's
supervisory personnel to provide close coordination with the Contractor and
ensure the Contractor's understanding of each aspect of the work. At a
minimum, one meeting per month will include a discussion of the status of the
project’s partnering relationship and a review of the partnering evaluation
results. Likewise, the CONSULTANT must record the minutes from each
weekly meeting and transmit them to all concerned parties and Stakeholders.
The COUNTY will approve the meeting location and schedule.
3.1.20 The CONSULTANT is responsible for determining quantities of finished work
in-place, obtaining the Contractor's concurrence, and preparing monthly
progress payment report(s) utilizing MCDOT’s standard format, and submitting
this progress payment report to the COUNTY within 5 days after the 20th of
each month. Approval of the monthly progress report will be processed via
electronic signatures. Electronic signatures would be routed through
programming as determined by the COUNTY. The CONSULTANT will maintain
separate and distinct records, files, all inspection diaries, logbooks, survey
staking records, material test results and required documentation that justify all
payments for quantity of work in place.
3.1.21 This project has federal funding and must conform to all federal requirements.
These requirements include, but are not limited to, the CONSULTANT reviewing
contractor and sub−contractor payrolls weekly for conformance within
LCPTrackerTM software; reviewing and recommending approval to the
PROJECT MONITOR for any additional wage classification conformance
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requests from the contractor; conducting periodic, confidential interviews with
contractor employees during the execution of the work to verify contractor
wage compliance. The CONSULTANT project staff shall monitor subcontract
compliance for work performed by Disadvantaged Business Enterprise (DBE)
contractors. In the State’s Local Public Agency Contract Management System
the CONSULTANT project staff shall review subcontractor payment data for
prompt payment requirements and monitoring DBE Compliance. The
CONSULTANT project staff will recommend approval, monitor and track
trainee hours for contractor apprentice programs.
3.1.22 The consultant shall review the subcontractor list and verify subcontractor
documents for completeness and accuracy before submitting them to the
PROJECT MONITOR with recommendation for approval. Ensure that SRF
forms, subcontractor agreements, EEO clauses, FHWA 1273 form, contractor
compliance, and special provisions are in compliance, signed, dated, etc.
Ensure that all appropriate federal exhibits are included in the SRF. Contact the
construction branch’s Engineering Specialist for a copy of the most current SRF
form. Monitor the subcontractor’s project involvement as documented within
the subcontract agreements. Furthermore, the CONSULTANT is to actively
monitor that the prime contractor is maintaining a minimum of 50% self-
performance.
3.1.23 The CONSULTANT will perform all contractor employee interviews and DBE
commercially useful function (“CUF”) interviews in accordance with the
executed contract documents.
3.1.24 The CONSULTANT will analyze problems which may arise as the result of any
changes, actual field conditions, alterations, or conflicts and make an
appropriate analysis of alternative actions, submit recommended solutions,
cost analysis, supporting documents, and calculations in writing to the
COUNTY for review and approval. If a change order is required, the
CONSULTANT shall make recommendations for and process change orders
for submittal to the COUNTY for final approval. The COUNTY will be consulted
regarding the format of the Change Order. The COUNTY only accepts change
orders in electronic format. The CONSULTANT will obtain “concurrence” from
the MCDOT PROJECT MONITOR and Chief Construction Engineer on all
Change Orders and “notify” the same on all Change Orders. The CONSULTANT
shall notify the PROJECT MONITOR that ADOT “concurrence” on Major Change
Orders through the ADOT LPA Project Manager is needed. The PROJECT
MONITOR will obtain ADOT “concurrence”. Electronic signatures would be
routed through programming as determined by the COUNTY.
3.1.25 The CONSULTANT will schedule and conduct a final inspection when work is
complete and prepare a list of end-product deficiencies for reinspection
following repair, replacement, or any other authorized remedial effort.
3.1.26 At the conclusion of the project, the CONSULTANT will make the final
determination of all contract quantities. In addition, they will prepare and
submit a final payment request paired with the project’s final quantity analysis,
change orders, and all necessary certificate of performance documents on
COUNTY-approved forms. The project final includes DBE Final Payment
Affidavit documents and/or documentation of revisions to DBE goals.
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3.1.27 In accordance with the MCDOT Construction and Materials Division FINAL
Record Drawing Standard Operating Procedure. The CONSULTANT shall
prepare FINAL Record Drawings by updating an electronic PDF master file of
the COUNTY’s “AS-BID” Plan Set to provide an accurate permanent record of
the project’s actual constructed features. The Record Drawing master file will
be continuously updated throughout construction as changes are constructed
and submitted to the COUNTY within 90 days of construction's Final
Acceptance. The CONSULTANT will use BlueBeam Revu 21 (or a new version
of BlueBeam Revu) to update the Record Drawing master file with all
information concerning changes, additions, or deletions to the original design
shown in red and clouded, with any deleted item(s) crossed or lined out, but not
obscured by the record drawing changes. The CONSULTANT Resident
Engineer will provide a sealed and signed record drawing certification
statement on the cover sheet. The Resident Engineer’s Registered Professional
Civil Engineer seal will be affixed to the cover sheet with, as a minimum, a
certification statement similar to the following:
RECORD DRAWING CERTIFICATION
To the best of my knowledge and belief, the project was constructed as shown
hereon.
3.1.28 The CONSULTANT will establish and maintain a project file according to the
latest MCDOT C&M Division Filing Indexing Guide, and submit the completed
files to the COUNTY, including all shop drawings, daily inspection diaries,
maintenance manuals, manufacturer's instructions, parts lists, or other
pertinent data applicable to the project. Files will also contain copies of all
correspondence, inspection logs, reports, test results, photographs,
documentation for the cause of delays, payment requests, change orders, field
orders and sketches, survey notes, quantity estimates, and such other
applicable documents necessary to provide a complete and accurate job
record from beginning to end. Project Record Documents as defined by the
PROJECT MONITOR will be provided in electronic PDF format monthly
throughout the duration of the project.
3.1.29 The CONSULTANT will submit a final report stating that the project has been
completed in substantial compliance with the contract requirements with the
recommendation that the project be accepted and final payment made to the
Contractor. Closeout documents and examples are provided in the MCDOT
Manual for Construction Management and will be submitted no later than 90
calendar days following the final acceptance of the project.
3.1.30 The CONSULTANT is to provide a post-construction analysis of the project
addressing areas of successful prosecution, and specific types of problems
encountered, along with recommendations for prevention of similar problems
on future projects in the form of the Lessons Learned spreadsheet and be
available to participate in the post-construction “Lessons Learned” Workshop.
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3.2 INSPECTION AND MATERIALS TESTING SERVICES:
The CONSULTANT will provide the following Inspection and Materials Testing
Services:
3.2.1 Perform all inspections and field documentation needed to adequately record
the quality of the work as it is being constructed by the contractor.
3.2.2 Provide at least one qualified inspector on the site, as required, when work is
being performed by the Contractor. Provide additional project staff as necessary
to match the production of the Contractor, which will remain consistent with the
negotiated staffing plan for the contract. The project will require specialty
inspection experience of: structures and walls, traffic signals and roadway
lighting. The CONSULTANT will provide an inspector with project-specific
experience of no less than two prior projects of similar components. The
CONSULTANT will submit the proposed inspector's resume and specialty project
experience information for review and consideration.
3.2.3 Inspect work in progress, finished work, and keep the Contractor informed of the
acceptability status of the work. If the CONSULTANT's project personnel observe
or are aware of unsafe practices of site safety conditions that are patently
unacceptable and jeopardize the life and health of employees on the site, or the
public, and endanger property adjacent to the work site, the CONSULTANT will
immediately notify Contractor and the COUNTY of such unsafe conditions.
Nothing herein is intended to relieve the Contractor of his contractual
responsibility for safety on the project or to make the CONSULTANT responsible
for Contractor safety procedures.
3.2.4 The CONSULTANT will inspect material stored on-site to verify it is stored
properly to prevent damage to the material.
3.2.5 The CONSULTANT shall complete photographic coverage of the project before
and after construction is not required; however, periodic photographic coverage
of the site during construction and for the prosecution of construction milestones
is mandatory. At a minimum, photographs must be accompanied with the
following details: the calendar date, the time of day, the cardinal direction of the
photo, and a brief description of the photograph’s content. Critical developments
or conditions during construction will be photographed and included in the
inspection record, which will include but not be limited to flood damage,
accidents, substandard work, structural failure, or any other instance that is
deemed pertinent by the Inspector.
3.2.6 The CONSULTANT will perform thorough inspections before terminal operations,
such as backfilling, concrete pours, asphalt paving, and pipeline testing and
inspecting. All corrective orders to the Contractor will be made in writing and
corrective actions documented within the inspection record.
3.2.7 The CONSULTANT will maintain close contact with the Contractor and keep
continuously aware of the current schedule. The CONSULTANT will keep the
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Contractor aware of the inspection and testing requirements and the effect these
have on scheduled work to avoid delays and misunderstandings.
3.2.8 In support of the Materials Sampling and Testing Plan, the CONSULTANT shall
perform the following Quality Assurance tasks:
• All required field sampling and testing.
• All laboratory testing required for aggregates, asphaltic concrete, and Portland
cement concrete samples.
• All inspection and testing at the fabrication facility for pre-cast structural
elements
• All sampling and testing of steel reinforcement incorporated into the Project in
accordance with the ADOT Materials Testing Manual – Series 900, Appendix C,
Table 5, and the Project Materials Testing Plan.
• The transporting and delivery of laboratory samples from the project site to
the CONSULTANT-designated laboratory.
• Furnish all necessary field and laboratory sampling containers.
• Review for conformance all Certificates of Compliance and/or Certificates of
Analysis provided by the contractor.
COUNTY personnel will perform the Independent Assurance sampling and testing
of materials incorporated into the project at the required frequency outlined within
the Materials Sampling and Testing Plan.
3.2.9 The CONSULTANT staffing will include a Qualified Hot Plant Inspector at the
plant throughout asphaltic concrete production to ensure asphalt mixing is in
conformance with all applicable specifications and standard industry practices.
3.2.10 All project field testing, laboratory testing, material reports, and test data
generated under the CONSULTANT’s direct supervision will be reviewed and
signed by a Professional Engineer registered in the State of Arizona and
incorporated into the Project Closeout.
3.2.11 At least eighty percent (80%) of the CONSULTANT'S inspection team will meet
the following requirements:
• Engineer-in-Training certified by the State of Arizona with two years of roadway
construction experience, acceptable to the COUNTY.
• An individual with three years of roadway experience, acceptable to the
COUNTY, and a Bachelor of Science Degree in Civil Engineering, Civil
Engineering Technology or Construction Management.
• An Engineering Technician in Civil Engineering Technology with five years of
roadway construction experience, acceptable to the COUNTY, with field
certifications recognized by the American Concrete Institute (ACI) and the
Arizona Technical Testing Institute (ATTI).
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Docusign Envelope ID: C5841A3A-BBFD-883E-81DA-E1CA80417E72
4. PROJECT MONITOR
The COUNTY will assign a staff member to serve as the contact person for the
CONSULTANT. The COUNTY representative will periodically visit the site to keep informed
of the job conditions and progress and may, from time to time, issue instructions or make
suggestions to facilitate the work. The COUNTY representative will not assume the duties
or responsibilities of the CONSULTANT under this Contract. The COUNTY representative
will not perform any of the inspections before the final inspection and will not solve routine
problems for the CONSULTANT. Problems of an unusual nature will be referred to the
COUNTY representative, along with the CONSULTANT'S recommendation for solving the
problem. The assigned representative will be the CONSULTANT'S primary contact. All
transactions with the COUNTY under this Contract will be conducted through and all
correspondence will be directed to the assigned representative.
5. CORRESPONDENCE AND REPORTS
In addition to project file requirements, the CONSULTANT will submit copies of all
correspondence with the Contractor to the COUNTY as soon as possible. Weekly meeting
minutes signed by both the CONSULTANT and CONTRACTOR will be transmitted to the
COUNTY weekly. Reporting will be as detailed in Section 3.1.
6. DURATION OF CONTRACT AND PAYMENT FOR SERVICES
6.1 The performance period of each work assignment will extend from the date of the
Notice to Proceed to CONSULTANT, to One-hundred and eighty (180) calendar days
after final construction project acceptance. The term of each work assignment will
be extended by change order to correspond to any extensions to the construction
contract.
6.2 Whenever Contractor is prevented from working due to causes beyond its control,
the CONSULTANT'S presence at the job site may not be required with the same
frequency and/or duration as during construction activity.
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7. ADDITIONAL SERVICES
7.1 Following express written authorization by the COUNTY, the CONSULTANT will
provide job site construction administration services on an overtime basis, in
accordance with Exhibit B, Consultant's Fee Schedule.
7.2 Constructability Review: Upon the COUNTY’S written request, the CONSULTANT
will provide a constructability review of contract documents. Items to include, but
not be limited to:
• Plan-in-hand inspection of the project site. This on-site inspection will
include actual field conditions that may not be accurately depicted within
the Plans due to the date of planned development, omissions, or other
reasons. Note any conflicts not identified within the Plans.
• Review the Special Provision wording for continuity as they relate to the
MAG Standard Specifications, the MCDOT Supplement to the MAG
Standards, and other Agency specifications (as applicable).
• Note any missing bid items MCDOT normally incorporates, such as the
inclusion of items for Variable Message Boards and Uniformed Off-Duty
Officers.
• Review and ensure that quantities on the Bid Schedule are in agreement
with both those on the Plan Quantity Summary Sheets and the Plan sheet
callouts.
• Review and note any conflicting information between Plans, Special
Provisions, MAG Standards, and MCDOT Supplement to MAG.
Note if the Special Provisions and their Measurement and Payment
sections adequately address the scope of the work within each
CONTRACT bid item. Particular attention will be given to the “Remove
and Reconstruct” or “Relocate and Adjust” bid items.
• Attend Comment Resolution or other meetings with COUNTY as required.
• Assist MCDOT PM and Project Designer in preparation of the Addenda to
Advertisement for construction.
7.3 Post-construction activities will include the reconciliation of conditions in the IGA
between the COUNTY, the City of Peoria, the City of Glendale, and the City of El
Mirage as defined within the Agreement(s).
7.4 Inspection for early utility relocations is not anticipated under this contract.
7.5 The CONSULTANT may suggest other additional services that may be required,
upon written authorization by the COUNTY.
(END OF SCOPE OF WORK)
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EXHIBIT B
CONSULTANT’S FEE PROPOSAL
CONTRACT NO. 2026-033
PROJECT NO. TT0372
NORTHERN PARKWAY – 103RD AVENUE TO 91ST
AVENUE, PHASE 1

Docusign Envelope ID: C5841A3A-BBFD-883E-81DA-E1CA80417E72
FEE PROPOSAL - TABLE A
CONSULTANT
COST PROPOSAL SUMMARY
CONSULTANT: Consultant Engineering Inc. (CEI) CONTRACT NO.: 2026-033
PROJECT NAME: TT0372: Northern Parkway - 103rd Avenue to 91st Avenue (Phase 1)
DIRECT LABOR
Classifications Man-hours Hourly Rates Labor Costs
Project Principal 66 $99.75 $6,583.50
Sr. Resident Engineer 1714 $96.75 $165,829.50
Project Supervisor 1644 $77.40 $127,245.60
Lead Inspector (Electrical) 1056 $56.07 $59,209.92
Level 2 Inspector 2112 $47.36 $100,024.32
Level 1 Inspector 1056 $43.05 $45,460.80
Registered Landscape Architect 312 $53.55 $16,707.60
Scheduler (Reviewer) 112 $68.25 $7,644.00
Field Office Manager 0 $48.54 $0
Consultant’s Subtotal Direct Labor $528,705.24
Consultant’s Overhead @ 145.28% of Direct Labor $768,102.97
Consultant’s Profit @ 10% of Direct Labor + Overhead $129,680.82
Consultant’s Total Direct Labor $1,426,489.03
DIRECT AND OUTSIDE EXPENSES
DESCRIPTION EXPENSE AMOUNT
Local Mileage @ $0.725 per mile for 25,860 miles for Construction $18,748.50
Phase and Landscape Establishment Phase
Consultant’s Total Direct and Outside Expenses $18,748.50
Cost Proposal Summary (Optional Tasks) Page 1 of 3
Maricopa County Department of Transportation

Docusign Envelope ID: C5841A3A-BBFD-883E-81DA-E1CA80417E72
FEE PROPOSAL - TABLE A
CONSULTANT
COST PROPOSAL SUMMARY
SUBCONSULTANT(s)
NAME OF SUBCONSULTANT TASK TOTAL COST
Tristar Field Office Management & Field $549,743.17
Quality Testing (QT) Material Testing $329,440.48
Total Subconsultant(s) $879,183.65
Consultant’s Total Direct Labor $1,426,489.03
Consultant’s Total Direct and Outside Expenses $18,748.50
Total: $1,445,237.53
Consultant’s Totals of Direct Labor and
Direct and Outside Expenses $1,445,237.53
OPTIONAL TASK ALLOWANCES
TASK ESTIMATED COST
Overtime allowance during Construction phase $80,000.00
Construction Field Office rental (including office $150,000.00
supplies, internet services, utilities, and
maintenance costs) @ $10,000.00 per month for 15
months
TOTAL $230,000.00
TOTAL PROPOSED FEE $2,554,421.18
Consultant Engineering, Inc. (Inclusive of Consultant and Subconsultant[s] total proposed fee.)
Firm
Signature
Senior Vice President
Title
7/14/2026
Date
Cost Proposal Summary (Optional Tasks) Page 2 of 3
Maricopa County Department of Transportation

Docusign Envelope ID: C5841A3A-BBFD-883E-81DA-E1CA80417E72
FEE PROPOSAL - TABLE B
CONSULTANT/SUBCONSULTANT
SCHEDULED PROJECT MAN-HOURS
CONSULTANT/SUBCONSULTANT NAME: _ Consultant Engineering Inc. (CEI) CONTRACT NO: 2026-033_________________
PROJECT NAME: TT0372: Northern Parkway - 103rd Avenue to 91st Avenue (Phase 1) ___________________________________________________________________
DATE:_____7/14/2026_________________
MAN-HOURS 2026 ESTIMATED MAN-HOURS 2027 2028
PROJECT PERSONNEL OCT NOV DEC JAN FEB MAR APR MAY JUN JUL AUG SEP OCT NOV DEC JAN FEB MAR TOTALS
Project Principal 2 2 8 4 4 4 4 4 4 4 4 4 4 4 4 2 2 2 66
Senior Resident Engineer 40 16 8 120 120 120 120 120 120 120 120 120 120 120 120 120 60 30 1714
Project Supervisor 0 0 0 132 132 132 132 132 132 132 132 132 132 132 132 40 20 0 1644
Lead Inspector (Electrical) 0 0 0 0 0 0 0 0 0 176 176 176 176 176 176 0 0 0 1056
Level 2 Inspector 0 0 0 176 176 176 176 176 176 176 176 176 176 176 176 0 0 0 2112
Level 1 Inspector 0 0 0 176 176 176 176 176 176 0 0 0 0 0 0 0 0 0 1056
Registered Landscape Architect 0 0 0 8 8 8 8 8 8 8 8 8 40 40 40 40 40 40 312
Scheduler 0 0 16 8 8 8 8 8 8 8 8 8 8 8 8 0 0 0 112
TOTAL 42 18 32 624 624 624 624 624 624 624 624 624 656 656 656 202 122 72 8072
Page_1___of__1__
Maricopa County Department of Transportation Contract Templates\Table B - Sch Proj ManHrs

Docusign Envelope ID: C5841A3A-BBFD-883E-81DA-E1CA80417E72
TABLE C
CONSULTANT/SUBCONSULTANT
ESTIMATED MAN-HOURS AND DIRECT LABOR
CONSULTANT/SUBCONSULTANT NAME: Consultant Engineering Inc. (CEI)____________________________________ Contract No.: 2026-033_________________
PROJECT NAME:_TT0372: Northern Parkway - 103rd Avenue to 91st Avenue (Phase 1) __________________________________________________________________________
DATE:_07/14/2026__________________
DIRECT LABOR CLASSIFICATIONS TOTAL TOTAL
Registered
Project Sr. Resident Project Lead Level 2 Landscape Level 1
CONTRACT TASK/PHASE
Principal Engineer Superviosr Inspector Inspector Architect Scheduler Inspector
($99.75/HR) ($96.75/HR) ($77.40/HR) ($56.07/HR) ($47.36/HR) ($53.55/HR) ($68.25/HR) ($43.05/HR) ($/HR) ($/HR) MAN-HOURS LABOR
Preconstruction Phase 12 64 16 92 $8,481.00
Construction Phase 48 1440 1584 1056 2112 192 96 1056 7584 $488,238.24
Closeout Phase 6 210 60 120 396 $31,986.00
66 1714 1644 1056 2112 312 112 1056 0 0 8072 $528,705.24
PAGE__1___ OF__1___
Maricopa County Department of Transportation Contracts Templates\Table C - Est Man Hrs Direct Labor

Docusign Envelope ID: C5841A3A-BBFD-883E-81DA-E1CA80417E72
OVERTIME RATE DESIGNATION - TABLE D
CONSULTANT
COST PROPOSAL SUMMARY
CONSULTANT: Consultant Engineering Inc (CEI) CONTRACT NO.: 2026-033
PROJECT NAME: TT0372: Northern Parkway - 103rd Avenue to 91st Avenue (Phase 1)
DIRECT LABOR
Classifications Hourly Rates OT Factor OT Rate
Lead Inspector $56.07 1.5 $84.10
Level 2 Inspector $47.36 1.5 $71.04
Level 1 Inspector $43.05 1.5 $64.58
Overtime allowance will be provided separately by MCDOT and will require approval by the MCDOT
Project Manager prior to use.
Overhead and profit will be applied to the base OT rate for actual hours worked over 40 in a single week.
Consultant Engineering, Inc.
Firm
Signature
Senior Vice President
Title
7/14/2026
Date

Docusign Envelope ID: C5841A3A-BBFD-883E-81DA-E1CA80417E72
FEE PROPOSAL - TABLE A
SUBCONSULTANT
COST PROPOSAL SUMMARY
SUBCONSULTANT: Quality Testing, LLC CONTRACT NO: 2026-033, Task
PROJECT NAME: Northern Parkway - 103rd Avenue to 91st Avenue (Phase 1) / TT0372
DATE: 6/25/2026 VERSION: V3
DIRECT LABOR
Classifications Man-Hours Hourly Rates Labor Costs
Materials Engineer (ME) 156 $118.65 $18,509.40
Materials Coordinator (MC) 1,276 $50.00 $63,800.00
Lead Inspector (I-L) 0 $61.43 $0.00
Traffic Control Specialist (TCS) 0 $52.50 $0.00
Level 2 Inspector (I-2) 0 $47.25 $0.00
Level 1 Inspector (I-1) 0 $39.72 $0.00
Hot Plant Inspector (I-HP) 176 $47.25 $8,316.00
Consultant's Subtotal Direct Labor $90,625.40
Consultant's Overhead @ 158.77% of Direct Labor $143,885.95
Consultant's Profit @ 10.00% of Direct Labor + Overhead $23,451.13
Subconsultant's Total Direct Labor $257,962.48
DIRECT AND OUTSIDE EXPENSES
Description Expense Amount
ME Mileage (12 trips X 100 miles = 1200 miles) X ($0.725) = $870.00
MC Mileage (60 trips X 100 miles = 6000 miles) X ($0.725) = $4,350.00
I-L Mileage (0 trips X 100 miles = 0 miles) X ($0.725) = $0.00
TCS Mileage (0 trips X 100 miles = 0 miles) X ($0.725) = $0.00
I-2 Mileage (0 trips X 100 miles = 0 miles) X ($0.725) = $0.00
I-1 Mileage (0 trips X 100 miles = 0 miles) X ($0.725) = $0.00
I-HP Mileage (20 trips X 100 miles = 2000 miles) X ($0.725) = $1,450.00
LABORATORY TESTING (per attached Laboratory Testing Estimate) $64,808.00
Note: Mileage will be billed at the Current GSA Rate (current rate is $0.725/mile)
Subconsultant's Total Direct and Outside Expenses $71,478.00
Subconsultant's Total Direct Labor $257,962.48
SUBCONSULTANT'S TOTAL PROPOSED FEE $329,440.48
Quality Testing, LLC
Firm
Jeffery M. Schaper, PE
Signature
President
Title
6/25/2026
Date

SUB TOTALS 98 836 0 0 0 0 176 0 0 0 0 0 0 0 0 0 0 0 0 1110 ManHrs
Proj
Sch
Sep 2027 CONS 10 88 - B
2026-033 V3 Aug 2027 CONS 10 88 Templates\Table
NO:
VERSION: Jul 2027 CONS 10 88 Contract
CONTRACT
Jun 2027 CONS 10 88
MAN-HOURS May 2027 CONS 10 88 88
B TT0372
MAN-HOURS / Apr 2027 CONS 10 88 88
TABLE 1) ESTIMATED
- (Phase Mar 2027 CONS 10 88
CONSULTANT/SUBCONSULTANT PROJECT Avenue
PROPOSAL Feb 2027 CONS 10 88
LLC 91st
to
FEE SCHEDULED Testing, Jan 2027 CONS 10 88
Avenue
Quality 103rd Dec 2026 PRE 8 44
-
Parkway 6/25/2026 Nov 2026 PRE
Northern Oct 2026 PRE
: Transportation
C5841A3A-BBFD-883E-81DA-E1CA80417E72
of
PHASE Department
Specialist TOTAL
CONSULTANT/SUBCONSULTANT NAME: PERSONNEL Engineer Coordinator Inspector SUB County
ID: Inspector Control Inspector Inspector
Envelope MAN-HOURS CONSTRUCTION 2 1 Plant Maricopa
PROJECT DATE: PROJECT Materials Materials Lead Traffic Level Level Hot
Docusign

SUB TOTALS 58 440 0 0 0 0 0 0 0 498 ManHrs
Proj
Sch
Sep 2028 - B
2026-033 V3 Aug 2028 Templates\Table
NO:
VERSION: Jul 2028 Contract
CONTRACT
Jun 2028
MAN-HOURS May 2028
B TT0372
MAN-HOURS / Apr 2028
TABLE 1) ESTIMATED
- (Phase Mar 2028 POST 8 44
CONSULTANT/SUBCONSULTANT PROJECT Avenue
PROPOSAL Feb 2028 POST 10 44
LLC 91st
to
FEE SCHEDULED Testing, Jan 2028 POST 10 88
Avenue
Quality 103rd Dec 2027 CONS 10 88
-
Parkway 6/25/2026 Nov 2027 CONS 10 88
Northern Oct 2027 CONS 10 88
: Transportation
C5841A3A-BBFD-883E-81DA-E1CA80417E72
of
PHASE Department
Specialist TOTAL
CONSULTANT/SUBCONSULTANT NAME: PERSONNEL Engineer Coordinator Inspector SUB County
ID: Inspector Control Inspector Inspector
Envelope MAN-HOURS CONSTRUCTION 2 1 Plant Maricopa
PROJECT DATE: PROJECT Materials Materials Lead Traffic Level Level Hot
Docusign

GRAND TOTALS 156 1,276 0 0 0 0 176 0 0 1,608 ManHrs
Proj
Sep 2030 Sch - B
2026-033 V3 Aug 2030 Templates\Table
NO: VERSION: Jul 2030 Contract
CONTRACT
Jun 2030
MAN-HOURS May 2030
B TT0372
MAN-HOURS / Apr 2030
TABLE 1) ESTIMATED
- (Phase Mar 2030
CONSULTANT/SUBCONSULTANT PROJECT Avenue
PROPOSAL Feb 2030
LLC 91st
to
FEE SCHEDULED Testing, Jan 2030
Avenue
Quality 103rd Dec 2029
-
Parkway 6/25/2026 Nov 2029
Northern Oct 2029
C5841A3A-BBFD-883E-81DA-E1CA80417E72 : Transportation
of
PHASE Specialist TOTAL Department
ID: CONSULTANT/SUBCONSULTANT NAME: PERSONNEL Engineer Coordinator Inspector GRAND County
Inspector Control Inspector Inspector
Envelope PROJECT MAN-HOURS PROJECT CONSTRUCTION Materials Materials 2 1 Plant Maricopa
DATE: Lead Traffic Level Level Hot
Docusign

1
OF
$8,964.10 $214,492.90 $34,505.48 $257,962.48 1
TOTAL LABOR (Burdened) PAGE Labor
Direct
Hrs
Man
TOTAL MAN- HOURS 52 1352 204 1608 Est
V3 - C
VERSION: 0 0 0 0 Templates\Table
0 0 0 0 Contracts
Task
hr
LABOR 2026-033, I-HP / 0 176 0 176
47.25
DIRECT NO: hr
TT0372 I-1 / 0 0 0 0
39.72
C AND CONTRACT /
1) hr
TABLE CONSULTANT/SUBCONSULTANT (Phase I-2 / 0 0 0 0
47.25
MAN-HOURS CLASSIFICATIONS
Avenue hr
TCS / 0 0 0 0
LLC 91st 52.50
to LABOR
ESTIMATED hr
Testing, Avenue I-L / 0 0 0 0
DIRECT 61.43
Quality 103rd
hr
- MC / 44 1056 176 1276
50.00
Parkway
6/25/2026
hr Transportation
C5841A3A-BBFD-883E-81DA-E1CA80417E72 /
: Northern ME 118.65 8 120 28 156
of
Department
TASK/PHASE County
ID: CONSULTANT/SUBCONSULTANT
Envelope NAME: Maricopa
CONTRACT Pre-Construction Post-Construction
Construction
Docusign PROJECT DATE: TOTALS

9,834.00 - - - - - - - - - - - - 9,834.00 - - - 348.00 540.00 - 336.00 - - - 5,460.00 - 3,744.00 - - 4,140.00 750.00 - - 540.00 680.00 - - - - - - - - - - - - - - 16,538.00 1,752.00 - - 2,220.00 2,100.00 1,260.00 - - 2,604.00 3,192.00 -
EXTENDED AMOUNT
$ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $
1 EST QTY 20% 447 0 0 0 0 0 0 0 0 0 0 0 0 SUBTOTAL 20% 0 0 0 3 2 0 3 0 0 0 39 0 26 0 0 46 10 0 0 10 10 0 0 0 0 0 0 0 0 0 0 0 0 0 0 SUBTOTAL 10% 73 0 0 3 14 14 0 0 14 14 0
Phase
MASONRY AGGREGATE
Ave Add Add Add
MIN QTY 372 0 0 0 0 0 0 0 0 0 0 0 0 AND 0 0 0 2 1 0 2 0 0 0 32 0 21 0 0 38 8 0 0 8 8 0 0 0 0 0 0 0 0 0 0 0 0 0 0 66 0 0 2 12 12 0 0 12 12 0
ESTIMATE Quantities) Est. Est. & Est.
91st
to TT0372 CONCRETE SOIL
22.00 72.00 36.00 11.00 31.00 31.00 31.00 68.00 58.00 384.00 132.00 132.00 68.00 42.00 Quote 75.00 114.00 134.00 116.00 270.00 384.00 112.00 22.00 43.00 120.00 140.00 180.00 144.00 180.00 132.00 90.00 75.00 90.00 180.00 54.00 68.00 360.00 180.00 180.00 180.00 720.00 113.00 113.00 180.00 46.00 115.00 180.00 180.00 270.00 113.00 24.00 46.00 36.00 740.00 150.00 90.00 180.00 22.00 186.00 228.00 900.00
Ave Plan Quote Quote Quote
TESTING UNIT RATE
Project
103rd Project
$ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $
- MCDOT BORATORY on 3 of 3 of 3 of 2 of
UNIT Each Each Each Each Each Each Each Each Each Set Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each
Parkway Set Set Set Set
(Based
LA
Northern
T24)
T22, T275)
T112)
T22) C140) AASHTO T304) T265) T85) T193) ) AASHTO T308) T245)
T217) T84) AASHTO 241a) T166) T308) T166)
LABOR) AASHTO C1019) C1314) C1314, C39, T96) AASHTO T265, AASHTO T90) T90) AASHTO AASHTO T208) T216) T113) T297/T296 (ARIZ AASHTO AASHTO T209) T287)
FIELD C39, (ASTM C42, LABOR) D5821) AASHTO T89, T89, T134) T11) AASHTO T236) AASHTO C142, LABOR) AASHTO D1188, AASHTO D2041, T312, D4125,
T97) T24) (ASTM C109) C780) (ASTM (ASTM T104) C1252, AASHTO D2216, AASHTO T27, C127, C128, T100) T88) D1883, AASHTO AASHTO (ASTM AASHTO AASHTO Specimen D2726, (ASTM D6307, T27) D2726, AASHTO
FAX (ASTM Strength FIELD T19) (ASTM C131, AASHTO AASHTO T180) T99) T176) D4546) D2166, FIELD D6307, AASHTO (ASTM (ASTM
INCLUDING AASHTO AASHTO Strength (ASTM (ASTM C140) C140) Strength Strength Rate D4791) Faces) C88, (ASTM D4944, (ASTM D558, AASHTO Agg.)(ASTM AASHTO 236) AASHTO (ASTM D2435, C123, Cement (ASTM (Coated) (ASTM D6926, D2726,
(480)496-2001 Specimen Strength 140) C Emission INCLUDING AASHTO (ASTM (ASTM (ASTM sample) D4318, D4318, AASHTO AASHTO AASHTO Agg.)(ASTM D854, ARIZ (ASTM points) D3080, (ASTM Aggregates D5333) (ASTM D7181/4767/2850, Soil INCLUDING (ASTM Content C136, (ASTM D6927) Mixture Calibration
Testing Place 85233 (NOT C78, C42, Compressive Strength (ASTM (ASTM Compressive Compressive C29, CA (Fractured (LA) Aggregate D2216, (ASTM (ASTM C117, (Coarse (Fine 236) D422, T92) (3 (ASTM 249) in or mix) HMA D6925, -
Hamilton 114 Ste AZ Cylindrical (ASTM (ASTM Total)(ASTM Compressive Vapor (NOT 233C) in Aggregates (ASTM (ring (ASTM D1557, D698, Mixtures D2419, C136, (ASTM D2976, (ARIZ D4829) (CBR) point)(ASTM Strength (ARIZ Particles (ASTM Aggregate D3744) C40) CTB (NOT Gravity/Thickness Gravity/Thickness thickness) (per Cement (ASTM Density (ASTM of Gauge
Quality S. 175 6, Bld Gilbert, (480)496-2000, www.qt-az.com MASONRY Compressive Compressive Strength Ungrouted, (ASTM Particles CA Aggregate Fine of Wt. Prep Prep (ASTM (ASTM Soils (ASTM (ASTM (AASHTO Swell/Settlement Consolidation Soils (ASTM (ASTM of 8" Bulk Flow Gravity (ASTM
Strength, Testing Cores Specimen Prisms, Area/Absorption CMU Grouted, Core, Moisture Design Voids (ARIZ in of Voids Unit / Dry Wet Cement (ASTM (ASTM Gravity/Absorption Gravity/Absorption of Determination (ASTM Ratio (per Compressive Sample Test Friable of in (ASTM Strength MIXTURES to Calibration Asphalt Gradation & Content
AND Beam Concrete Grout Cylinders, Compressive (6 Set Prism, Prism, Panel Floor Mix AGGREGATE & Index Elongated Particles Coarse Soundness Determination Moisture Index, Index, Modified Standard Gravity Analysis Factor Index Bearing Test Soil & Potential Pieces Test Index Impurities Specific Specific (up - - - Specimen Stability Specific Compaction Asphalt
Concrete Cubes, Net Full Density of Soil Equivalent Analysis Determination Dimensional Shear Dimensional Percolation Lumps Shear Cores Oven Oven Oven
CONCRETE Compressive Flexural Obtain Trim Masonry Mortar Mortar CMU, CMU, CMU, Masonry Masonry Shotcrete Concrete Concrete & SOIL Bulk Flakiness & Fractured Abrasion Sulfate Uncompacted Moisture In-Situ Plasticity Plasticity Proctor, Proctor, Proctor, Sand Sieve Specific Specific Specific Resistivity Hydrometer Shrinkage Expansion One California Direct Unconfined One Remolding Field Clay Collapse Lightweight Triaxial Durability Organic Compressive ASPHALT Bulk Core Bulk Core AC Ignition Ignition Ignition Marshall Marshall Maximum Gyratory Nuclear
C5841A3A-BBFD-883E-81DA-E1CA80417E72 Flat pH Drill
301 302 303 304 305 306 307 308 309 310 311 312 313 314 315 401 402 403 404 405 406 407 408 409 410 411 412 413 414 415 416 417 418 419 420 421 422 423 424 425 426 427 428 429 430 431 432 433 434 435 436 437 438 501 502 503 504 505 506 507 508 509 510 511
ID:
Envelope
Docusign

- 13,128.00 2,352.00 - - - - - - - - - - - - - - - - - - - - - - - - - - - - 2,352.00 - - - - - - - - - - 1,356.00 - - - - - - - - - - - - - - - - - - - - -
EXTENDED AMOUNT
$ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $
1 EST QTY 0 SUBTOTAL 0% 2 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 SUBTOTAL 0% 0 0 0 0 0 0 0 0 0 SUBTOTAL 0% 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
Phase
MIXTURES CEMENT RUBBER
Ave Add Add Add
MIN QTY 0 2 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
ESTIMATE Quantities) Est. ASPHALT Est. ASPHALT Est.
91st ASPHALT
to TT0372
660.00 Quote Quote 1,176.00 1,440.00 276.00 360.00 360.00 720.00 588.00 132.00 180.00 312.00 360.00 276.00 180.00 228.00 540.00 132.00 180.00 180.00 180.00 132.00 180.00 180.00 138.00 132.00 900.00 132.00 132.00 228.00 360.00 180.00 228.00 132.00 132.00 276.00 228.00 132.00 132.00 132.00 1,356.00 1,356.00 1,260.00 1,356.00 1,260.00 1,356.00 180.00 360.00 180.00 132.00 228.00 360.00 312.00 276.00 180.00 378.00 180.00 408.00 180.00 180.00 96.00 1,440.00
Ave TESTING Plan UNIT RATE
Project
103rd Project
$ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $
- 6
MCDOT BORATORY on UNIT of Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each
Parkway Set
(Based
LA
Northern T48)
T164) T201) AASHTO T49) T44) M140)
T283) AASHTO T315) T316) T316) AASHTO D92, AASHTO AASHTO M208) 27)
T313) T240) T350) T48) T53) AASHTO D2397, Section T59)
AASHTO AASHTO AASHTO AASHTO T202) D2170, (ASTM T79) D5,
D2172, AASHTO AASHTO AASHTO T51) AASHTO (ASTM M20) AASHTO D2042, D977, M140) M140) (ASTM M208) T59) T59, AASHTO T59) T78) M140)
D4867, T315) D7175, T313) D4402, D4402, AASHTO (ASTM product AASHTO T49) T228) (ASTM T55) CT208) D7497) T59)
(HMA)(ASTM D6648, T316) D4878/D5018) R28) T240) D2872, 7405, AASHTO D92, 25ºC) (AASHTO D36, D5018) (ASTM AASHTO AASHTO CSS-1h AASHTO (AASHTO (AASHTO T59) T59) D244, 504) AASHTO AASHTO AASHTO
FAX (ASTM AASHTO (ASTM AASHTO Aging (ASTM (ASTM (ASTM D2171, 60ºC) T301) (ASTM co-polymer D3143, 77ºF; AASHTO (ASTM AASHTO AASHTO D2196) D1817, T59) SS-1h (ASTM AASHTO
(ASTM AASHTO ASTM Points Points AASHTO AASHTO (ASTM 140ºF, D113, Tricloroethylene D95, ASTM D977, D977, CSS-1, D2397, 713) Emulsion Emulsion (AASHTO AASHTO CT331) (ASTM (ARIZ D6837, D244, D402, T59) D977,
(480)496-2001 (TSR) Asphalt D7175, Sweep D6648, RTFO/PAV 3 4 Loss (MSCR) (ASTM or (ASTM AASHTO Cup, Cup, (ASTM than D5, Verification Ball) D70, or (ASTM (ASTM AASHTO SS-1, D2393, Temperature Emulsion (ASTM
Testing Place 85233 HMA Mix R29) (ASTM Temp (ASTM Hardening D4402, D2994, Sweep Sweep 6521, D2872, Mass 135ºC Open Open Cup other (ASTM & in (ASTM D2994 Sealant ASPHALT RS-2, (ASTM (ASTM CRS-2, (ASTM (MAG Setting Setting Coating D244, Distillation (ASTM (ASTM (ASTM AASHTO T59)
Hamilton 114 Ste AZ (480)496-2000, www.qt-az.com of Design Hot M320) with (ASTM (ASTM with Recovery 60ºC) Materials D6084, Open Asphalt (Ring (ASTM Materials Rubber Rubber C136) D5329, HFRS-2 QS-1H CRS-1, CQS-1h CQS-1h Slow Slow (ASTM (ASTM Low by Modified Asphalt Verification
Quality S. 175 6, Bld Gilbert, Damage of (AASHTO (AASHTO Rheometer Rheometer, Physical (ASTM (ASTM Temp Temp (140ºF, (275ºF, (ASTM Cleveland Cleveland Tag Temperatures 25ºC) (PG) Bitumen Binder Products (ASTM Crack D5329) Crumb (ASTM (ASTM CUTBACK RS-1, Distillation D139) Cutback D244, (AASHTO
Mix Extraction CEMENT Rheometer Rheometer with Vessel Oven Oven Creep Bituminous 77ºF; of of Asphalt RUBBER of Crumb Cationic Cationic Asphalt/Aggregate Evaporation Evaporation Evaporation, Distillate of on (ASTM Test
Induced Concrete Viscosity Viscosity, Viscosity, Viscosity, Aging Film Film Viscosity Viscosity Point, Point, Point, (@ (@ Grade Point Petroleum Viscosity Viscosity Viscosity (ASTM of Gradation & Verification, Verification, Verification, Verification, Verification, Verification, of of Oil Distillation Emulsified (ASTM Fraction Emulsion
Verification Classification Shear Shear Beam Beam Beam Thin Thin Stress of Recovery Fire Fire Fire Gravity of Gravity Density Viscosity Penetration by by by and of Temperature Mixing (SE214)
Moisture Asphalt Quantitative ASPHALT Dynamic Dynamic Bending Bending Bending Rotational Rotational Rotational Rotational Pressure Rolling Rolling Multiple Absolute Kinematic Ductility Elastic & Flash & Flash & Flash Penetration Penetration Penetration Softening Specific Soulubility in Water ASPHALT Brookfield Brookfield Rotational Resilience Specific Rubber Haake Cone EMULSIONS Emulsion Emulsion Emulsion Emulsion Emulsion Emulsion Identification Identification Emulsified Residue Residue Residue Residue Vaccum Density Test Float Distillate Demulsibility Cement Coating Float
PG PG Bulk Low High
C5841A3A-BBFD-883E-81DA-E1CA80417E72
512 513 514 601 602 603 604 605 606 607 608 609 610 611 612 613 614 615 616 617 618 619 620 621 622 623 624 625 626 627 628 629 650 651 652 653 654 655 656 657 658 701 702 703 704 705 706 707 708 709 710 711 712 713 714 715 716 717 718 719 720 721 722
ID:
Envelope
Docusign

- - - - - - - - - - - - - - - - 1,356.00 - 21,600.00 21,600.00 64,808.00
EXTENDED AMOUNT
$ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $
TOTAL
1 EST QTY 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 SUBTOTAL 10% 0 150 SUBTOTAL
Phase GRAND
ASPHALT OTHER
Ave Add PROJECT
MIN QTY 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 136
ESTIMATE Quantities) CUTBACK Est.
91st
to TT0372 &
132.00 132.00 180.00 276.00 132.00 228.00 360.00 228.00 360.00 636.00 228.00 336.00 420.00 306.00 66.00 360.00 1,150.00 144.00
Ave TESTING Plan UNIT RATE EMULSIONS
Project
103rd Project
$ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $
-
MCDOT BORATORY on UNIT Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each Each
Parkway
(Based
LA
Northern
411)
(ARIZ
Rate
Spread
T59) TB100) TB100) Transverse
T72)
FAX T59) AASHTO T59) AASHTO D3910/ISSA D3910/ISSA TB109) Truck
(480)496-2001 AASHTO T59) T59) T164)
Place AASHTO D88, D244, D2939) D2939) D2939) (ASTM (ISSA Distributer
Testing Hamilton 114 85233 D244, AASHTO D2939) AASHTO (ASTM TB109) (AASHTO
S. Ste AZ (480)496-2000, www.qt-az.com D244, (ASTM (ASTM (ASTM (ASTM (ASTM 1-Hour 6-Day Test
Quality 175 6, Bld Gilbert, (ASTM D244, 1-Day (ASTM D6929, Wheel (ISSA Content Bituminous Rebar
(ASTM Viscosity 5-Day (ASTM Water Freezing Heat Kerosene Abrasion, Abrasion, Test AC of of
Charge Determination Furol Stability, to to to to (ASTM Loaded for Strength
Test Track Track Cohesion Determination
Particle Saybolt Settlement, Sieve Storage Resistance Resistance Resistance Resistance Freezing Monolayer Extraction OTHER Tensile
pH Wet Wet Wet
C5841A3A-BBFD-883E-81DA-E1CA80417E72
723 724 725 726 727 728 729 730 731 732 733 734 735 736 737 738 803 850
ID:
Envelope
Docusign

Docusign Envelope ID: C5841A3A-BBFD-883E-81DA-E1CA80417E72
FEE PROPOSAL - TABLE A
SUBCONSULTANT
COST PROPOSAL SUMMARY
CONSULTANT: Tristar Engineering and Management, Inc. Contract No.: 2026-033
PROJECT NAME: TT0372 - Northern Pkwy: 103rd to 91st Ave (PH1) Date: 7/13/2026
DIRECT LABOR
Classifications Man-Hours Hourly Rates Labor Costs
Field Office Manager 1955 $48.00 $93,840.00
Lead Inspector - Structures 1712 $53.05 $90,821.60
Traffic Control Specialist 480 $47.40 $22,752.00
Subconsultant's Subtotal Direct Labor: 4147 $207,413.60
Subconsultant's OH Rate (% of Direct Labor) 138.57% $287,413.03
Subconsultant's Profit (% x (Direct Labor + OH)) 10% $49,482.66
Subconsultant's Total Direct Labor $544,309.29
DIRECT AND OUTSIDE EXPENSES
Description Unit Price Quantity Expense Amount
Mileage $0.725 7,495 $5,433.88
Subonsultant's Total Direct & Outside Expenses $5,433.88
TOTAL PROPOSED FEE $549,743.17
(Inclusive of Consultant and Subconsultant(s) total proposed fee.)
Tristar Engineering and Management, Inc.
Firm
Signature
President 7/13/2026
Title Date
Page 1 of 1
Cost Proposal Summary - Table A

1 of
2026-033 1
Man-Hours 1955 1712 480 4147 Page
Thru: DEC 80 125 Subtotal: 80 Subtotal: 40 Subtotal: Subtotal: 325
No.: Updated
NOV 125 100 40 265
Contract
OCT 125 100 40 265
CLASSIFICATION SEP 125 176 40 341
B AUG 125 176 40 341
JUL 125 176 40 341
TABLE
BY
JUN 125 176 40 341
- (Ph1)
LABOR MAY 125 176 40 341
Ave
SUBCONSULTANT MAN-HOURS 91st
APR 125 176 40 341
to DIRECT
PROPOSAL Ave
MAR 125 125 176 40 466
Inc. 103rd
PROJECT - FEB 125 125 100 40 390
Management Parkway
FEE JAN 125 125 100 40 390
and Northern
2026-033 2026 2027 2028 2026 2027 2026 2027
SCHEDULED Engineering for
No.
Contract
C5841A3A-BBFD-883E-81DA-E1CA80417E72 Tristar Contract
CA
Structures Specialist Sched
Manager (Planned)
NAME: - Work
ID: CONSULTANT: Office Inspector Control TOTAL
Classifications Classification
Envelope PROJECT Field Lead Traffic
Docusign

2026-033 TOTAL LABOR
OT
TOTAL LABOR $93,840.00 $90,821.60 $22,752.00 $207,413.60
TOTAL MAN-HOURS 1955 1712 480 4147
Mgr
Field Office $48.00 1955 1955
(PH1)
Inc. Ave Contr. Reviewer
91st $47.40 480 480
Management, to Traffic Plan
103rd
LABOR and Pkwy: Struct. Insp Field $53.05 1712 1712
Engineering Northern
DIRECT - RE $47.40
Tristar TT0372 6/3/2026
AND
Control
C5841A3A-BBFD-883E-81DA-E1CA80417E72 MAN-HOURS TASK/PHASE Document Review
CLASSIFICATIONS Plan
/
C SUBCONSULTANT NAME: CONTRACT Management Structures Control
NAME: LABOR - Traffic
ID: TABLE ESTIMATED CONSULTANT Office Inspection
Envelope PROJECT DATE: DIRECT Field Field Temporary TOTAL
Docusign

Docusign Envelope ID: C5841A3A-BBFD-883E-81DA-E1CA80417E72
OVERTIME RATE DESIGNATION - TABLE D
SUBCONSULTANT
COST PROPOSAL SUMMARY
CONSULTANT: Tristar Engineering and Management, Inc. CONTRACT NO.: 2026-033
PROJECT NAME: TT0372 - Northern Pkwy: 103rd to 91st Ave (PH1)
DIRECT LABOR
Classifications Hourly Rates OT Factor OT Rate
Lead Inspector $53.05 1.0 $53.05
Traffic Control Plan Reviewer $46.73 1.0 $46.73
Field Office Manager $48.00 1.0 $48.00
Overtime allowance will be provided separately by MCDOT and will require approval by the MCDOT Project Manager prior to use.
Overhead and profit will be applied to the base OT rate for actual hours worked over 40 in a single week.
Tristar Engineering and Management, Inc.
Firm
Signature
President
Title
6/3/2026
Date